HORIZON TECHNOLOGY FIN CORP

Ticker: HRZN CUSIP: 44045A102 Class: COMMON STOCK

NWAM LLC's Holding History (CIK: 0001655006)

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

Q3 2018

Shares 11,069 Value ($000) $126 Avg Close $4.65 Range $4.21 - $5.04

Q2 2018

Shares 11,069 Value ($000) $112 Avg Close $4.20 Range $4.07 - $4.38

Q1 2018

Shares 12,575 Value ($000) $131 Avg Close $4.36 Range $4.07 - $4.68

Q4 2017

Shares 10,650 Value ($000) $119 Avg Close $4.29 Range $4.08 - $4.45

Q3 2017

Shares 10,650 Value ($000) $118 Avg Close $4.13 Range $3.67 - $4.42

Q2 2017

Shares 10,650 Value ($000) $121 Avg Close $4.16 Range $4.02 - $4.30

Q1 2017

Shares 15,650 Value ($000) $174 Avg Close $3.98 Range $3.61 - $4.20

Period	Shares	Value ($000)	Average Close	Price Range
Q3 2018	11,069	$126	$4.65	$4.21 - $5.04
Q2 2018	11,069	$112	$4.20	$4.07 - $4.38
Q1 2018	12,575	$131	$4.36	$4.07 - $4.68
Q4 2017	10,650	$119	$4.29	$4.08 - $4.45
Q3 2017	10,650	$118	$4.13	$3.67 - $4.42
Q2 2017	10,650	$121	$4.16	$4.02 - $4.30
Q1 2017	15,650	$174	$3.98	$3.61 - $4.20