Sec Form 4 Filing - Anholt Investments Ltd. @ Horizon Technology Finance Corp - 2015-03-24

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Anholt Investments Ltd.
2. Issuer Name and Ticker or Trading Symbol
Horizon Technology Finance Corp [ HRZN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
69 PITTS BAY ROAD, BELVEDERE BUILDING, 4TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
03/24/2015
(Street)
HAMILTON, D0HM08
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.001 per share 03/24/2015 S 380,000 D $ 13.95 891,414 I See Footnote ( 1 ) ( 2 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Anholt Investments Ltd.
69 PITTS BAY ROAD
BELVEDERE BUILDING, 4TH FLOOR
HAMILTON, D0HM08
X
Compass Horizon Partners, LP
69 PITTS BAY ROAD
BELVEDERE BUILDING, 4TH FLOOR
HAMILTON, D0HM08
X
Navco Management, Ltd.
69 PITTS BAY ROAD
BELVEDERE BUILDING, 4TH FLOOR
HAMILTON, D0HM08
X
Path Spirit LTD
10 NORWICH STREET
LONDON, X0EC4A 1BD
X
Signatures
Anholt Investments Ltd. By: /s/ Cora Lee Starzomski, Director 03/24/2015
Signature of Reporting Person Date
Compass Horizon Partners, L.P. By: Navco Management Ltd., its general partner, By:/s/ Cora Lee Starzomski, Director 03/24/2015
Signature of Reporting Person Date
Navco Management Ltd. By: /s/ Cora Lee Starzomski, Director 03/24/2015
Signature of Reporting Person Date
Path Spirit LTD. By: /s/ Arthur F. Coady, Director 03/24/2015
Signature of Reporting Person Date
Explanation of Responses:
( 1 )380,000 shares of the Issuer's common stock were sold by Compass Horizon Partners, L.P. pursuant to an underwritten public offering on March 19, 2015. The shares of the Issuer's common stock reported on this Form 4 are owned directly by Compass Horizon Partners, L.P., which is owned by Concorde Horizon Holdings LP and Navco Management, Ltd. Concorde Horizon Holdings LP is owned by Anholt Investments Ltd. (formerly known as Compass Group Investments, Ltd.) and Navco Management, Ltd. Each of Anholt Investments Ltd. and Navco Management, Ltd. is wholly owned by Kattegat Limited, a Bermudian exempt company with its principal offices at Belvedere Building, 69 Pitts Bay Road, Pembroke HM 08, Bermuda. Kattegat Limited was formed for the purpose of holding and managing the endowed assets of The Kattegat Trust and is wholly owned by The Kattegat Trust.
( 2 )The Kattegat Trust is a Bermudian charitable trust, engaged in the principal business of distributing income for charitable purposes, with its principal offices at 2 Reid Street, Hamilton HM 11, Bermuda. The trustee of The Kattegat Trust is Kattegat Private Trustees (Bermuda) Limited (the "Trustee"), a Bermudian trust company with its principal offices at 2 Reid Street, Hamilton HM 11, Bermuda. Path Spirit Limited is the trust protector for The Kattegat Trust. The Trustee is wholly owned by The Lund Purpose Trust, a Bermudian purpose trust with its principal offices at Thistle House, 4 Burnaby Street, Hamilton HM 11, Bermuda, formed for the sole purpose of holding the shares of the Trustee. Each of Anholt Investments Ltd., Navco Management, Ltd., Path Spirit Limited and Concorde Horizon Holdings LP disclaims beneficial ownership of the shares of the Issuer's common stock directly held by Compass Horizon Partners, L.P. except to the extent of its respective pecuniary interest therein.

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