Horizon Technology Finance's top three insider shareholders as of September 29, 2026 are Michael Balkin (Chief Executive Officer, 223.53K shares), Robert D. Jr. Pomeroy (Ceo And Chairman Of The Board, 181.54K shares), Gerald A. Michaud (President, 169.31K shares).
| # | Insider | Position | Direct | Indirect | Total | Share of Insiders | Last Filed |
|---|---|---|---|---|---|---|---|
| 1 | Michael Balkin | Chief Executive Officer | 223,527 | 0 | 223,527 | 30.1% | 03 Jun, 2026 |
| 2 | Robert D. Jr. Pomeroy | Ceo And Chairman Of The Board | 172,821 | 8,717 | 181,538 | 24.4% | 12 Dec, 2022 |
| 3 | Gerald A. Michaud | President | 169,309 | 0 | 169,309 | 22.8% | 02 Dec, 2024 |
| 4 | Joseph J Savage | Director | 59,500 | 0 | 59,500 | 8.0% | 14 Nov, 2024 |
| 5 | Thomas J. Allison | Director | 56,617 | 0 | 56,617 | 7.6% | 11 Jun, 2026 |
| 6 | Daniel R. Trolio | Executive Vp And Cfo | 15,023 | 0 | 15,023 | 2.0% | 10 Jun, 2026 |
| 7 | Paul G Seitz | Chief Investment Officer | 12,242 | 0 | 12,242 | 1.6% | 10 Jun, 2026 |
| 8 | Kimberley Ann O'Connor | Director | 10,000 | 0 | 10,000 | 1.3% | 11 Jun, 2026 |
| 9 | Jonathan Joseph Goodman | Director | 0 | 8,312 | 8,312 | 1.1% | 10 Jun, 2026 |
| 10 | Edmund V. Mahoney | Director | 7,169 | 0 | 7,169 | 1.0% | 29 Sep, 2022 |
Each row is that insider’s most recently reported position, from Form 4 filings over the last 60 months — which is why this total does not tie to the quarterly series above, where a quarter counts only the insiders who filed in it. Shares held through a fund or institutional portfolio are counted on the institutional ownership page instead.
| Date | Insider | Position | Transaction | Shares | Price | Value | Shares Held After | Ownership |
|---|---|---|---|---|---|---|---|---|
| 09 Jun, 2026 | Thomas J. Allison | Director | Acquired P | 6,000 | $4.36 | $26.16K | 56,617 | Direct |
| 09 Jun, 2026 | Kimberley Ann O'Connor | Director | Acquired P | 10,000 | $4.37 | $43.70K | 10,000 | Direct |
| 09 Jun, 2026 | Paul G Seitz | Chief Investment Officer | Acquired P | 11,477 | $4.35 | $49.92K | 12,242 | Direct |
| 09 Jun, 2026 | Jonathan Joseph Goodman | Director | Acquired P | 6,000 | $4.33 | $25.95K | 8,312 | Indirect |
| 09 Jun, 2026 | Thomas J. Allison | Director | Acquired P | 6,000 | $4.36 | $26.16K | 55,926 | Direct |
| 10 Jun, 2026 | Daniel R. Trolio | Executive Vp And Cfo | Acquired P | 11,500 | $4.34 | $49.91K | 15,023 | Direct |
| 14 Apr, 2026 | Michael Balkin | Chief Executive Officer | Acquired A | 93,527 | — | — | 103,527 | Direct |
| 09 Jun, 2026 | Michael Balkin | Chief Executive Officer | Acquired P | 100,000 | $4.34 | $434.00K | 223,527 | Direct |
| 14 Apr, 2026 | Thomas J. Allison | Director | Acquired A | 49,926 | — | — | 49,926 | Direct |
| 14 Apr, 2026 | Paul G Seitz | Chief Investment Officer | Acquired A | 142 | — | — | 742 | Direct |
| 14 Apr, 2026 | Michael Balkin | Chief Executive Officer | Acquired A | 93,527 | — | — | 103,527 | Direct |
| 16 Dec, 2024 | Michael Balkin | Director | Acquired P | 20,000 | $8.53 | $170.60K | 20,000 | Indirect |
| 25 Nov, 2024 | Gerald A. Michaud | President | Acquired P | 8,000 | $9.31 | $74.52K | 169,309 | Direct |
| 13 Nov, 2024 | Joseph J Savage | Director | Acquired P | 5,000 | $9.35 | $46.75K | 55,000 | Direct |
| 14 Nov, 2024 | Joseph J Savage | Director | Acquired P | 4,500 | $9.20 | $41.40K | 59,500 | Direct |
| 05 Aug, 2024 | Jonathan Joseph Goodman | Director | Acquired P | 2,313 | $10.81 | $25.00K | 2,313 | Indirect |
| 05 Aug, 2024 | Michael Balkin | Director | Acquired P | 10,000 | $10.58 | $105.80K | 10,000 | Direct |
| 08 Mar, 2024 | Gerald A. Michaud | President | Acquired P | 3,650 | $11.77 | $42.96K | 156,244 | Direct |
| 20 Dec, 2022 | Gerald A. Michaud | President | Acquired P | 18,250 | $11.03 | $201.30K | 144,585 | Direct |
| 09 Dec, 2022 | Robert D. Jr. Pomeroy | Ceo And Chairman Of The Board | Acquired P | 4,000 | $13.03 | $52.12K | 172,821 | Direct |