HORIZON TECHNOLOGY FIN CORP

Ticker: HRZN CUSIP: 44045A102 Class: COMMON STOCK

GAM Holding AG's Holding History (CIK: 0001438848)

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

Q4 2016

Shares 20,013 Value ($000) $211 Avg Close $4.11 Range $3.35 - $4.76

Q3 2016

Shares 8,756 Value ($000) $119 Avg Close $4.57 Range $4.11 - $4.75

Period	Shares	Value ($000)	Average Close	Price Range
Q4 2016	20,013	$211	$4.11	$3.35 - $4.76
Q3 2016	8,756	$119	$4.57	$4.11 - $4.75