HORIZON TECHNOLOGY FIN CORP

Ticker: HRZN CUSIP: 44045A102 Class: COMMON STOCK

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
Green Alpha Advisors, LLC558,944$3,605
TWO SIGMA INVESTMENTS, LP519,253$3,349
Eagle Point Credit Management LLC369,796$2,385
Legal & General Group Plc306,904$1,983
BlackRock, Inc.287,947$1,857
MARSHALL WACE, LLP282,289$1,821
Connecticut Wealth Management, LLC212,842$1,373
Virtus Investment Advisers, LLC167,524$1,081
JANE STREET GROUP, LLC82,290$531
MORGAN STANLEY76,865$496
FIRST FINANCIAL BANK - TRUST DIVISION65,573$423
BANK OF AMERICA CORP /DE/63,972$413
TWO SIGMA ADVISERS, LP63,197$408
Quantbot Technologies LP61,614$397
ETF Store, Inc.60,873$393
Quadrature Capital Ltd56,559$365
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC53,580$346
GREAT WEST LIFE ASSURANCE CO /CAN/53,304$0
CAPTRUST FINANCIAL ADVISORS50,035$323
Pathstone Holdings, LLC49,637$323
Regal Investment Advisors LLC49,059$316
UBS Group AG39,980$258
LPL Financial LLC37,270$240
AQR CAPITAL MANAGEMENT LLC34,164$220
JACKSON THORNTON ASSET MANAGEMENT, LLC34,164$226
OSAIC HOLDINGS, INC.33,258$215
WINTON GROUP Ltd30,516$197
WELLS FARGO & COMPANY/MN29,992$193
Schonfeld Strategic Advisors LLC29,028$187
Financial Engines Advisors L.L.C.21,604$139
Cetera Investment Advisers21,346$138
OXFORD ASSET MANAGEMENT LLP20,499$132
ROYAL BANK OF CANADA20,290$131
ENVESTNET ASSET MANAGEMENT INC17,567$113
NORTHERN TRUST CORP17,337$112
RAYMOND JAMES FINANCIAL INC15,066$97
SUSQUEHANNA INTERNATIONAL GROUP, LLP13,058$84
Prime Capital Investment Advisors, LLC12,185$79
ADELL HARRIMAN & CARPENTER INC12,000$77
HRT FINANCIAL LP11,991$0
MILLENNIUM MANAGEMENT LLC11,551$75
NATIONS FINANCIAL GROUP INC, /IA/ /ADV10,450$67
Allworth Financial LP10,205$66
N.E.W. Advisory Services LLC4,000$26
Nova Wealth Management, Inc.3,722$24
Garton & Associates Financial Advisors LLC3,055$20
COMERICA BANK2,653$17
SIMPLEX TRADING, LLC2,260$15
ORG Partners LLC2,120$14
Tower Research Capital LLC (TRC)1,491$10
Chung Wu Investment Group, LLC1,100$7
Caitong International Asset Management Co., Ltd1,085$7
FLAGSHIP HARBOR ADVISORS, LLC821$5
PIN OAK INVESTMENT ADVISORS INC800$0
MAI Capital Management736$5
Triumph Capital Management300$2
SageView Advisory Group, LLC300$2
Aspect Partners, LLC158$1
Signature Equity Partners, LLC113$1
Spire Wealth Management100$1
Ronald Blue Trust, Inc.80$1
Sound Income Strategies, LLC50$0
CWM, LLC25$0
CITIGROUP INC11$0
DANSKE BANK A/S4$0
Total (65 institutions)4,000,562$25,389