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Horizon Technology Finance
HRZN

Name Holding Trade Value Shares
Change 		Change in
Stake
PI
1
Putnam Investments
Massachusetts
$5.02M -$729K -52,914 -13%
CIM
2
Confluence Investment Management
Missouri
$4.72M – – –
YMRC
3
Yorktown Management & Research Company
Virginia
$4.09M – – –
BFA
4
BlackRock Fund Advisors
California
$3.43M -$70.8K -5,139 -2%
U
5
UBS
Switzerland
$2.39M +$108K +7,857 +5%
WFI
6
West Family Investments
California
$1.61M – – –
State Street
7
State Street
Massachusetts
$1.45M -$5.15K -374 -0.4%
LSV Asset Management
8
LSV Asset Management
Illinois
$1.44M +$1.4M +101,648 New
Northern Trust
9
Northern Trust
Illinois
$1.36M +$43.2K +3,134 +3%
BIT
10
BlackRock Institutional Trust
California
$1.33M -$110K -7,978 -8%
NFA
11
Nationwide Fund Advisors
Ohio
$1.3M -$196K -14,253 -13%
Wells Fargo
12
Wells Fargo
California
$1.02M -$205K -14,853 -17%
TCIM
13
TIAA CREF Investment Management
New York
$544K – – –
Two Sigma Advisers
14
Two Sigma Advisers
New York
$503K +$487K +35,372 New
Two Sigma Investments
15
Two Sigma Investments
New York
$447K +$433K +31,436 New
BIM
16
BlackRock Investment Management
Delaware
$415K -$8.6K -624 -2%
BAS
17
Brown Advisory Securities
Maryland
$370K -$25.5K -1,852 -7%
Bank of New York Mellon
18
Bank of New York Mellon
New York
$363K -$1.33M -96,695 -79%
Morgan Stanley
19
Morgan Stanley
New York
$313K -$107K -7,761 -26%
AAM
20
Advisors Asset Management
Colorado
$305K +$296K +21,497 New
NCCM
21
Nine Chapters Capital Management
New Jersey
$230K +$48.2K +3,500 +28%
ZL
22
Zeke LP
Pennsylvania
$213K -$1.01M -73,000 -83%
California State Teachers Retirement System (CalSTRS)
23
California State Teachers Retirement System (CalSTRS)
California
$212K +$2.75K +200 +1%
Vanguard Group
24
Vanguard Group
Pennsylvania
$203K +$28.3K +2,056 +17%
AIM
25
Allen Investment Management
New York
$189K +$15.7K +1,140 +9%
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