Horizon Investments, LLC

Q4 2016 13F Holdings Report, Options Holdings

Signature - Title
Matt Chambers - General Counsel
Location
Charlotte, NC
Options holdings as of
December 31, 2016
Notional value $
$34M
Number of holdings
2
Date filed
2/9/2017, 11:47 AM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q3 2016 - Nov 14, 2016
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2016 Q4 compared to 2016 Q3 by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Matt Chambers General Counsel Charlotte, North Carolina 2/9/2017

List of Other Managers Reporting for Horizon Investments, LLC:

Name Holdings Value Location File Number
FIRST TRUST ADVISORS LP $98.1B Wheaton, IL 028-06487

Other Included Managers (2):

Num Name Location File Number
1 FOUNDERS FINANCIAL SECURITIES LLC
2 FIRST TRUST ADVISORS L.P