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”).
1,660,000 Shares HORIZON TECHNOLOGY FINANCE CORPORATION COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENTUnderwriting Agreement • July 23rd, 2012 • Horizon Technology Finance Corp • New York
Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), for whom Wells Fargo Securities, LLC (“Wells”) and Stifel, Nicolaus & Company, Incorporated (“Stifel”) are acting as representatives (in such capacity, the “Representatives”), hereto severally proposes to sell to the several Underwriters, an aggregate of 1,660,000 shares of the common stock, par value $0.001 per share of the Company (the “Firm Shares”).
SALE AND SERVICING AGREEMENT by and among HORIZON FUNDING TRUST 2019-1, as the Issuer, HORIZON FUNDING 2019-1 LLC, as the Trust Depositor, HORIZON TECHNOLOGY FINANCE CORPORATION as the Seller and as the Servicer, and U.S. BANK NATIONAL ASSOCIATION, as...Sale and Servicing Agreement • August 13th, 2019 • Horizon Technology Finance Corp • New York
WHEREAS, the Trust Depositor acquired the Initial Loans from the Seller and may acquire from time to time thereafter certain Additional Loans and Substitute Loans;
SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENTLoan and Security Agreement • June 21st, 2024 • Horizon Technology Finance Corp • New York
THIS SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Agreement”), is entered into as of June 22, 2021, between and among, on the one hand, the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns, are referred to hereinafter each individually as a “Lender” and collectively as the “Lenders”), KEYBANK NATIONAL ASSOCIATION, a national banking association, as the arranger and administrative agent for the Lenders (“Agent”), and, on the other hand, HORIZON CREDIT II LLC, a Delaware limited liability company (“Borrower”).
SALE AND CONTRIBUTION AGREEMENTSale and Contribution Agreement • August 13th, 2019 • Horizon Technology Finance Corp • New York
THIS SALE AND CONTRIBUTION AGREEMENT, dated as of August 13, 2019 (as amended, modified, restated, waived, or supplemented from time to time, this “Agreement”), is between HORIZON TECHNOLOGY FINANCE CORPORATION, a Delaware corporation (together with its successors and assigns, “Horizon,” and in its capacity as originator, together with its successors and assigns, the “Seller”) and HORIZON FUNDING 2019-1 LLC, a Delaware limited liability company (together with its successors and assigns, the “Trust Depositor”).
3,250,000 Shares HORIZON TECHNOLOGY FINANCE CORPORATION COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENTUnderwriting Agreement • June 5th, 2023 • Horizon Technology Finance Corp • New York
Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), proposes to issue and sell 3,250,000 shares (the “Firm Shares”) of common stock, par value $0.001 per share, of the Company to the several Underwriters named in Schedule I hereto (the “Underwriters”), for whom Morgan Stanley & Co. LLC is acting as representative (in such capacity, the “Representative”).
INDENTURE by and between HORIZON FUNDING TRUST 2019-1, as the Issuer, and U.S. BANK NATIONAL ASSOCIATION, as the Trustee Dated as of August 13, 2019Indenture • August 13th, 2019 • Horizon Technology Finance Corp • New York
THIS INDENTURE, dated as of August 13, 2019 (as amended, modified, restated, supplemented or waived from time to time, this “Indenture”), is by and between HORIZON FUNDING TRUST 2019-1, a Delaware statutory trust, as the issuer (together with its successors and assigns, in such capacity, the “Issuer”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“U.S. Bank”) not in its individual capacity, but solely in its capacity as the trustee (together with its successors and assigns, in such capacity, the “Trustee”).
HORIZON TECHNOLOGY FINANCE CORPORATION (Issuer) and (Trustee) Indenture Dates as of [_______], 20[__], Providing for the Issuance of Debt SecuritiesIndenture • December 15th, 2011 • Horizon Technology Finance Corp • 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 SECURED LOAN FUND I LLC LIMITED LIABILITY COMPANY AGREEMENTSecurities Purchase Agreement • June 18th, 2018 • Horizon Technology Finance Corp • Delaware
This Limited Liability Company Agreement, dated as of June 1, 2018, of Horizon Secured Loan Fund I LLC (the “Company”) is entered into by and between Horizon Technology Finance Corporation and Arena Sunset SPV, LLC (each, a “Member” and collectively, the “Members”).
AMENDED AND RESTATED TRUST AGREEMENTTrust Agreement • August 13th, 2019 • Horizon Technology Finance Corp • Delaware
THIS AMENDED AND RESTATED TRUST AGREEMENT (such agreement as amended, modified, waived, supplemented or restated from time to time, the “Trust Agreement” or this “Agreement”), dated as of August 13, 2019, is between HORIZON FUNDING 2019-1 LLC, a Delaware limited liability company, as trust depositor (the “Trust Depositor”), and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association (in its individual capacity, together with its successors and assigns, the “Trust Company”), as owner trustee (solely in such capacity, the “Owner Trustee”).
FOURTH AMENDED AND RESTATED NOTE FUNDING AGREEMENT Between HORIZON FUNDING I, LLC, as Issuer, and NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION, NEW YORK LIFE INSURANCE COMPANY, NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED...Note Funding Agreement • May 10th, 2024 • Horizon Technology Finance Corp • New York
This FOURTH AMENDED AND RESTATED NOTE FUNDING AGREEMENT (this “Agreement”), dated as of May 6, 2024, is by and among HORIZON FUNDING I, LLC, as Issuer (the “Issuer”), NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION, NEW YORK LIFE INSURANCE COMPANY, NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT (BOLI 30C), NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT (BOLI 30E), and THE BANK OF NEW YORK MELLON, A BANKING CORPORATION ORGANIZED UNDER THE LAWS OF NEW YORK, NOT IN ITS INDIVIDUAL CAPACITY BUT SOLELY AS TRUSTEE UNDER THAT CERTAIN TRUST AGREEMENT DATED AS OF JULY 1ST, 2015 BETWEEN NEW YORK LIFE INSURANCE COMPANY, AS GRANTOR, JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.), AS BENEFICIARY, JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK, AS BENEFICIARY, AND THE BANK OF NEW YORK MELLON, AS TRUSTEE, as initial purchasers (the “Initial Purchasers”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • July 5th, 2023 • Horizon Technology Finance Corp • New York
This Investment Management Agreement (“Agreement”) is made effective as of June 30, 2023 by and between HORIZON TECHNOLOGY FINANCE CORPORATION a Delaware Corporation (the “Company”), and HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC, a Delaware limited liability company (the “Advisor”).
SECOND AMENDED AND RESTATED SALE AND SERVICING AGREEMENT among HORIZON CREDIT II LLC, as the Buyer, HORIZON TECHNOLOGY FINANCE CORPORATION, as the Originator and the Servicer, and HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC, as the Sub- Servicer, and...Sale and Servicing Agreement • June 23rd, 2021 • Horizon Technology Finance Corp • New York
This Second Amended and Restated Sale and Servicing Agreement is entered into as of [_], 2021, by and among Horizon Credit II LLC, a Delaware limited liability company, as the Buyer, Horizon Technology Finance Corporation, a Delaware corporation, as the Originator and the Servicer, Horizon Technology Finance Management LLC, a Delaware limited liability company, as the Sub-Servicer, U.S. Bank National Association, a national banking association, as the Collateral Custodian and the Backup Servicer, and KeyBank National Association, national banking association, as the Agent for Lenders under the Loan Agreement (as hereinafter defined).
HORIZON FUNDING Trust 2013-1 Notes NOTE PURCHASE AGREEMENTNote Purchase Agreement • August 6th, 2013 • Horizon Technology Finance Corp • New York
HORIZON TECHNOLOGY FINANCE CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales AgreementAt Market Issuance Sales Agreement • September 22nd, 2023 • Horizon Technology Finance Corp • New York
Each of Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), and Horizon Technology Finance Management LLC, a Delaware limited liability company (the “Adviser”), registered as an investment adviser under the Investment Advisers Act of 1940, as amended, and the rules and regulations thereunder (the “Advisers Act”), confirms its agreement (this “Agreement”) with Goldman Sachs & Co. LLC and B. Riley Securities, Inc. (each individually an “Agent” and collectively, the “Agents”), as follows:
ADMINISTRATION AGREEMENT among HORIZON FUNDING TRUST 2019-1,Administration Agreement • August 13th, 2019 • Horizon Technology Finance Corp • New York
THIS ADMINISTRATION AGREEMENT (as amended, supplemented or otherwise modified and in effect from time to time, this “Agreement”) dated as of August 13, 2019, is among HORIZON FUNDING TRUST 2019-1, a Delaware statutory trust (the “Issuer”), HORIZON TECHNOLOGY FINANCE CORPORATION, a Delaware corporation, as administrator (“Horizon” or the “Administrator”), U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee”) and WILMINGTON TRUST, NATIONAL ASSOCIATION, a national banking association, not in its individual capacity but solely as owner trustee (the “Owner Trustee”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned such terms in the Sale and Servicing Agreement dated as of August 13, 2019 (the “Sale and Servicing Agreement”) by and among the Issuer, Horizon, as seller and as servicer, Horizon Funding 2019-1 LLC, as trust depositor (the “Trust Depositor”) and U.S. Bank National Association, as the trustee, ba
INDENTURE by and between HORIZON FUNDING I, LLC, as the Issuer, and U.S. BANK NATIONAL ASSOCIATION, as the Trustee and Securities Intermediary Dated as of June 1, 2018 HORIZON FUNDING I, LLC Asset Backed NotesIndenture • June 26th, 2020 • Horizon Technology Finance Corp • New York
THIS INDENTURE, dated as of June 1, 2018 (as amended, modified, restated, supplemented and/or waived from time to time, this “Indenture”), is by and between HORIZON FUNDING I, LLC, a Delaware limited liability company, as the issuer (together with its successors and assigns, the “Issuer”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“U.S. Bank”) not in its individual capacity, but solely in its capacity as the trustee (together with its successors and assigns, in such capacity, the “Trustee”) and as the securities intermediary (together with its successors and assigns, in such capacity, the “Securities Intermediary”).
SALE AND SERVICING AGREEMENT by and among HORIZON FUNDING II, LLC, as the Issuer, HORIZON TECHNOLOGY FINANCE CORPORATION, as the Originator and as the Seller, HORIZON TECHNOLOGY FINANCE CORPORATION, as the Servicer, U.S. BANK TRUST COMPANY, NATIONAL...Sale and Servicing Agreement • June 24th, 2024 • Horizon Technology Finance Corp • New York
WHEREAS, in the regular course of its business, the Originator originates and/or otherwise acquires Loans (as defined herein);
FORM OF REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • July 2nd, 2010 • Horizon Technology Finance Corp • New York
THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is entered into as of the day of , 2010, by and among Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), and each of the undersigned parties listed under Investors on the signature page hereto, or any assignee or transferee pursuant to Section 2.4 below (each, an “Investor” and collectively, the “Investors”).
FORM OF ADMINISTRATION AGREEMENTAdministration Agreement • July 2nd, 2010 • Horizon Technology Finance Corp • New York
This Agreement (“Agreement”) is made as of by and between HORIZON TECHNOLOGY FINANCE CORPORATION a Delaware Corporation (the “Company”), and HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC, a Delaware limited liability company (the “Administrator”).
AMENDMENT NO. 2 TO SALE AND SERVICING AGREEMENTSale and Servicing Agreement • June 26th, 2020 • Horizon Technology Finance Corp • New York
This Amendment No. 2 to Sale and Servicing Agreement, dated as of June 5, 2020 (this “Amendment”) is by and among Horizon Funding I, LLC, a Delaware limited liability company, as issuer (the “Issuer”), Horizon Secured Loan Fund I LLC, a Delaware limited liability company, as the seller (the “Seller”) and as the originator (the “Originator”), Horizon Technology Finance Corporation, a Delaware corporation, as the servicer (the “Servicer”) and U.S. Bank National Association (“U.S. Bank”), not in its individual capacity but as the indenture trustee (the “Trustee”), not in its individual capacity but as the backup servicer (the “Backup Servicer”), not in its individual capacity but as the custodian (the “Custodian”), not in its individual capacity but as the lockbox bank (the “Lockbox Bank”) and not in its individual capacity but solely as securities intermediary (the “Securities Intermediary”). Each of the Issuer, the Originator, the Servicer, the Trustee, the Backup Servicer, the Lockbox
2,000,000 Shares HORIZON TECHNOLOGY FINANCE CORPORATION COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENTUnderwriting Agreement • March 26th, 2019 • Horizon Technology Finance Corp • New York
Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), proposes to issue and sell 2,000,000 shares (the “Firm Shares”) of common stock, par value $0.001 per share, of the Company to the several Underwriters named in Schedule I hereto (the “Underwriters”), for whom Morgan Stanley & Co. LLC is acting as representative (in such capacity, the “Representative”).
FORM OF EXCHANGE AGREEMENTExchange 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.”
AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED SALE AND SERVICING AGREEMENTSale and Servicing Agreement • June 30th, 2023 • Horizon Technology Finance Corp • New York
THIS AMENDMENT NO. 1 TO AMENDED AND RESTATED SALE AND SERVICING AGREEMENT (this “Amendment”) dated as of June 29, 2023, is entered into by and among HORIZON CREDIT II LLC (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 the Backup Servicer, and KEYBANK NATIONAL ASSOCIATION as Agent for Lenders under the Loan Agreement (in such capacity, the “Agent”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Sale and Servicing Agreement (as defined below).
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
FORM OF TRADEMARK LICENSE AGREEMENTTrademark License Agreement • July 2nd, 2010 • Horizon Technology Finance Corp • New York
This TRADEMARK LICENSE AGREEMENT (this “Agreement”) is made and effective as of , 2010 (the “Effective Date”) by and between Horizon Technology Finance Management, LLC, a Delaware limited liability company (the “Licensor”), and Horizon Technology Finance Corporation, a Delaware corporation (the “Company”) (each a “party,” and collectively, the “parties”).
HORIZON TECHNOLOGY FINANCE CORPORATION 6.25% Notes due 2027 UNDERWRITING AGREEMENTUnderwriting Agreement • June 13th, 2022 • Horizon Technology Finance Corp • New York
Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) for whom Keefe, Bruyette & Woods, Inc. (“KBW”) is acting as representative (in such capacity, the “Representative”) $50,000,000 aggregate principal amount of 6.25% Notes due 2027 (the “Notes”).
SUPPLEMENTAL INDENTURE by and between HORIZON FUNDING I, LLC, as the Issuer, and Dated as of June 5, 2020 HORIZON FUNDING I, LLC Asset Backed NotesSupplemental Indenture • June 26th, 2020 • Horizon Technology Finance Corp • New York
THIS SUPPLEMENTAL INDENTURE, dated as of June 5, 2020 (as amended, modified, restated, supplemented and/or waived from time to time, this “Supplemental Indenture”), is by and between HORIZON FUNDING I, LLC, a Delaware limited liability company, as the issuer (together with its successors and assigns, the “Issuer”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“U.S. Bank”) not in its individual capacity, but solely in its capacity as the trustee (together with its successors and assigns, in such capacity, the “Trustee”).
AMENDMENT NO. 5 TO SALE AND SERVICING AGREEMENTSale and Servicing Agreement • May 10th, 2024 • Horizon Technology Finance Corp • New York
This Amendment No. 5 to Sale and Servicing Agreement, dated as of May 6, 2024 (this “Amendment”) is by and among Horizon Funding I, LLC, a Delaware limited liability company, as issuer (the “Issuer”), Horizon Secured Loan Fund I LLC, a Delaware limited liability company, as the seller (the “Seller”) and as the originator (the “Originator”), Horizon Technology Finance Corporation, a Delaware corporation, as the servicer (the “Servicer”), U.S. Bank Trust Company, National Association as successor in interest to U.S. Bank National Association (“U.S. Bank”), not in its individual capacity but as the indenture trustee (the “Trustee”), and U.S. Bank National Association not in its individual capacity but as the backup servicer (the “Backup Servicer”), not in its individual capacity but as the custodian (the “Custodian”), not in its individual capacity but as the lockbox bank (the “Lockbox Bank”) and not in its individual capacity but solely as securities intermediary (the “Securities Interme
INDENTURE by and among HORIZON FUNDING II, LLC, as the Issuer, U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee, and U.S. BANK NATIONAL ASSOCIATION, as the Securities Intermediary Dated as of June 21, 2024 HORIZON FUNDING II, LLC Asset...Indenture • June 24th, 2024 • Horizon Technology Finance Corp • New York
THIS INDENTURE, dated as of June 21, 2024 (as amended, modified, restated, supplemented and/or waived from time to time, this “Indenture”), is by and between Horizon Funding II, LLC, a Delaware limited liability company, as the issuer (together with its successors and assigns, the “Issuer”), U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, a national banking association (“U.S. Bank Trust”) not in its individual capacity, but solely in its capacity as the trustee (together with its successors and assigns, in such capacity, the “Trustee”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“U.S. Bank N.A.”) not in its individual capacity, but solely in its capacity as the securities intermediary (together with its successors and assigns, in such capacity, the “Securities Intermediary”).
SECOND AMENDMENT OF TRANSACTION DOCUMENTSCredit and Security Agreement • June 7th, 2010 • Horizon Technology Finance Corp
THIS SECOND AMENDMENT OF TRANSACTION DOCUMENTS (this “Amendment”), made as of October 7, 2008, by and among HORIZON CREDIT I LLC, a Delaware limited liability company (the “Borrower”), WESTLB AG, NEW YORK BRANCH, as the Lender (in such capacity, together with its successors and assigns, the “Lender”) and as the Agent for the Lender (in such capacity, together with its successors and assigns, the “Agent”), and U.S. BANK NATIONAL ASSOCIATION, as the Custodian (in such capacity, the “Custodian”), and as the Paying Agent (in such capacity, the “Paying Agent”),
At Market Issuance Sales AgreementAt Market Issuance Sales Agreement • July 31st, 2020 • Horizon Technology Finance Corp • New York
Each of Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), and Horizon Technology Finance Management, LLC, a Delaware limited liability company (the “Adviser”), registered as an investment adviser under the Investment Advisers Act of 1940, as amended, and the rules and regulations thereunder (the “Advisers Act”), confirms its agreement (this “Agreement”) with Goldman Sachs & Co. LLC and B. Riley FBR, Inc. (each individually an “Agent” and collectively, the “Agents”), as follows:
AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENTLoan and Security Agreement • June 30th, 2023 • Horizon Technology Finance Corp • New York
THIS AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Amendment”) dated as of June 29, 2023, is entered into by and among HORIZON CREDIT II LLC (the “Borrower”), MUFG BANK, LTD., as a Lender, MITSUBISHI HC CAPITAL AMERICA, INC., as a Lender, and KEYBANK NATIONAL ASSOCIATION as a Lender and as Arranger and Agent (in such capacity, the “Agent”). Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Loan Agreement (as defined below).
AMENDMENT NO. 1 TO SALE AND SERVICING AGREEMENTSale and Servicing Agreement • June 26th, 2020 • Horizon Technology Finance Corp • New York
This Amendment No. 1 to Sale and Servicing Agreement, dated as of June 19, 2019 (this “Amendment”) is by and among Horizon Funding I, LLC, a Delaware limited liability company, as issuer (the “Issuer”), Horizon Secured Loan Fund I LLC, a Delaware limited liability company, as the seller (the “Seller”) and as the originator (the “Originator”), Horizon Technology Finance Corporation, a Delaware corporation, as the servicer (the “Servicer”) and U.S. Bank National Association (“U.S. Bank”), not in its individual capacity but as the indenture trustee (the “Trustee”), not in its individual capacity but as the backup servicer (the “Backup Servicer”), not in its individual capacity but as the custodian (the “Custodian”), not in its individual capacity but as the lockbox bank (the “Lockbox Bank”) and not in its individual capacity but solely as securities intermediary (the “Securities Intermediary”). Each of the Issuer, the Originator, the Servicer, the Trustee, the Backup Servicer, the Lockbox
AMENDMENT NO. 7 TO AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • June 30th, 2020 • Horizon Technology Finance Corp • New York
THIS AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Agreement”), is entered into as of November 4, 2013, between and among, on the one hand, the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns, are referred to hereinafter each individually as a “Lender” and collectively as the “Lenders”), KEY EQUIPMENT FINANCE INC., a Michigan corporation, as the arranger and administrative agent for the Lenders (“Agent”), and, on the other hand, HORIZON CREDIT II LLC, a Delaware limited liability company (“Borrower”).
