Shares HORIZON TECHNOLOGY FINANCE CORPORATION COMMON STOCK, PAR VALUE $0.001 PER SHARE FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • July 2nd, 2010 • 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 Morgan Stanley & Co. Incorporated (“Morgan Stanley”) and UBS Securities LLC (“UBS”) are acting as representatives (in such capacity, the “Representatives”), and Compass Horizon Partners, L.P., a Delaware limited partnership (the “Selling Shareholder”), hereto severally proposes to sell to the several Underwriters, an aggregate of shares of the common stock, par value $0.001 per share of the Company (the “Firm Shares”), of which shares are to be issued and sold by the Company and shares are to be sold by the Selling Shareholder.
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”).
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”).
FORM OF INVESTMENT MANAGEMENT AGREEMENTInvestment Management 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 “Advisor”).
CONSENT AND THIRD AMENDMENT OF TRANSACTION DOCUMENTSConsent and Third Amendment of Transaction Documents • July 2nd, 2010 • Horizon Technology Finance Corp
THIS CONSENT AND THIRD AMENDMENT OF TRANSACTION DOCUMENTS (this “Amendment”), made as of June 25, 2010, by and among HORIZON CREDIT I LLC, a Delaware limited liability company, as the Borrower (in such capacity, the “Borrower”), and as the Purchaser (in such capacity, the “Purchaser”) COMPASS HORIZON FUNDING COMPANY LLC (the “Seller”), 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”). All capitalized terms used in this Amendment and not otherwise defined herein shall have the meanings ascribed thereto in the Credit Agreement (as defined below).
SALE AND CONTRIBUTION AGREEMENT by and between COMPASS HORIZON FUNDING COMPANY LLC as Seller, and HORIZON CREDIT I LLC as Purchaser dated as of March 4, 2008Sale and Contribution Agreement • July 2nd, 2010 • Horizon Technology Finance Corp • New York
SALE AND CONTRIBUTION AGREEMENT, dated as of March 4, 2008, by and between COMPASS HORIZON FUNDING COMPANY LLC, a Delaware limited liability company (the “Seller”) and HORIZON CREDIT I LLC, a Delaware limited liability company (the “Purchaser”).
