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Horizon Technology Finance
HRZN

Name Holding Trade Value Shares
Change 		Change in
Stake
PI
1
Putnam Investments
Massachusetts
$4.61M +$4.73M +335,753 New
CIM
2
Confluence Investment Management
Missouri
$4.56M +$4.68M +332,194 New
YMRC
3
Yorktown Management & Research Company
Virginia
$4.12M +$4.22M +300,000 New
BFA
4
BlackRock Fund Advisors
California
$3.03M +$3.11M +220,556 New
U
5
UBS
Switzerland
$2.12M +$2.18M +154,558 New
WFI
6
West Family Investments
California
$1.56M +$1.6M +113,334 New
Bank of New York Mellon
7
Bank of New York Mellon
New York
$1.48M +$1.51M +107,521 New
State Street
8
State Street
Massachusetts
$1.42M +$1.46M +103,363 New
Northern Trust
9
Northern Trust
Illinois
$1.42M +$1.45M +103,100 New
BIT
10
BlackRock Institutional Trust
California
$1.31M +$1.34M +95,376 New
NFA
11
Nationwide Fund Advisors
Ohio
$1.31M +$1.34M +95,038 New
ZL
12
Zeke LP
Pennsylvania
$1.21M +$1.24M +88,000 New
Wells Fargo
13
Wells Fargo
California
$1.09M +$1.12M +79,256 New
HA
14
Heartland Advisors
Wisconsin
$910K +$938K +66,625 New
SNC
15
Stifel Nicolaus & Co
Missouri
$902K +$924K +65,617 New
TCIM
16
TIAA CREF Investment Management
New York
$496K +$509K +36,122 New
Morgan Stanley
17
Morgan Stanley
New York
$426K +$436K +30,943 New
BIM
18
BlackRock Investment Management
Delaware
$389K +$399K +28,314 New
BAS
19
Brown Advisory Securities
Maryland
$383K +$394K +27,948 New
BRWA
20
B. Riley Wealth Advisors
Florida
$262K +$268K +19,059 New
Brown Advisory
21
Brown Advisory
Maryland
$252K +$258K +18,318 New
ARTA
22
A.R.T. Advisors
New York
$213K +$219K +15,570 New
TC
23
TFS Capital
Pennsylvania
$209K +$214K +15,190 New
California State Teachers Retirement System (CalSTRS)
24
California State Teachers Retirement System (CalSTRS)
California
$197K +$202K +14,338 New
TA
25
Teachers Advisors
New York
$170K +$174K +12,374 New
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