Horizon Technology Finance Corp Material Contracts
Every material contract the company filed as Exhibit 10 (executive pay plans, credit agreements, supplier and indemnity agreements), newest first, with the filing's own description.
- 2026-09-09: Form 8-K; Exhibit 10.8; Description Amendment No. 2 to Sale and Servicing Agreement, dated as of September 2, 2026, by and among Horizon Funding II, LLC, the issuer, Horizon Technology Finance Corporation, the seller, originator and servicer, U.S. Bank Trust Company, National Association, the trustee, and U.S. Bank National Association, the backup servicer, custodian, lockbox and securities intermediary.
- 2026-09-09: Form 8-K; Exhibit 10.5; Description Second Amended and Restated Note Funding Agreement, dated as of September 2, 2026, by and among Horizon Funding II, LLC, the issuer, and the Initial Purchasers (as defined therein).
- 2026-09-09: Form 8-K; Exhibit 10.3; Description Second Supplemental Indenture, dated as of September 2, 2026, by and among Horizon Funding II, LLC, the issuer, and U.S. Bank Trust Company, National Association, the trustee.
- 2026-08-04: Form 10-Q; Exhibit 10.4; Description Amendment No. 7 to Sale and Servicing Agreement, dated as of July 29, 2026, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Loan Fund I LLC, the originator and seller, Horizon Technology Finance Corporation, the servicer, U.S. Bank Trust Company, National Association and U.S. Bank National Association.
| Filed | Form | Exhibit | Description |
|---|---|---|---|
| 2026-09-09 | 8-K | 10.8 | Amendment No. 2 to Sale and Servicing Agreement, dated as of September 2, 2026, by and among Horizon Funding II, LLC, the issuer, Horizon Technology Finance Corporation, the seller, originator and servicer, U.S. Bank Trust Company, National Association, the trustee, and U.S. Bank National Association, the backup servicer, custodian, lockbox and securities intermediary |
| 2026-09-09 | 8-K | 10.5 | Second Amended and Restated Note Funding Agreement, dated as of September 2, 2026, by and among Horizon Funding II, LLC, the issuer, and the Initial Purchasers (as defined therein) |
| 2026-09-09 | 8-K | 10.3 | Second Supplemental Indenture, dated as of September 2, 2026, by and among Horizon Funding II, LLC, the issuer, and U.S. Bank Trust Company, National Association, the trustee |
| 2026-08-04 | 10-Q | 10.4 | Amendment No. 7 to Sale and Servicing Agreement, dated as of July 29, 2026, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Loan Fund I LLC, the originator and seller, Horizon Technology Finance Corporation, the servicer, U.S. Bank Trust Company, National Association and U.S. Bank National Association |
| 2026-08-04 | 10-Q | 10.3 | Sixth Supplemental Indenture, dated as of July 29, 2026, by and among Horizon Funding I, LLC, as issuer, and U.S. Bank Trust Company, National Association, as trustee |
| 2026-08-04 | 10-Q | 10.2 | Fifth Amended and Restated Note Funding Agreement, dated as of July 29, 2026, by and among Horizon Funding I, LLC, as issuer, and the Initial Purchasers (as defined therein) |
| 2026-08-04 | 10-Q | 10.1 | Amendment No. 1 to Amended and Restated Note Funding Agreement dated as of May 20, 2026, by and among Horizon Funding II, LLC, as issuer, and the Initial Purchasers (as defined therein). |
| 2026-04-14 | 8-K | 10.1 | Letter Agreement, dated as of April 14, 2026, by and between Horizon Technology Finance Corporation and Horizon Technology Finance Management LLC. |
| 2026-03-19 | 8-K | 10.1 | Limited Liability Company Agreement of HRZN CRFH LLC, dated as of March 18, 2026, by and between Horizon Technology Finance Corporation and CR Financial Holdings, Inc. |
| 2026-02-11 | 8-K | 10.8 | Amendment No. 3 to Second Amended and Restated Sale and Servicing Agreement, dated as of February 10, 2026, by and among Horizon Credit II LLC, as buyer, the Company, as originator and servicer, Horizon Technology Finance Management LLC, as sub-servicer, U.S. Bank National Association, as collateral custodian and backup servicer, and KeyBank National Association, as agent for the lenders. |
| 2026-02-11 | 8-K | 10.4 | Amendment No. 3 to Second Amended and Restated Loan and Security Agreement, dated as of February 6, 2026, by and among Horizon Credit II LLC, as borrower, the lenders that are signatories thereto, and KeyBank National Association, as arranger and agent for the lenders. |
| 2025-09-05 | 8-K | 10.1 | Note Purchase Agreement, dated as of September 4, 2025, by and among the Company and the Purchasers |
| 2025-05-27 | 8-K | 10.5 | EXHIBIT 10.5 - AMENDMENT NO. 1 TO SALE AND SERVICING AGREEMENT |
| 2025-05-27 | 8-K | 10.3 | EXHIBIT 10.3 - AMENDED AND RESTATED NOTE FUNDING AGREEMENT |
| 2025-05-27 | 8-K | 10.2 | EXHIBIT 10.2 - FIRST SUPPLEMENTAL INDENTURE |
| 2025-04-28 | 8-K | 10.4 | EXHIBIT 10.4 - FIFTH SUPPLEMENTAL INDENTURE |
| 2025-04-28 | 8-K | 10.2 | EXHIBIT 10.2 - AMENDMENT NO. 6 TO SALE AND SERVICING AGREEMENT |
| 2025-03-31 | 8-K | 10.1 | EXHIBIT 10.1 - INVESTMENT MANAGEMENT AGREEMENT |
| 2025-03-04 | 10-K | 10.4 | Trademark License Agreement by and between the Company and Horizon Technology Finance Management LLC |
| 2024-10-18 | 8-K | 10.1 | EXHIBIT 10.1 - NOTE PURCHASE AGREEMENT |
| 2024-06-24 | 8-K | 10.3 | EXHIBIT 10.3 - SALE AND SERVICING AGREEMENT |
| 2024-06-24 | 8-K | 10.2 | EXHIBIT 10.2 - NOTE FUNDING AGREEMENT |
| 2024-06-24 | 8-K | 10.1 | EXHIBIT 10.1 - INDENTURE |
| 2024-06-21 | 8-K | 10.6 | EXHIBIT 10.6 - AMENDMENT NO. 2 TO SALE AND SERVICING AGREEMENT |
| 2024-06-21 | 8-K | 10.3 | EXHIBIT 10.3 - AMENDMENT NO. 2 TO LOAN AND SECURITY AGREEMENT |
| 2024-05-10 | 8-K | 10.5 | EXHIBIT 10.5 - FOURTH SUPPLEMENTAL INDENTURE |
| 2024-05-10 | 8-K | 10.3 | EXHIBIT 10.3 - FOURTH AMENDED AND RESTATED NOTE FUNDING AGREEMENT |
| 2024-05-10 | 8-K | 10.2 | EXHIBIT 10.2 - AMENDMENT NO. 5 TO SALE AND SERVICING AGREEMENT |
| 2023-07-05 | 8-K | 10.1 | EXHIBIT 10.1 - INVESTMENT MANAGEMENT AGREEMENT - EFFECTIVE JUNE 30, 2023 |
| 2023-06-30 | 8-K | 10.4 | Amendment No. 1 to Second Amended and Restated Sale and Servicing Agreement, dated as of June 29, 2023, by and among Horizon Credit II LLC, as buyer, the Company, as originator and servicer, Horizon Technology Finance Management LLC, as sub-servicer, U.S. Bank National Association, as collateral custodian and backup servicer, and KeyBank National Association, as agent for the lenders. |
| 2023-06-30 | 8-K | 10.2 | Amendment No. 1 to Second Amended and Restated Loan and Security Agreement, dated as of June 29, 2023, by and among Horizon Credit II LLC, as borrower, the lenders that are signatories thereto, and KeyBank National Association, as arranger and agent for the lenders. |
| 2023-05-25 | 8-K | 10.5 | Third Supplemental Indenture, dated as of May 24, 2023, by and among Horizon Funding I, LLC, the issuer, and U.S. Bank Trust Company, National Association. |
| 2023-05-25 | 8-K | 10.3 | Third Amended and Restated Note Funding Agreement, dated as of May 24, 2023, by and among Horizon Funding I, LLC, the issuer, and the Initial Purchasers (as defined therein). |
| 2023-05-25 | 8-K | 10.2 | Amendment No. 4 to Sale and Servicing Agreement, dated as of May 24, 2023, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, the originator and seller, Horizon Technology Finance Corporation, the servicer, U.S. Bank Trust Company, National Association and U.S. Bank National Association. |
| 2022-11-14 | 8-K | 10.6 | EXHIBIT 10.6 - FORM 8-K - AMENDED AND RESTATED TRUST AGREEMENT |
| 2022-11-14 | 8-K | 10.5 | EXHIBIT 10.5 - FORM 8-K - HORIZON 2022-1 - ADMINISTRATION AGREEMENT |
| 2022-11-14 | 8-K | 10.4 | EXHIBIT 10.4 - FORM 8-K - HORIZON 2022-1 - SALE AND SERVICING AGREEMENT |
| 2022-11-14 | 8-K | 10.3 | EXHIBIT 10.3 - FORM 8-K - HORIZON 2022-1 - SALE AND CONTRIBUTION AGREEMENT |
| 2022-11-14 | 8-K | 10.2 | EXHIBIT 10.2 - FORM 8-K - HORIZON 2022-1 - INDENTURE |
| 2022-11-14 | 8-K | 10.1 | EXHIBIT 10.1 - FORM 8-K - HORIZON 2022-1 - NOTE PURCHASE AGREEMENT |
| 2022-02-28 | 8-K | 10.5 | Second Supplemental Indenture, dated as of February 25, 2022, by and between Horizon Funding I, LLC, the issuer, and U.S. Bank Trust Company, National Association. |
| 2022-02-28 | 8-K | 10.3 | Second Amended and Restated Note Funding Agreement, dated as of February 25, 2022, between Horizon Funding I, LLC, the issuer, and the Initial Purchasers (as defined therein). |
| 2022-02-28 | 8-K | 10.2 | Amendment No. 3 to Sale and Servicing Agreement, dated as of February 25, 2022, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator and seller, Horizon Technology Finance Corporation, the servicer, and U.S. Bank Trust Company, National Association. |
| 2020-06-30 | 8-K | 10.1 | Seventh Amendment to the Amended and Restated Loan and Security Agreement, dated as of June 29, 2020, among Horizon Credit II LLC, as borrower, the Lenders party thereto, and KeyBank National Association, as arranger and agent. |
| 2020-06-26 | 8-K | 10.6 | Supplemental Indenture, dated as of June 5, 2020, by and between Horizon Funding I, LLC, the issuer, and U.S. Bank National Association. |
| 2020-06-26 | 8-K | 10.5 | Indenture, dated as of June 1, 2018, by and between Horizon Funding I, LLC, the issuer, and U.S. Bank National Association. |
| 2020-06-26 | 8-K | 10.4 | Amended and Restated Note Funding Agreement, dated as of June 5, 2020, between Horizon Funding I, LLC, the issuer, and the Initial Purchasers (as defined therein). |
| 2020-06-26 | 8-K | 10.3 | Amendment No. 2 to Sale and Servicing Agreement, dated as of June 5, 2020, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator and seller, Horizon Technology Finance Corporation, the servicer, and U.S. Bank National Association. |
| 2020-06-26 | 8-K | 10.2 | Amendment No. 1 to Sale and Servicing Agreement, dated as of June 19, 2019, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator and seller, Horizon Technology Finance Corporation, the servicer, and U.S. Bank National Association. |
| 2020-06-26 | 8-K | 10.1 | Sale and Servicing Agreement, dated as of June 1, 2018, by and among Horizon Funding I, LLC, the issuer, Horizon Secured Lending Fund I LLC, as originator and seller, Horizon Technology Finance Corporation, the servicer, and U.S. Bank National Association. |
| 2019-08-13 | 8-K | 10.6 | Amended and Restated Trust Agreement, dated as of August 13, 2019, Horizon Funding 2019-1 LLC, as the Trust Depositor, and Wilmington Trust, National Association, as the Owner Trustee. |
| 2019-08-13 | 8-K | 10.5 | Administration Agreement, dated as of August 13, 2019, among Horizon Funding Trust 2019-1, as Issuer, the Company, as Administrator, Wilmington Trust, National Association, as Owner Trustee, and US Bank National Association, as Trustee. |
| 2019-08-13 | 8-K | 10.4 | Sale and Servicing Agreement, dated as of August 13, 2019, by and among the Company, as the Seller and as the Servicer, Horizon Funding Trust 2019-1, as the Issuer, Horizon Funding 2019-1 LLC, as the Trust Depositor, and US Bank National Association, as the Trustee, Backup Servicer, Custodian and Securities Intermediary. |
| 2019-08-13 | 8-K | 10.3 | Sale and Contribution Agreement, dated as of August 13, 2019, by and between the Company, as the Seller, and Horizon Funding 2019-1 LLC, as the Trust Depositor. |
| 2019-08-13 | 8-K | 10.2 | Indenture, dated as of August 13, 2019, by and between Horizon Funding Trust 2019-1, as the Issuer, and US Bank National Association, as the Trustee. |
| 2019-08-13 | 8-K | 10.1 | Note Purchase Agreement, dated as of August 6, 2019, by and among the Company, Horizon Funding Trust 2019-1, the Issuer, Horizon Funding 2019-1 LLC, the Trust Depositor, and KeyBanc Capital Markets Inc., as Initial Purchaser. |
| 2019-03-08 | 8-K | 10.1 | Form of Investment Management Agreement effective March 7, 2019, by and between Horizon Technology Finance Corporation and Horizon Technology Finance Management LLC. |
| 2019-03-05 | 10-K | 10.13 | Amendment No. 3 to Amended and Restated Loan Agreement, dated as of December 28, 2018, by and among Horizon Credit II LLC, as the borrower, State Bank and Trust Company (successor by merger to AloStar Bank of Commerce), as lender, MUFG Union Bank, N.A., as lender, and KeyBank National Association (successor by merger to Key Equipment Finance Inc.) as lender, arranger, and agent. |
| 2018-05-01 | 10-Q | 10.1 | Amendment No. 2 to Amended and Restated Loan Agreement, dated as of April 6, 2018, by and among Horizon Credit II LLC, as borrower, State Bank and Trust Company, as lender, MUFG Union Bank N.A., as lender and KeyBank National Association, as lender and as arranger and agent |
| 2014-08-05 | 8-K | 10.1 | Amended and Restated Investment Management Agreement dated as of October 28, 2010 and amended effective July 1, 2014 |
| 2014-03-11 | 10-K | 10.16 | Agreement Regarding Loan Assignment and Related Matters, dated as of November 4, 2013, by and among Horizon Credit II LLC, Wells Fargo Capital Finance, LLC and Key Equipment Finance Inc. |
| 2014-03-11 | 10-K | 10.15 | Amended and Restated Sale and Servicing Agreement, dated as of November 4, 2013, by and among Horizon Credit II LLC, as the buyer, Horizon Technology Finance Corporation, as the originator and the servicer, Horizon Technology Finance Management LLC, as the sub-servicer, U.S. Bank National Association, as the collateral custodian and backup servicer, and Key Equipment Finance Inc., as the agent |
| 2014-03-11 | 10-K | 10.14 | Amended and Restated Loan and Security Agreement, dated as of November 4, 2013, by and among Horizon Credit II LLC, as the borrower, the Lenders that are signatories thereto, as the lenders, and Key Equipment Finance Inc,. as the arranger and the agent |
| 2013-08-06 | 10-Q | 10.4 | Note Purchase Agreement, dated June 28, 2013, by and among the Company, Horizon Funding 2013-1 LLC, Horizon Funding Trust 2013-1 and Guggenheim Securities, LLC |
| 2013-08-06 | 10-Q | 10.3 | Sale and Contribution Agreement, dated June 28, 2013, between the Company and Horizon Funding 2013-1 LLC |
| 2013-08-06 | 10-Q | 10.2 | Sale and Servicing Agreement, dated as of June 28, 2013, by and among the Company, Horizon Funding Trust 2013-1, Horizon Funding 2013-1 LLC and U.S. Bank National Association |
| 2013-08-06 | 10-Q | 10.1 | Amended and Restated Trust Agreement, dated as of June 28, 2013, by and between Horizon Funding 2013-1 LLC and Wilmington Trust, National Association |
| 2013-06-03 | 8-K | 10.1 | Promissory Note, dated as of June 3, 2013, by and between Horizon Technology Finance Corporation, as the borrower, and Guggenheim Securities, LLC, as the lender. |
| 2013-05-28 | 8-K | 10.1 | Form of Third Amendment to Loan and Security Agreement, dated as of May 28, 2013, by and among Horizon Credit II LLC, as the borrower, the Lenders that are signatories thereto, as the lenders, and Wells Fargo Capital Finance, LLC, as the arranger and administrative agent |
| 2012-08-23 | 8-K | 10.2 | Sale and Servicing Agreement, dated August 23, 2012, by and among Horizon Credit III LLC, as the buyer, Horizon Technology Finance Corporation, as the originator, Horizon Technology Finance Management LLC, as the servicer, U.S. Bank National Association, as the collateral custodian and back-up servicer, and Fortress Credit Co LLC, as the agent. |
| 2012-08-23 | 8-K | 10.1 | Loan and Security Agreement, dated as of August 23, 2012, by and among Horizon Credit III LLC, as the borrower, the Lenders that are signatories thereto, as the lenders, and Fortress Credit Co LLC, as the administrative agent. |
| 2011-07-18 | 8-K | 10.2 | Form of Sale and Servicing Agreement, dated July 14, 2011, among Horizon Credit II LLC, as the buyer, and Horizon Technology Finance Corporation, as the originator, and Horizon Technology Finance Management LLC, as the servicer, and U.S. Bank National Association, as the collateral custodian, and Wells Fargo Capital Finance, LLC as the agent. |
| 2011-07-18 | 8-K | 10.1 | Form of Loan and Security Agreement, dated as of July 14, 2011, by and among Horizon Credit II LLC, as the borrower, the Lenders that are signatories thereto, as the lenders, and Wells Fargo Capital Finance, LLC, as the arranger and administrative agent. |