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Horizon Technology Finance
HRZN

46 hedge funds and large institutions have $34.9M invested in Horizon Technology Finance in 2013 Q3 according to their latest regulatory filings, with 2 funds opening new positions, 21 increasing their positions, 14 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

50% more repeat investments, than reductions

Existing positions increased: 21 | Existing positions reduced: 14

2% less capital invested

Capital invested by funds: $35.5M → $34.9M (-$605K)

4% less funds holding

Funds holding: 48 → 46 (-2)

33% less first-time investments, than exits

New positions opened: 2 | Existing positions closed: 3

Holders
46
Holders Change
-2
Holders Change %
-4.17%
% of All Funds
1.49%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
2
Increased
21
Reduced
14
Closed
3
Calls
$16K
Puts
–
Net Calls
+$16K
Net Calls Change
+$16K

Top Buyers

Rank Fund Capital Flow
1
PI
Putnam Investments
Massachusetts
+$971K
2
BFA
BlackRock Fund Advisors
California
+$362K
3
Bank of New York Mellon
Bank of New York Mellon
New York
+$204K
4
NCCM
Nine Chapters Capital Management
New Jersey
+$176K
5
NFA
Nationwide Fund Advisors
Ohio
+$150K

Top Sellers

Rank Fund Capital Flow
1
HA
Heartland Advisors
Wisconsin
-$910K
2
ARTA
A.R.T. Advisors
New York
-$213K
3
TC
TFS Capital
Pennsylvania
-$209K
4
YMRC
Yorktown Management & Research Company
Virginia
-$166K
5
Northern Trust
Northern Trust
Illinois
-$142K
Name Holding Trade Value Shares
Change 		Change in
Stake
AIM
26
Allen Investment Management
New York
$162K +$4.13K +299 +3%
Charles Schwab
27
Charles Schwab
California
$149K – – –
VanEck Associates
28
VanEck Associates
New York
$141K +$38.1K +2,754 +35%
RhumbLine Advisers
29
RhumbLine Advisers
Massachusetts
$138K +$1.16K +84 +0.8%
Invesco
30
Invesco
Georgia
$123K +$27.3K +1,978 +27%
AIG
31
American International Group
New York
$73.9K -$22.3K -1,611 -23%
WRM
32
Westport Resources Management
Connecticut
$65K -$4.15K -300 -6%
BA
33
BlackRock Advisors
Delaware
$50K +$2.18K +158 +4%
Citigroup
34
Citigroup
New York
$40K -$29.6K -2,141 -42%
Creative Planning
35
Creative Planning
Kansas
$27K – – –
AllianceBernstein
36
AllianceBernstein
Tennessee
$21K -$14.6K -1,056 -41%
LTFS
37
Ladenburg Thalmann Financial Services
Florida
$16K +$111 +8 +0.7%
Ameriprise
38
Ameriprise
Minnesota
$14K +$6.91K +500 +97%
AC
39
Alexandria Capital
Virginia
$10K – – –
FMII
40
Farmers & Merchants Investments Inc
Nebraska
$8K – – –
Fifth Third Bancorp
41
Fifth Third Bancorp
Ohio
$7K – – –
TRCT
42
Tower Research Capital (TRC)
New York
$7K +$4.98K +360 +257%
California Public Employees Retirement System
43
California Public Employees Retirement System
California
$5K – – –
WP
44
Westend Partners
California
$3K +$3.46K +250 New
Bank of America
45
Bank of America
North Carolina
$2K -$5.05K -365 -70%
Barclays
46
Barclays
United Kingdom
$1K -$387 -28 -26%
HA
47
Heartland Advisors
Wisconsin
– -$910K -66,625 Closed
ARTA
48
A.R.T. Advisors
New York
– -$213K -15,570 Closed
TC
49
TFS Capital
Pennsylvania
– -$209K -15,190 Closed
1
2

HRZN Hedge Fund Activity: Q3 2013 in Review

46 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in Horizon Technology Finance (HRZN) for Q3 2013, worth a combined $34.9M — down 1.7% from $35.5M a quarter earlier.

Sellers outnumbered buyers: 3 funds closed out of HRZN and 2 opened new positions — a net loss of 1 holder — while 14 trimmed existing stakes and 21 added.

The largest buyer was Putnam Investments, adding an estimated $971K. The largest seller was Heartland Advisors, exiting entirely with an estimated $910K sold.

  • 46 institutional investors held Horizon Technology Finance (HRZN) as of Q3 2013, down from 48 in Q2 2013.
  • Funds reported $34.9M of Horizon Technology Finance stock for Q3 2013, down 1.7% quarter-over-quarter.
  • 2 funds opened new Horizon Technology Finance positions in Q3 2013 and 3 closed out, a net change of -1 holder.
  • The largest Horizon Technology Finance buyer in Q3 2013 was Putnam Investments, an estimated $971K added.
  • The largest Horizon Technology Finance seller in Q3 2013 was Heartland Advisors, an estimated $910K sold.

Based on aggregated 13F filings for Q3 2013.