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HORIZON TECHNOLOGY FIN CORP COM
HORIZON TECHNOLOGY FIN CORP COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 28 Institutional holders with a total value of $29,149,196.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Advisors Asset Management, Inc. 785,171 10,985,000 37.69%
2 UBS Group AG 423,167 5,920,000 20.31%
3 CONFLUENCE INVESTMENT MANAGEMENT LLC 284,969 3,987,000 13.68%
4 LSV ASSET MANAGEMENT 136,766 1,913,000 6.56%
5 MORGAN STANLEY 129,355 1,809,000 6.21%
6 Hillsdale Investment Management Inc. 53,800 753,000 2.58%
7 WELLS FARGO & COMPANY/MN 50,817 711,000 2.44%
8 TWO SIGMA INVESTMENTS, LP 46,424 649,000 2.23%
9 TWO SIGMA ADVISERS, LP 32,397 453,000 1.55%
10 VAN ECK ASSOCIATES CORP 28,265 395,000 1.36%
11 Brown Advisory Securities, LLC 25,906 361,000 1.24%
12 West Family Investments, Inc. 24,294 340,000 1.17%
13 RAYMOND JAMES & ASSOCIATES 15,404 216,000 0.74%
14 MILLENNIUM MANAGEMENT LLC 14,486 203,000 0.70%
15 Genesis Wealth Advisors, LLC 7,000 98,841 0.34%
16 Invesco Ltd. 5,440 76,000 0.26%
17 MUFG Securities EMEA plc 4,387 61,000 0.21%
18 B. Riley Wealth Advisors, Inc. 3,247 45,000 0.15%
19 FineMark National Bank & Trust 2,000 28,000 0.10%
20 Creative Planning 2,000 28,000 0.10%
21 DEUTSCHE BANK AG\ 2,000 27,000 0.09%
22 CITIGROUP INC 1,693 24,000 0.08%
23 Tower Research Capital LLC (TRC) 1,606 23,000 0.08%
24 AMERICAN INTERNATIONAL GROUP, INC. 1,312 18,355 0.06%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 976 14,000 0.05%
26 MANUFACTURERS LIFE INSURANCE COMPANY, THE 716 10,000 0.03%
27 MSI Financial Services Inc 80 1,000 0.00%
28 BANK OF AMERICA CORP /DE/ 3 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.