Stock Transactions — HORIZON TECHNOLOGY FIN CORP

Total Bought
425,756
23 transactions
Total Sold
1,142,953
34 transactions
Net
-717,197
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
UBS Group AG0144,136+144,1360.000.00+0.00buy
MILLENNIUM MANAGEMENT LLC11,55175,968+64,4170.000.00+0.00buy
IMC-Chicago, LLC061,795+61,7950.000.00+0.00buy
Green Alpha Advisors, LLC558,944590,141+31,1973.302.45-0.86buy
Legal & General Group Plc306,904328,655+21,7510.000.00-0.00buy
Virtu Financial LLC017,055+17,0550.000.00+0.00buy
TWO SIGMA SECURITIES, LLC016,508+16,5080.000.01+0.01buy
Patriot Financial Group Insurance Agency, LLC012,452+12,4520.000.00+0.00buy
Tower Research Capital LLC (TRC)1,49113,535+12,0440.000.00+0.00buy
Atria Investments, Inc011,855+11,8550.000.00+0.00buy
CREATIVE FINANCIAL DESIGNS INC /ADV010,000+10,0000.000.00+0.00buy
OXFORD ASSET MANAGEMENT LLP20,49927,465+6,9660.050.05-0.00buy
SIMPLEX TRADING, LLC2,2606,931+4,6710.000.00+0.00buy
CANADA LIFE ASSURANCE Co53,30456,485+3,1810.000.00-0.00buy
FIFTH THIRD BANCORP02,699+2,6990.000.00+0.00buy
Pathstone Holdings, LLC49,63751,797+2,1600.000.00-0.00buy
NATIONS FINANCIAL GROUP INC, /IA/ /ADV10,45011,450+1,0000.000.00-0.00buy
Connecticut Wealth Management, LLC212,842213,811+9690.060.04-0.02buy
SALEM INVESTMENT COUNSELORS INC0700+7000.000.00+0.00buy
ROYAL BANK OF CANADA20,29020,411+1210.000.00-0.00buy
MAI Capital Management736777+410.000.00-0.00buy
HARBOUR INVESTMENTS, INC.029+290.000.00+0.00buy
Aspect Partners, LLC158167+90.000.00-0.00buy
PIN OAK INVESTMENT ADVISORS INC80080000.000.00-0.00hold
ADELL HARRIMAN & CARPENTER INC12,00012,00000.000.00-0.00hold
First Financial Bank - Trust Division65,57365,57300.030.02-0.01hold
EverSource Wealth Advisors, LLC0000.000.00-0.00hold
Sound Income Strategies, LLC505000.000.00-0.00hold
Nova Wealth Management, Inc.3,7223,72200.020.01-0.01hold
Chung Wu Investment Group, LLC1,1001,10000.010.00-0.00hold
CITIGROUP INC110-110.000.00-0.00sell
Blue Trust, Inc.800-800.000.00-0.00sell
Spire Wealth Management1000-1000.000.00-0.00sell
Triumph Capital Management3000-3000.000.00-0.00sell
SageView Advisory Group, LLC3000-3000.000.00-0.00sell
FLAGSHIP HARBOR ADVISORS, LLC8210-8210.000.00-0.00sell
ENVESTNET ASSET MANAGEMENT INC17,56716,683-8840.000.00-0.00sell
Caitong International Asset Management Co., Ltd1,085188-8970.000.00-0.00sell
AQR CAPITAL MANAGEMENT LLC34,16433,018-1,1460.000.00-0.00sell
JACKSON THORNTON WEALTH MANAGEMENT, LLC34,16433,018-1,1460.020.01-0.01sell
Cetera Investment Advisers21,34619,870-1,4760.000.00-0.00sell
N.E.W. Advisory Services LLC4,0002,052-1,9480.000.00-0.00sell
WELLS FARGO & COMPANY/MN29,99227,684-2,3080.000.00-0.00sell
OSAIC HOLDINGS, INC.33,25830,713-2,5450.000.00-0.00sell
Regal Investment Advisors LLC49,05943,553-5,5060.020.01-0.01sell
Allworth Financial LP10,2051,139-9,0660.000.00-0.00sell
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC53,58044,284-9,2960.020.01-0.01sell
HRT FINANCIAL LP11,9910-11,9910.000.00-0.00sell
Prime Capital Investment Advisors, LLC12,1850-12,1850.000.00-0.00sell
RAYMOND JAMES FINANCIAL INC15,0660-15,0660.000.00-0.00sell
NORTHERN TRUST CORP17,3370-17,3370.000.00-0.00sell
Financial Engines Advisors L.L.C.21,6040-21,6040.000.00-0.00sell
Virtus Investment Advisers, LLC167,524143,968-23,5560.290.17-0.13sell
Schonfeld Strategic Advisors LLC29,0280-29,0280.000.00-0.00sell
WINTON GROUP Ltd30,5160-30,5160.010.00-0.01sell
Quantbot Technologies LP61,61418,773-42,8410.010.00-0.01sell
CAPTRUST FINANCIAL ADVISORS50,0350-50,0350.000.00-0.00sell
Quadrature Capital Ltd56,5590-56,5590.000.00-0.00sell
ETF Store, Inc.60,8730-60,8730.400.00-0.40sell
TWO SIGMA ADVISERS, LP63,1970-63,1970.000.00-0.00sell
JANE STREET GROUP, LLC82,2900-82,2900.000.00-0.00sell
BlackRock, Inc.287,947179,487-108,4600.000.00-0.00sell
MARSHALL WACE, LLP282,289171,778-110,5110.000.00-0.00sell
TWO SIGMA INVESTMENTS, LP519,253150,179-369,0740.000.00-0.00sell
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