| Ticker Symbol | Entity Name | Form Type | Access Number | Period | As Of Date | Filing Date | Institution Name | CIK | Name of Issuer | Title of Class | CUSIP | Value | SHRS or PRN Amount | SHRS or PRN Type | PUT_CALL | Investment Discretion | Other Manager | Voting Authority Sole | Voting Authority Shared | Voting Authority None | Date Added | Date Updated | Company Name | Sector | Industry |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR/A | 0001166588-22-000018 | Mar 31st, 2022 12:00AM | May 18th, 2022 12:00AM | May 18th, 2022 12:00AM | BNP PARIBAS ARBITRAGE, SA | 1166588 | Horizon Technology Finance Corp | Equity | 44045A102 | 76061 | 5472 | SH | DFND | 1 | 0 | 5472 | 0 | May 19th, 2022 01:12AM | May 19th, 2022 01:12AM | Horizon Technology Finance | Financials | Banks | |
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001387131-22-006230 | Mar 31st, 2022 12:00AM | May 17th, 2022 12:00AM | May 17th, 2022 12:00AM | Advisors Asset Management, Inc. | 1297376 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 3652 | 262733 | SH | SOLE | 262733 | 0 | 0 | May 18th, 2022 01:12AM | May 18th, 2022 01:12AM | Horizon Technology Finance | Financials | Banks | ||
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001803916-22-000005 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | Aquatic Capital Management LLC | 1803916 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 3 | 200 | SH | SOLE | 0 | 0 | 200 | May 17th, 2022 01:58AM | May 17th, 2022 01:58AM | Horizon Technology Finance | Financials | Banks | ||
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001764754-22-000003 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | Geneos Wealth Management Inc. | 1764754 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 22 | 1587 | SH | SOLE | 0 | 0 | 0 | 0 | May 17th, 2022 01:58AM | May 17th, 2022 01:58AM | Horizon Technology Finance | Financials | Banks | |
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR/A | 0001606587-22-001198 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | Sheaff Brock Investment Advisors, LLC | 1666789 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 160 | 11498 | SH | SOLE | NONE | 0 | 0 | 11498 | May 17th, 2022 01:57AM | May 17th, 2022 01:57AM | Horizon Technology Finance | Financials | Banks | |
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001587281-22-000002 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | Virtus ETF Advisers LLC | 1587281 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 506 | 36434 | SH | OTR | 0 | 36434 | 0 | May 17th, 2022 01:56AM | May 17th, 2022 01:56AM | Horizon Technology Finance | Financials | Banks | ||
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001567619-22-010951 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | Cubist Systematic Strategies, LLC | 1603465 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 230 | 16567 | SH | DFND | 1 | 0 | 16567 | 0 | May 17th, 2022 01:56AM | May 17th, 2022 01:56AM | Horizon Technology Finance | Financials | Banks | |
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001567619-22-010852 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | ROYAL BANK OF CANADA | 1000275 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 355 | 25567 | SH | DFND | 3 | 25567 | 0 | 0 | May 17th, 2022 01:55AM | May 17th, 2022 01:55AM | Horizon Technology Finance | Financials | Banks | |
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001567619-22-010852 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | ROYAL BANK OF CANADA | 1000275 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 47 | 3400 | SH | DFND | 15 | 3400 | 0 | 0 | May 17th, 2022 01:55AM | May 17th, 2022 01:55AM | Horizon Technology Finance | Financials | Banks | |
| nasdaq:hrzn | nasdaq:hrzn Shareholders | 13F-HR | 0001567619-22-010822 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | BANK OF AMERICA CORP /DE/ | 70858 | HORIZON TECHNOLOGY FIN CORP | COM | 44045A102 | 0 | 1 | SH | DFND | 02 | 0 | 0 | 1 | May 17th, 2022 01:54AM | May 17th, 2022 01:54AM | Horizon Technology Finance | Financials | Banks |