FORM OF EXCHANGE AGREEMENTForm of Exchange Agreement • July 20th, 2010 • Horizon Technology Finance Corp • Delaware
THIS EXCHANGE AGREEMENT (the “Agreement”) is made and entered into as of ____________ ___, 2010, by and among Compass Horizon Partners, LP, an exempted limited partnership registered in Bermuda (“CHP”), HTF-CHF Holdings LLC, a Delaware limited liability company (“HTF-CHF” and collectively with CHP, the “Compass Horizon Owners” and each individually a “Compass Horizon Owner”), Compass Horizon Funding Company LLC, a Delaware limited liability company (“Compass Horizon”), and Horizon Technology Finance Corporation, a Delaware corporation entering into this Agreement through its board of directors before and in anticipation of the issuance of capital stock as contemplated herein (the “Company”). CHP, HTF-CHF, Compass Horizon and the Company are collectively the “Parties” and individually a “Party.”
Bank of America, N.A. Custodial AgreementCustodial Agreement • July 20th, 2010 • Horizon Technology Finance Corp • New York
Agreement dated as of _______, 2010 between Bank of America, National Association (“Bank of America” or the “Custodian”) and Horizon Technology Finance Corporation (the “Client”).
