Horizon Technology Finance Corp (HRZN) [Rocket]

Ownership

Horizon Technology Finance Corp (HRZN)

Portfolio as of:

Name	Shares	Change	Value	% Port	% OS	Hist	Date
Green Alpha Advisors, LLC	255,273	5,157	3,032,647,000	2.33	0.89	Hist	09/30/2023
Advisors Asset Management, Inc.	214,308	-72,926	2,588,841,000	0.05	0.75	Hist	06/30/2023
MORGAN STANLEY	204,959	158,834	2,475,905,000	0.00	0.72	Hist	06/30/2023
Eqis Capital Management, Inc.	135,925	-10,226	1,641,970,000	0.18	0.47	Hist	06/30/2023
BlackRock Inc.	129,612	-5,176	1,565,713,000	0.00	0.45	Hist	06/30/2023
MACKENZIE FINANCIAL CORP	46,297	3,902	569,453,000	0.00	0.16	Hist	06/30/2023
ETF Store, Inc.	39,874	3,315	505,997,000	0.35	0.14	Hist	06/30/2023
ADVISOR GROUP HOLDINGS, INC.	37,581	9,031	453,981,000			Hist	06/30/2023
ROYAL BANK OF CANADA	35,439	-72	428,000,000	0.00	0.12	Hist	06/30/2023
WELLS FARGO & COMPANY/MN	35,289	1,182	426,292,000	0.00	0.12	Hist	06/30/2023
LPL Financial LLC	36,127	13,226	407,511,000	0.00	0.13	Hist	03/31/2023
PATHSTONE FAMILY OFFICE, LLC	32,474	379	392,843,000	0.01	0.11	Hist	06/30/2023
ROBOTTI ROBERT	32,500	32,500	392,600,000	0.06	0.11	Hist	06/30/2023
Virtus ETF Advisers LLC	24,468	-4,379	295,573,000	0.18	0.09	Hist	06/30/2023
ENVESTNET ASSET MANAGEMENT INC	22,543	-29	272,318,000	0.00	0.08	Hist	06/30/2023
Parisi Gray Wealth Management	22,000	0	261,360,000	0.12	0.08	Hist	09/30/2023
UBS Group AG	21,604	6,197	260,976,000	0.00	0.08	Hist	06/30/2023
Y-Intercept (Hong Kong) Ltd	20,551	20,551	248,256,000	0.03	0.07	Hist	06/30/2023
WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC	19,000	9,000	229,520,000	0.01	0.07	Hist	06/30/2023
NIA IMPACT ADVISORS, LLC	15,907	925	195,336,000	0.11	0.06	Hist	06/30/2023
First Affirmative Financial Network	16,116	-64	194,684,000	0.19	0.06	Hist	06/30/2023
Schonfeld Strategic Advisors LLC	14,000	14,000	169,120,000	0.00	0.05	Hist	06/30/2023
CPR Investments Inc.	14,973	-7,054	168,895,000	0.16	0.05	Hist	03/31/2023
Invesco Ltd.	13,903	-16,191	167,948,000	0.00	0.05	Hist	06/30/2023
BSW Wealth Partners	11,902	-26	143,772,000	0.03	0.04	Hist	06/30/2023
Belpointe Asset Management LLC	12,566	-7,056	141,744,000	0.01	0.04	Hist	03/31/2023
Fortis Capital Advisors, LLC	12,006	12,006	139,268,000	0.08	0.05	Hist	12/31/2022
TWO SIGMA INVESTMENTS, LP	10,527	10,527	127,166,000	0.00	0.04	Hist	06/30/2023
Terrapin Asset Management, LLC	10,000	10,000	120,800,000	0.16	0.03	Hist	06/30/2023
B. Riley Wealth Management, Inc.	8,354	8,354	88,638,000	0.10		Hist	06/30/2022
Quantbot Technologies LP	5,782	4,385	69,847,000	0.00	0.02	Hist	06/30/2023
AXS Investments LLC	5,245	0	63,360,000	0.02	0.02	Hist	06/30/2023
BDO Wealth Advisors, LLC	5,500	-2,390	62,040,000	0.01	0.02	Hist	03/31/2023
American Portfolios Advisors	4,220	4,220	42,242,000	0.00	0.02	Hist	09/30/2022
BANK OF AMERICA CORP /DE/	2,225	357	26,874,000	0.00	0.01	Hist	06/30/2023
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