Horizon Technology Finance Corp - HRZN
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Green Alpha Advisors, LLC | History | Added to | 590,141 | 2,484 | 2.45% | 3.3% | 1 | +31,197 | 5.58% | Q1 2026 | Apr 07, 2026 |
| Eagle Point Credit Management LLC | History | Reduced | 366,194 | 1,541 | 2.01% | 2.27% | 2 | -3,602 | -0.97% | Q1 2026 | May 07, 2026 |
| Legal & General Group Plc | History | Added to | 328,655 | 1,391 | 0.0% | 0.0% | 3 | +21,751 | 7.09% | Q1 2026 | May 08, 2026 |
| Connecticut Wealth Management, LLC | History | Added to | 213,811 | 900 | 0.04% | 0.06% | 4 | +969 | 0.46% | Q1 2026 | Apr 30, 2026 |
| BlackRock, Inc. | History | Reduced | 179,487 | 755 | 0.0% | 0.0% | 5 | -108,460 | -37.67% | Q1 2026 | May 13, 2026 |
| MARSHALL WACE, LLP | History | Reduced | 171,778 | 723 | 0.0% | 0.0% | 6 | -110,511 | -39.15% | Q1 2026 | May 14, 2026 |
| TWO SIGMA INVESTMENTS, LP | History | Reduced | 150,179 | 632 | 0.0% | 0.0% | 7 | -369,074 | -71.08% | Q1 2026 | May 15, 2026 |
| UBS Group AG | History | Added to | 144,136 | 606 | 0.0% | 0.0% | 9 | +104,156 | 260.52% | Q1 2026 | May 05, 2026 |
| Virtus Investment Advisers, LLC | History | Reduced | 143,968 | 606 | 0.17% | 0.29% | 8 | -23,556 | -14.06% | Q1 2026 | May 14, 2026 |
| TWO SIGMA ADVISERS, LP | History | No change | 63,197 | 407 | 0.0% | 0.0% | 10 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| MILLENNIUM MANAGEMENT LLC | History | Added to | 75,968 | 319 | 0.0% | 0.0% | 11 | +64,417 | 557.67% | Q1 2026 | May 15, 2026 |
| First Financial Bank - Trust Division | History | No change | 65,573 | 276 | 0.02% | 0.03% | 12 | 0 | 0.0% | Q1 2026 | Apr 01, 2026 |
| IMC-Chicago, LLC | History | New | 61,795 | 260 | 0.0% | — | 13 | +61,795 | New | Q1 2026 | May 05, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 60,953 | 256 | 0.0% | 0.0% | 14 | -3,019 | -4.72% | Q1 2026 | May 15, 2026 |
| CANADA LIFE ASSURANCE Co | History | Added to | 56,485 | 240 | 0.0% | 0.0% | 15 | +3,181 | 5.97% | Q1 2026 | May 14, 2026 |
| Pathstone Holdings, LLC | History | Added to | 51,797 | 221 | 0.0% | 0.0% | 16 | +2,160 | 4.35% | Q1 2026 | May 11, 2026 |
| MORGAN STANLEY | History | Reduced | 47,437 | 199 | 0.0% | 0.0% | 17 | -29,428 | -38.29% | Q1 2026 | May 15, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Reduced | 44,284 | 184 | 0.01% | 0.02% | 18 | -9,296 | -17.35% | Q1 2026 | May 01, 2026 |
| Regal Investment Advisors LLC | History | Reduced | 43,553 | 183 | 0.01% | 0.02% | 19 | -5,506 | -11.22% | Q1 2026 | May 14, 2026 |
| CITADEL ADVISORS LLC | History | Reduced | 38,900 | 163 | 0.0% | 0.0% | 20 | -10,600 | -21.41% | Q1 2026 | May 15, 2026 |
| JACKSON THORNTON WEALTH MANAGEMENT, LLC | History | Reduced | 33,018 | 149 | 0.01% | 0.02% | 21 | -1,146 | -3.35% | Q1 2026 | Apr 29, 2026 |
| AQR CAPITAL MANAGEMENT LLC | History | Reduced | 33,018 | 139 | 0.0% | 0.0% | 22 | -1,146 | -3.35% | Q1 2026 | May 15, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 30,713 | 129 | 0.0% | 0.0% | 23 | -2,545 | -7.65% | Q1 2026 | May 15, 2026 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 27,684 | 116 | 0.0% | 0.0% | 24 | -2,308 | -7.7% | Q1 2026 | May 11, 2026 |
| OXFORD ASSET MANAGEMENT LLP | History | Added to | 27,465 | 115 | 0.05% | 0.05% | 25 | +6,966 | 33.98% | Q1 2026 | May 15, 2026 |
| LPL Financial LLC | History | Reduced | 26,187 | 110 | 0.0% | 0.0% | 26 | -11,083 | -29.74% | Q1 2026 | May 06, 2026 |
| ROYAL BANK OF CANADA | History | Added to | 20,411 | 86 | 0.0% | 0.0% | 27 | +121 | 0.6% | Q1 2026 | May 15, 2026 |
| Cetera Investment Advisers | History | Reduced | 19,870 | 83 | 0.0% | 0.0% | 28 | -1,476 | -6.91% | Q1 2026 | May 13, 2026 |
| Quantbot Technologies LP | History | Reduced | 18,773 | 79 | 0.0% | 0.01% | 29 | -42,841 | -69.53% | Q1 2026 | May 13, 2026 |
| JANE STREET GROUP, LLC | History | Reduced | 17,700 | 74 | 0.0% | 0.0% | 30 | -74,990 | -80.9% | Q1 2026 | May 12, 2026 |
| Virtu Financial LLC | History | New | 17,055 | 72 | 0.0% | — | 31 | +17,055 | New | Q1 2026 | May 14, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 16,683 | 70 | 0.0% | 0.0% | 32 | -884 | -5.03% | Q1 2026 | May 04, 2026 |
| TWO SIGMA SECURITIES, LLC | History | New | 16,508 | 69 | 0.01% | — | 33 | +16,508 | New | Q1 2026 | May 15, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Reduced | 13,733 | 57 | 0.0% | 0.0% | 34 | -1,333 | -8.85% | Q1 2026 | May 14, 2026 |
| Tower Research Capital LLC (TRC) | History | Added to | 13,535 | 56 | 0.0% | 0.0% | 35 | +12,044 | 807.78% | Q1 2026 | May 15, 2026 |
| Patriot Financial Group Insurance Agency, LLC | History | New | 12,452 | 52 | 0.0% | — | 36 | +12,452 | New | Q1 2026 | Apr 22, 2026 |
| ADELL HARRIMAN & CARPENTER INC | History | No change | 12,000 | 50 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| Atria Investments, Inc | History | New | 11,855 | 49 | 0.0% | — | 38 | +11,855 | New | Q1 2026 | May 05, 2026 |
| Sanctuary Advisors, LLC | History | New | 11,855 | 49 | 0.0% | — | 39 | +11,855 | New | Q1 2026 | May 05, 2026 |
| NATIONS FINANCIAL GROUP INC, /IA/ /ADV | History | Added to | 11,450 | 48 | 0.0% | 0.0% | 40 | +1,000 | 9.57% | Q1 2026 | Apr 15, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | New | 10,000 | 42 | 0.0% | — | 41 | +10,000 | New | Q1 2026 | Apr 13, 2026 |
| SIMPLEX TRADING, LLC | History | Added to | 6,931 | 29 | 0.0% | 0.0% | 42 | +4,671 | 206.68% | Q1 2026 | May 14, 2026 |
| COMERICA BANK | History | No change | 2,653 | 17 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| Nova Wealth Management, Inc. | History | No change | 3,722 | 15 | 0.01% | 0.02% | 44 | 0 | 0.0% | Q1 2026 | Apr 14, 2026 |
| ORG Partners LLC | History | No change | 2,120 | 13 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q4 2025 | Jan 14, 2026 |
| FIFTH THIRD BANCORP | History | New | 2,699 | 11 | 0.0% | — | 46 | +2,699 | New | Q1 2026 | May 01, 2026 |
| N.E.W. Advisory Services LLC | History | Reduced | 2,052 | 8 | 0.0% | 0.0% | 47 | -1,948 | -48.7% | Q1 2026 | May 04, 2026 |
| Allworth Financial LP | History | Reduced | 1,139 | 4 | 0.0% | 0.0% | 48 | -9,066 | -88.84% | Q1 2026 | May 14, 2026 |
| Chung Wu Investment Group, LLC | History | No change | 1,100 | 4 | 0.0% | 0.01% | 49 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| MAI Capital Management | History | Added to | 777 | 3 | 0.0% | 0.0% | 50 | +41 | 5.57% | Q1 2026 | May 15, 2026 |
| PIN OAK INVESTMENT ADVISORS INC | History | No change | 800 | 3 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| SALEM INVESTMENT COUNSELORS INC | History | New | 700 | 2 | 0.0% | — | 52 | +700 | New | Q1 2026 | Apr 29, 2026 |
| SageView Advisory Group, LLC | History | No change | 300 | 1 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| ETF Store, Inc. | History | Closed out | 0 | 0 | — | 0.4% | — | -60,873 | -100.0% | Q1 2026 | Apr 30, 2026 |
| Quadrature Capital Ltd | History | Closed out | 0 | 0 | — | 0.0% | — | -56,559 | -100.0% | Q1 2026 | May 15, 2026 |
| CAPTRUST FINANCIAL ADVISORS | History | Closed out | 0 | 0 | — | 0.0% | — | -50,035 | -100.0% | Q1 2026 | May 14, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Closed out | 0 | 0 | — | 0.0% | — | -30,658 | -100.0% | Q1 2026 | May 15, 2026 |
| WINTON GROUP Ltd | History | Closed out | 0 | 0 | — | 0.01% | — | -30,516 | -100.0% | Q1 2026 | May 12, 2026 |
| Schonfeld Strategic Advisors LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -29,028 | -100.0% | Q1 2026 | May 15, 2026 |
| Financial Engines Advisors L.L.C. | History | Closed out | 0 | 0 | — | 0.0% | — | -21,604 | -100.0% | Q1 2026 | May 14, 2026 |
| NORTHERN TRUST CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -17,337 | -100.0% | Q1 2026 | May 14, 2026 |
| Prime Capital Investment Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,185 | -100.0% | Q1 2026 | May 08, 2026 |
| HRT FINANCIAL LP | History | Closed out | 0 | 0 | — | 0.0% | — | -11,991 | -100.0% | Q1 2026 | May 14, 2026 |
| Garton & Associates Financial Advisors LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -3,055 | -100.0% | Q1 2026 | May 11, 2026 |
| Caitong International Asset Management Co., Ltd | History | Reduced | 188 | 0 | — | 0.0% | — | -1,982 | -91.34% | Q1 2026 | May 11, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -821 | -100.0% | Q1 2026 | Apr 28, 2026 |
| Triumph Capital Management | History | Closed out | 0 | 0 | — | 0.0% | — | -300 | -100.0% | Q1 2026 | May 13, 2026 |
| KERR FINANCIAL PLANNING Corp | History | New | 203 | 0 | — | — | — | +203 | New | Q1 2026 | Apr 29, 2026 |
| Spire Wealth Management | History | Closed out | 0 | 0 | — | — | — | -100 | -100.0% | Q1 2026 | Apr 22, 2026 |
| Blue Trust, Inc. | History | Closed out | 0 | 0 | — | — | — | -80 | -100.0% | Q1 2026 | Apr 20, 2026 |
| HARBOUR INVESTMENTS, INC. | History | New | 29 | 0 | — | — | — | +29 | New | Q1 2026 | May 15, 2026 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | — | — | -11 | -100.0% | Q1 2026 | May 11, 2026 |
| Aspect Partners, LLC | History | Added to | 167 | 0 | — | 0.0% | — | +9 | 5.7% | Q1 2026 | Apr 02, 2026 |
| DANSKE BANK A/S | History | Added to | 8 | 0 | — | — | — | +4 | 100.0% | Q1 2026 | May 12, 2026 |
| CWM, LLC | History | No change | 25 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Sound Income Strategies, LLC | History | No change | 50 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | Apr 27, 2026 |
| Signature Equity Partners, LLC | History | No change | 113 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | May 13, 2026 |