WARRANT AGREEMENT BY AND BETWEEN HORIZON TECHNOLOGY FINANCE CORPORATION ANDWarrant Agreement • December 15th, 2011 • Horizon Technology Finance Corp • New York
This Warrant Agreement (this “Agreement”) is made as of [_______], 20[__] between HORIZON TECHNOLOGY FINANCE CORPORATION, a Delaware corporation (“Company”), and [_______________], a [__________], (“Warrant Agent”).
HORIZON TECHNOLOGY FINANCE CORPORATION (Issuer) and (Trustee) Indenture Dates as of [_______], 20[__], Providing for the Issuance of Debt SecuritiesHorizon Technology Finance Corp • December 15th, 2011 • New York
INDENTURE, dated as of [_______], 20[__], between Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), and [__________], a [_____], as Trustee (as trustee in such capacity and not in its individual capacity, the “Trustee”).
HORIZON TECHNOLOGY FINANCE CORPORATION (a Delaware corporation) $ • Aggregate Principal Amount Senior Securities $ • Aggregate Principal Amount Subordinated Securities • Warrants to Purchase Debt Securities PURCHASE AGREEMENTPurchase Agreement • December 15th, 2011 • Horizon Technology Finance Corp • New York
Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), confirms its agreement with the Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom[ ] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, of $• aggregate principal amount of senior debt securities (the “Senior Securities”) or subordinated debt securities (the “Subordinated Securities”), or both, or Warrants (the “Debt Warrants”) to purchase Senior Securities or Subordinated Securities, or both, of the Company set forth in said Schedule A, and with respect to the grant by the Company to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof to purchase additional Securities (as hereinafter
SUBSCRIPTION AGENT AGREEMENT By AND BETWEEN HORIZON TECHNOLOGY FINANCE CORPORATION and [_______________]Subscription Agent Agreement • December 15th, 2011 • Horizon Technology Finance Corp • New York
This Subscription Agent Agreement (the “Agreement”) is made as of [_______], 20[__] between Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), and [_______________], a [_______] (the “Subscription Agent”), and relates to the base prospectus included in the Registration Statement on Form N-2, File No. 333-[______], filed by the Company with the Securities and Exchange Commission on [_______], 20[__], as amended by any amendment filed with respect thereto (the “Registration Statement”) and any supplemental prospectus (together with the base prospectus, the “Prospectus”). Capitalized terms not otherwise defined herein shall have the meanings given to them in the Subscription Certificate (as defined below).
HORIZON TECHNOLOGY FINANCE CORPORATION (a Delaware corporation) • Shares of Common Stock (Par Value $0.001 Per Share) • Shares of Preferred Stock (Par Value $0.001 Per Share) • Warrants to Purchase Common Stock or Preferred Stock PURCHASE AGREEMENTPurchase Agreement • December 15th, 2011 • Horizon Technology Finance Corp • New York
Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), confirms its agreement with the Underwriters named in Schedule A hereto (collectively, the “Underwriters”, which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom [ ] are acting as representatives (in such capacity, the “Representatives”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, of the respective numbers of shares of Common Stock, par value $0.001 per share (“Common Stock”), or Preferred Stock, par value $0.001 per share (“Preferred Stock”), or both, or Warrants (the “Warrants”) to purchase Common Stock or Preferred Stock, or both, of the Company set forth in said Schedule A, and with respect to the grant by the Company to the Underwriters, acting severally and not jointly, of the option described in Section 2(b) hereof to purchase additional Securities (as hereinafter
