Roth Capital Partners Appoints Seth Appel as Head of ATM & Equity Alternatives Banking
Written by Emily J. Thompson, Senior Investment Analyst
Updated: 54 minutes ago
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Should l Buy HRZN?
Source: Newsfilter
- Strategic Appointment: Roth Capital Partners has appointed Seth Appel as Head of ATM & Equity Alternatives Banking, leveraging over 30 years of capital markets experience to enhance the firm's equity capital market capabilities, particularly in efficiently raising capital for growth companies.
- New Fund Formation: Appel will also serve as Co-Chief Investment Officer of the newly established RoHo Capital Opportunities Fund, a joint venture between Horizon Technology Finance Corporation and CR Financial Holdings, focusing on providing debt financing solutions to small- and micro-cap public companies, thereby enhancing Roth's service capabilities.
- Extensive Transaction Experience: Prior to joining Roth, Appel was a Senior Managing Director at B. Riley Securities, where he completed hundreds of transactions, raising over $25 billion for clients, showcasing his deep background and extensive network in capital markets.
- Alignment with Company Vision: Roth's Co-CEO Aaron Gurewitz stated that Appel's innovative financing solutions and strong relationships with institutional and retail investors align perfectly with the firm's mission, further strengthening Roth's ability to help clients achieve strategic objectives in complex market environments.
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Analyst Views on HRZN
Wall Street analysts forecast HRZN stock price to rise
3 Analyst Rating
1 Buy
1 Hold
1 Sell
Hold
Current: 4.770
Low
6.00
Averages
6.67
High
7.50
Current: 4.770
Low
6.00
Averages
6.67
High
7.50
About HRZN
Horizon Technology Finance Corporation is a specialty finance company that provides capital in the form of secured loans to venture capital-backed companies in the technology, life science, healthcare information and services, and sustainability industries. The Company's investment objective is to maximize its investment portfolio’s return by generating current income from the debt investments it makes and capital appreciation from the warrants it receives when making such debt investments. It is focused on making secured debt investments to venture capital and private equity-backed companies and publicly traded companies in its target industries. It seeks to invest in companies that vary by their stage of development, their target industries and sectors of target industries and their geographical location, as well as by the venture capital and private equity sponsors that support its portfolio companies. The Company’s adviser is Horizon Technology Finance Management LLC.
About the author
Emily J. Thompson
Emily J. Thompson, a Chartered Financial Analyst (CFA) with 12 years in investment research, graduated with honors from the Wharton School. Specializing in industrial and technology stocks, she provides in-depth analysis for Intellectia’s earnings and market brief reports.
Roth Capital Partners Appoints Seth Appel as Head of ATM & Equity Alternatives Banking
- Strategic Appointment: Roth Capital Partners has appointed Seth Appel as Head of ATM & Equity Alternatives Banking, leveraging over 30 years of capital markets experience to enhance the firm's equity capital market capabilities, particularly in efficiently raising capital for growth companies.
- New Fund Formation: Appel will also serve as Co-Chief Investment Officer of the newly established RoHo Capital Opportunities Fund, a joint venture between Horizon Technology Finance Corporation and CR Financial Holdings, focusing on providing debt financing solutions to small- and micro-cap public companies, thereby enhancing Roth's service capabilities.
- Extensive Transaction Experience: Prior to joining Roth, Appel was a Senior Managing Director at B. Riley Securities, where he completed hundreds of transactions, raising over $25 billion for clients, showcasing his deep background and extensive network in capital markets.
- Alignment with Company Vision: Roth's Co-CEO Aaron Gurewitz stated that Appel's innovative financing solutions and strong relationships with institutional and retail investors align perfectly with the firm's mission, further strengthening Roth's ability to help clients achieve strategic objectives in complex market environments.
See More
Roth Capital Partners Appoints Seth Appel as Head of ATM & Equity Alternatives Banking
- Strategic Appointment: Roth Capital Partners has appointed Seth Appel as Head of ATM & Equity Alternatives Banking, leveraging over 30 years of capital markets experience to enhance the firm's capabilities in equity capital markets, particularly in efficiently raising capital for growth companies.
- New Fund Launch: Appel will also serve as Co-Chief Investment Officer of the RoHo Capital Opportunities Fund, a joint venture between Roth, Horizon Technology Finance Corporation, and CR Financial Holdings, focusing on providing debt financing solutions to small- and micro-cap public companies.
- Extensive Transaction Experience: Prior to joining Roth, Appel was a Senior Managing Director at B. Riley Securities, where he completed hundreds of transactions raising over $25 billion for clients, showcasing his deep expertise and extensive network in capital markets.
- Strengthening Market Platform: Appel's addition further strengthens Roth's capital markets platform, enabling the firm to provide strategic support to clients navigating complex market environments, reflecting Roth's commitment to delivering world-class investment banking services to growth companies and their investors.
See More
Horizon Provides $25M Credit Facility to Stellar Cyber for Growth
- Credit Support: Horizon Technology Finance announced on Thursday that it has provided a delayed-draw senior credit facility of up to $25 million to Stellar Cyber, aimed at supporting its continued growth, reflecting confidence in its business model.
- Platform Strength: Stellar Cyber's AI-native security platform boasts over 500 integrations and supports more than 14,000 organizations across over 50 countries through MSSP partners, showcasing its extensive global reach and influence.
- Accelerated Development: The credit facility will enable Stellar Cyber to accelerate the development of its AI platform, expand its go-to-market reach, and enhance its unified security operations offering, thereby increasing its competitive edge in the market.
- Strategic Implications: Horizon's financing initiative not only provides essential funding for Stellar Cyber but also indicates a strategic positioning within the rapidly evolving cybersecurity sector, which is expected to foster long-term collaboration and growth for both parties.
See More
Horizon Technology Finance Under Investigation for Securities Fraud
- Declining Financial Performance: Horizon Technology reported a net investment income of $0.18 per share for Q4 2025 on March 3, 2026, down from $0.32 in the previous quarter and $0.27 year-over-year, indicating significant profitability challenges for the company.
- Net Asset Value Drop: As of December 31, 2025, Horizon's net asset value per share fell to $6.98, down from $7.12 in the prior quarter and $8.43 a year earlier, reflecting deteriorating asset quality and investor concerns.
- Stock Price Plunge: Following the earnings announcement, Horizon's stock price dropped by $1.42, or 23.32%, closing at $4.67 per share on March 4, 2026, severely undermining investor confidence and market perception.
- Legal Investigation Initiated: Pomerantz LLP is investigating Horizon and its executives for potential securities fraud or unlawful business practices, which could have significant implications for the company's future legal liabilities and market reputation.
See More
MONROE CAPITAL CORP ANNOUNCES PLANNED MERGER WITH HORIZON TECHNOLOGY FINANCE CORPORATION AROUND APRIL 14 IN A MULTI-STEP PROCESS
- Merger Announcement: Monroe Capital Corp is set to merge with Horizon Technology Finance Corporation.
- Timeline: The merger is expected to take place around April 14, following a multi-step process.
See More
Monroe Capital Announces Final Distribution Record Date
- Final Cash Distribution Announcement: Monroe Capital has declared a final cash distribution that includes all undistributed net ordinary income and capital gains through the anticipated closing date of the merger, plus $13 million from the asset sale, indicating the company's financial stability during the merger process.
- Merger and Asset Sale Timeline: The merger and asset sale are expected to close on April 14, 2026, with the final distribution amount to be determined beforehand, showcasing the company's proactive progress in its M&A activities.
- Shareholder Holding Requirement: Shareholders must hold MRCC shares by April 10, 2026, to receive the final distribution, which may impact short-term stock liquidity and reflects the company's commitment to shareholder rights.
- Distribution Plan Changes: The final distribution will not apply to the Dividend Reinvestment Plan (DRIP), meaning all participants will receive cash, potentially affecting investors' reinvestment strategies and demonstrating the company's transparency in its distribution policies.
See More
Roth Capital Partners Appoints Seth Appel as Head of ATM & Equity Alternatives Banking
- Strategic Appointment: Roth Capital Partners has appointed Seth Appel as Head of ATM & Equity Alternatives Banking, leveraging over 30 years of capital markets experience to enhance the firm's equity capital market capabilities, particularly in efficiently raising capital for growth companies.
- New Fund Formation: Appel will also serve as Co-Chief Investment Officer of the newly established RoHo Capital Opportunities Fund, a joint venture between Horizon Technology Finance Corporation and CR Financial Holdings, focusing on providing debt financing solutions to small- and micro-cap public companies, thereby enhancing Roth's service capabilities.
- Extensive Transaction Experience: Prior to joining Roth, Appel was a Senior Managing Director at B. Riley Securities, where he completed hundreds of transactions, raising over $25 billion for clients, showcasing his deep background and extensive network in capital markets.
- Alignment with Company Vision: Roth's Co-CEO Aaron Gurewitz stated that Appel's innovative financing solutions and strong relationships with institutional and retail investors align perfectly with the firm's mission, further strengthening Roth's ability to help clients achieve strategic objectives in complex market environments.
See More
Roth Capital Partners Appoints Seth Appel as Head of ATM & Equity Alternatives Banking
- Strategic Appointment: Roth Capital Partners has appointed Seth Appel as Head of ATM & Equity Alternatives Banking, leveraging over 30 years of capital markets experience to enhance the firm's capabilities in equity capital markets, particularly in efficiently raising capital for growth companies.
- New Fund Launch: Appel will also serve as Co-Chief Investment Officer of the RoHo Capital Opportunities Fund, a joint venture between Roth, Horizon Technology Finance Corporation, and CR Financial Holdings, focusing on providing debt financing solutions to small- and micro-cap public companies.
- Extensive Transaction Experience: Prior to joining Roth, Appel was a Senior Managing Director at B. Riley Securities, where he completed hundreds of transactions raising over $25 billion for clients, showcasing his deep expertise and extensive network in capital markets.
- Strengthening Market Platform: Appel's addition further strengthens Roth's capital markets platform, enabling the firm to provide strategic support to clients navigating complex market environments, reflecting Roth's commitment to delivering world-class investment banking services to growth companies and their investors.
See More
Horizon Provides $25M Credit Facility to Stellar Cyber for Growth
- Credit Support: Horizon Technology Finance announced on Thursday that it has provided a delayed-draw senior credit facility of up to $25 million to Stellar Cyber, aimed at supporting its continued growth, reflecting confidence in its business model.
- Platform Strength: Stellar Cyber's AI-native security platform boasts over 500 integrations and supports more than 14,000 organizations across over 50 countries through MSSP partners, showcasing its extensive global reach and influence.
- Accelerated Development: The credit facility will enable Stellar Cyber to accelerate the development of its AI platform, expand its go-to-market reach, and enhance its unified security operations offering, thereby increasing its competitive edge in the market.
- Strategic Implications: Horizon's financing initiative not only provides essential funding for Stellar Cyber but also indicates a strategic positioning within the rapidly evolving cybersecurity sector, which is expected to foster long-term collaboration and growth for both parties.
See More
Horizon Technology Finance Under Investigation for Securities Fraud
- Declining Financial Performance: Horizon Technology reported a net investment income of $0.18 per share for Q4 2025 on March 3, 2026, down from $0.32 in the previous quarter and $0.27 year-over-year, indicating significant profitability challenges for the company.
- Net Asset Value Drop: As of December 31, 2025, Horizon's net asset value per share fell to $6.98, down from $7.12 in the prior quarter and $8.43 a year earlier, reflecting deteriorating asset quality and investor concerns.
- Stock Price Plunge: Following the earnings announcement, Horizon's stock price dropped by $1.42, or 23.32%, closing at $4.67 per share on March 4, 2026, severely undermining investor confidence and market perception.
- Legal Investigation Initiated: Pomerantz LLP is investigating Horizon and its executives for potential securities fraud or unlawful business practices, which could have significant implications for the company's future legal liabilities and market reputation.
See More
MONROE CAPITAL CORP ANNOUNCES PLANNED MERGER WITH HORIZON TECHNOLOGY FINANCE CORPORATION AROUND APRIL 14 IN A MULTI-STEP PROCESS
- Merger Announcement: Monroe Capital Corp is set to merge with Horizon Technology Finance Corporation.
- Timeline: The merger is expected to take place around April 14, following a multi-step process.
See More
Monroe Capital Announces Final Distribution Record Date
- Final Cash Distribution Announcement: Monroe Capital has declared a final cash distribution that includes all undistributed net ordinary income and capital gains through the anticipated closing date of the merger, plus $13 million from the asset sale, indicating the company's financial stability during the merger process.
- Merger and Asset Sale Timeline: The merger and asset sale are expected to close on April 14, 2026, with the final distribution amount to be determined beforehand, showcasing the company's proactive progress in its M&A activities.
- Shareholder Holding Requirement: Shareholders must hold MRCC shares by April 10, 2026, to receive the final distribution, which may impact short-term stock liquidity and reflects the company's commitment to shareholder rights.
- Distribution Plan Changes: The final distribution will not apply to the Dividend Reinvestment Plan (DRIP), meaning all participants will receive cash, potentially affecting investors' reinvestment strategies and demonstrating the company's transparency in its distribution policies.
See More
