HRZN · Horizon Technology Finance Corp

$4.84 -0.02 (-0.41%) At close · Sep 4

Market Cap

$324.44M

67.03M

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Quarter:

Holders: 110

Total Value: $38,046,898

Total Shares: 8,045,001

Showing 1–100 of 114 holdings by value · page 1 of 2

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 110 13F filers · Δ vs Mar 31, 2026

Top Holder

13.1%

−5.0 pts

Top 5

39.7%

−11.9 pts

Top 10

57.9%

−14.7 pts

HHI

470

Broadly held−286

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: +52

Institutional value: +177.5%

Shares held: +146.9%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mega MORGAN STANLEY	+1,008,154	1,055,591
Large MARSHALL WACE, LLP	+420,469	592,247
Mega BANK OF AMERICA CORP /DE/	+164,779	225,732
Small Virtus Investment Advisers, LLC	+108,487	252,455
Mega AQR CAPITAL MANAGEMENT LLC	+58,350	91,368

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Small Green Alpha Advisors, LLC	−160,228	429,913
Mega TWO SIGMA INVESTMENTS, LP	−82,690	67,489
Mid IMC-Chicago, LLC	−21,721	40,074
Mega MILLENNIUM MANAGEMENT LLC	−15,294	60,674
Small OXFORD ASSET MANAGEMENT LLP	−15,010	12,455

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Small Bulldog Investors, LLP	658,617	$3,115,258
Mid Caprock Group, LLC	454,442	$2,149,510
Large BLAIR WILLIAM & CO/IL	239,073	$1,130,815
Mid Arax Advisory Partners	126,305	$597,422
Mid Apollon Wealth Management, LLC	126,196	$596,907

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Mid Virtu Financial LLC	17,055	$71,801
Mega ENVESTNET ASSET MANAGEMENT INC	16,683	$70,235
Small TWO SIGMA SECURITIES, LLC	16,508	$69,498
Mid Tower Research Capital LLC (TRC)	13,535	$56,982
Small Patriot Financial Group Insurance Agency, LLC	12,452	$52,422

Filter: New 65 Increased 29 Reduced 8 Sold out 13 Unchanged 8

Showing 100 of 114

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

MORGAN STANLEY

$4,992,944

13.12%

1,055,591

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY CAPITAL SERVICES, LLC	980,543	$4,637,968	92.9%	Defined
MORGAN STANLEY SMITH BARNEY LLC	75,048	$354,976	7.1%	Defined

Bulldog Investors, LLP

$3,115,258

8.19%

658,617

MARSHALL WACE, LLP

$2,801,328

7.36%

592,247

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Marshall Wace North America L.P. joint	592,247	$2,801,328	100.0%	Other

Caprock Group, LLC

$2,149,510

5.65%

454,442

Green Alpha Advisors, LLC

$2,033,488

5.34%

429,913

Legal & General Group Plc

$1,826,778

4.80%

386,211

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Legal & General Investment Management Ltd	386,211	$1,826,778	100.0%	Defined

Eagle Point Credit Management LLC

$1,732,097

4.55%

366,194

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Eagle Point Defensive Income Management LLC joint	366,194	$1,732,097	100.0%	Defined

Virtus Investment Advisers, LLC

$1,194,112

3.14%

252,455

BLAIR WILLIAM & CO/IL

$1,130,815

2.97%

239,073

BANK OF AMERICA CORP /DE/

$1,067,712

2.81%

225,732

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF AMERICA NA	225,732	$1,067,712	100.0%	Defined

Connecticut Wealth Management, LLC

$1,014,627

2.67%

214,509

UBS Group AG

$924,553

2.43%

195,466

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	81,309	$384,591	41.6%	Defined
UBS AG	114,157	$539,962	58.4%	Defined

BlackRock, Inc.

$855,665

2.25%

180,902

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BlackRock Asset Management Ireland Ltd	174,162	$823,786	96.3%	Sole
Aperio Group, LLC	3,920	$18,541	2.2%	Sole
SpiderRock Advisors, LLC	2,820	$13,338	1.6%	Sole

Arax Advisory Partners

$597,422

1.57%

126,305

Apollon Wealth Management, LLC

$596,907

1.57%

126,196

LaFleur & Godfrey LLC

$541,707

1.42%

114,526

CAZ INVESTMENTS LP

$513,819

1.35%

108,630

UMB Bank, n.a.

$508,333

1.34%

107,470

Focus Partners Wealth

$475,804

1.25%

100,593

AQR CAPITAL MANAGEMENT LLC

$432,170

1.14%

91,368

JACKSON THORNTON WEALTH MANAGEMENT, LLC

$428,580

1.13%

90,609

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Focus Partners Advisor Solutions, LLC	57,591	$272,405	63.6%	Other
Held directly	33,018	$156,175	36.4%	Sole

Corient Private Wealth LLC

$422,389

1.11%

89,300

LPL Financial LLC

$387,585

1.02%

81,942

COMMONWEALTH EQUITY SERVICES, LLC

$384,378

1.01%

81,264

Fiera Capital Corp

$373,575

0.98%

78,980

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Fiera Capital Inc.	78,980	$373,575	100.0%	Other

TWO SIGMA INVESTMENTS, LP

$319,222

0.84%

67,489

FIRST FINANCIAL BANK - TRUST DIVISION

$304,258

0.80%

65,573

MILLENNIUM MANAGEMENT LLC

$286,988

0.75%

60,674

CANADA LIFE ASSURANCE Co

$283,520

0.75%

59,941

Pathstone Holdings, LLC

$258,754

0.68%

54,705

OSAIC HOLDINGS, INC.

$239,460

0.63%

50,626

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	49,762	$235,374	98.3%	Defined
Osaic Advisory Services, LLC	864	$4,086	1.7%	Defined

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

$232,909

0.61%

49,241

ROYAL BANK OF CANADA

$223,454

0.59%

47,242

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	47,242	$223,454	100.0%	Defined

Regal Investment Advisors LLC

$206,005

0.54%

43,553

Permanent Capital Management, LP

$199,440

0.52%

42,165

IMC-Chicago, LLC

$189,550

0.50%

40,074

RAYMOND JAMES FINANCIAL INC

$180,907

0.48%

38,247

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	17,620	$83,342	46.1%	Defined
Raymond James Financial Services Advisors, Inc.	20,627	$97,565	53.9%	Defined

Quantbot Technologies LP

$171,817

0.45%

36,325

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 1	36,325	$171,817	100.0%	Sole

Cerity Partners LLC

$159,570

0.42%

33,736

Ethos Financial Group, LLC

$156,563

0.41%

33,100

Baird Financial Group, Inc.

$147,954

0.39%

31,280

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	31,280	$147,954	100.0%	Defined

Freestone Capital Holdings, LLC

$141,034

0.37%

29,817

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
FREESTONE CAPITAL MANAGEMENT LLC	29,817	$141,034	100.0%	Defined

MAGNOLIA CAPITAL ADVISORS LLC

$136,455

0.36%

28,849

WELLS FARGO & COMPANY/MN

$130,944

0.34%

27,684

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	465	$2,199	1.7%	Defined
WELLS FARGO CLEARING SERVICES, LLC	27,219	$128,745	98.3%	Defined

Koshinski Asset Management, Inc.

$129,029

0.34%

27,279

CAPTRUST FINANCIAL ADVISORS

$124,853

0.33%

26,396

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$118,600

0.31%

25,074

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	25,074	$118,600	100.0%	Other

Forum Financial Management, LP

$117,114

0.31%

24,760

Stonebridge Financial Group, LLC/CA

$111,438

0.29%

23,560

Private Advisor Group, LLC

$109,769

0.29%

23,207

CITADEL ADVISORS LLC

$107,844

0.28%

22,800

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	22,800	$107,844	100.0%	Defined

NewEdge Advisors, LLC

$101,283

0.27%

21,413

ROTHSCHILD INVESTMENT LLC

$99,268

0.26%

20,987

Fiduciary Group, LLC

$97,835

0.26%

20,684

HRT FINANCIAL LP

$93,512

0.25%

19,770

Squarepoint Ops LLC

$93,384

0.25%

19,743

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Squarepoint Capital LLP	19,743	$93,384	100.0%	Defined

D.A. DAVIDSON & CO.

$90,451

0.24%

19,123

Equitable Holdings, Inc.

$89,661

0.24%

18,956

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
EQUITABLE ADVISORS, LLC	18,956	$89,661	100.0%	Defined

CITADEL ADVISORS LLC

$89,141

0.23%

18,846

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	18,846	$89,141	100.0%	Defined

Cetera Investment Advisers

$87,907

0.23%

18,585

Rockefeller Capital Management L.P.

$86,913

0.23%

18,375

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	18,375	$86,913	100.0%	Defined

LifeWealth Investments, LLC

$79,974

0.21%

16,908

JANE STREET GROUP, LLC

$79,464

0.21%

16,800

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	16,800	$79,464	100.0%	Defined

Leading Edge Financial Planning LLC

$79,142

0.21%

16,732

JANE STREET GROUP, LLC

$76,346

0.20%

16,141

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	16,141	$76,346	100.0%	Defined

Southeast Asset Advisors, LLC

$71,153

0.19%

15,043

Centennial Bank/AR/

$70,950

0.19%

15,000

Mariner, LLC

$69,814

0.18%

14,760

XTX Topco Ltd

$67,572

0.18%

14,286

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
XTX EXECUTION SERVICES LLC joint	14,286	$67,572	100.0%	Defined

Cresset Asset Management, LLC

$67,568

0.18%

14,285

CREATIVE FINANCIAL DESIGNS INC /ADV

$63,277

0.17%

13,378

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$61,490

0.16%

13,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	13,000	$61,490	100.0%	Other

HighTower Advisors, LLC

$61,040

0.16%

12,905

CHAPIN DAVIS, INC.

$60,028

0.16%

12,691

OXFORD ASSET MANAGEMENT LLP

$58,912

0.15%

12,455

Trek Financial, LLC

$58,912

0.15%

12,455

OPPENHEIMER & CO INC

$57,767

0.15%

12,213

NATIONS FINANCIAL GROUP INC, /IA/ /ADV

$57,469

0.15%

12,150

ADELL HARRIMAN & CARPENTER INC

$56,760

0.15%

12,000

Ausdal Financial Partners, Inc.

$54,456

0.14%

11,513

JANE STREET GROUP, LLC

$54,395

0.14%

11,500

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	11,500	$54,395	100.0%	Defined

Wealthspire Advisors, LLC

$52,928

0.14%

11,190

Garden State Investment Advisory Services LLC

$52,706

0.14%

11,143

SIMPLEX TRADING, LLC

$52,427

0.14%

11,084

Cambridge Investment Research Advisors, Inc.

$50,426

0.13%

10,661

DAVENPORT & Co LLC

$50,251

0.13%

10,624

Closed-End Fund Advisors, Inc.

$49,343

0.13%

10,432

STEPHENS INC /AR/

$48,255

0.13%

10,202

BI Asset Management Fondsmaeglerselskab A/S

$47,579

0.13%

10,059

Nova Wealth Management, Inc.

$17,605

0.05%

3,722

HIGHLINE WEALTH PARTNERS LLC

$12,922

0.03%

2,732

FIFTH THIRD BANCORP

$12,780

0.03%

2,702

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	2,702	$12,780	100.0%	Defined

JPMORGAN CHASE & CO

$12,468

0.03%

2,636

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
JPMorgan Chase Bank, N.A.	2,636	$12,468	100.0%	Defined

N.E.W. Advisory Services LLC

$9,767

0.03%

2,065

JONES FINANCIAL COMPANIES LLLP

$8,655

0.02%

1,830

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Edward D. Jones & Co., L.P.	1,830	$8,655	100.0%	Sole

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$7,383

0.02%

1,561

NOMURA ASSET MANAGEMENT CO LTD

$6,773

0.02%

1,432

Allworth Financial LP

$5,363

0.01%

1,134

Chung Wu Investment Group, LLC

$5,203

0.01%

1,100

GROUP ONE TRADING LLC

$3,940

0.01%

833

Key facts CIK 1487428 CUSIP 44045A102 13F (30d) 64 filings 64 filers Visit website Investor relations