General Counsel

0001560717-17-000003.txt : 20170209 0001560717-17-000003.hdr.sgml : 20170209 20170209114737 ACCESSION NUMBER: 0001560717-17-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170209 DATE AS OF CHANGE: 20170209 EFFECTIVENESS DATE: 20170209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Horizon Investments, LLC CENTRAL INDEX KEY: 0001560717 IRS NUMBER: 582461603 STATE OF INCORPORATION: SC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15165 FILM NUMBER: 17586181 BUSINESS ADDRESS: STREET 1: 13024 BALLANTYNE CORPORATE PLACE STREET 2: SUITE 225 CITY: CHARLOTTE STATE: NC ZIP: 28277 BUSINESS PHONE: 704-544-2399 MAIL ADDRESS: STREET 1: 13024 BALLANTYNE CORPORATE PLACE STREET 2: SUITE 225 CITY: CHARLOTTE STATE: NC ZIP: 28277 FORMER COMPANY: FORMER CONFORMED NAME: Horizon Investments, LLC/SC DATE OF NAME CHANGE: 20121019 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001560717 XXXXXXXX 12-31-2016 12-31-2016 Horizon Investments, LLC

13024 Ballantyne Corporate Place Suite 225 Charlotte NC 28277

13F HOLDINGS REPORT 028-15165 N Matt Chambers General Counsel 704-544-2399 Matt Chambers, General Counsel Charlotte NC 02-09-2017 2 170 1450648 false 1 FOUNDERS FINANCIAL SECURITIES LLC 2 FIRST TRUST ADVISORS L.P INFORMATION TABLE 2 HZIform13fInfoTable.xml ATT INC COM COM 00206R102 536 12596 SH SOLE NONE 12596 0 0 AMERICAN WTR WKS CO INC NEW CO COM 030420103 247 3409 SH SOLE NONE 3409 0 0 APOLLO COML REAL EST FIN INC C COM 03762U105 195 11723 SH SOLE NONE 0 0 11723 APPLE INC COM COM 037833100 1900 16409 SH SOLE NONE 9309 0 7100 ARES CAP CORP COM COM 04010L103 200 12114 SH SOLE NONE 0 0 12114 BCE INC COM NEW COM 05534B760 424 9813 SH SOLE NONE 29 0 9784 BP PLC SPONSORED ADR COM 055622104 536 14330 SH SOLE NONE 40 0 14290 BT GROUP PLC ADR COM 05577E101 795 34506 SH SOLE NONE 108 0 34398 BANCO DE CHILE SPONSORED ADR COM 059520106 429 6083 SH SOLE NONE 18 0 6065 BANCO SANTANDER CHILE NEW SP A COM 05965X109 419 19163 SH SOLE NONE 0 0 19163 BEST BUY INC COM COM 086516101 600 14069 SH SOLE 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SH SOLE NONE 0 0 42364 JPMORGAN CHASE CO COM COM 46625H100 607 7037 SH SOLE NONE 7037 0 0 JOHNSON JOHNSON COM COM 478160104 788 6837 SH SOLE NONE 6837 0 0 KLA-TENCOR CORP COM COM 482480100 714 9071 SH SOLE NONE 25 0 9046 LILLY ELI CO COM COM 532457108 370 5030 SH SOLE NONE 14 0 5016 LOWES COS INC COM COM 548661107 528 7423 SH SOLE NONE 7423 0 0 MAGNA INTL INC COM COM 559222401 519 11964 SH SOLE NONE 34 0 11930 MICROSOFT CORP COM COM 594918104 990 15932 SH SOLE NONE 15932 0 0 MONSANTO CO NEW COM COM 61166W101 344 3272 SH SOLE NONE 9 0 3263 NEW MTN FIN CORP COM COM 647551100 264 18690 SH SOLE NONE 0 0 18690 NOVO-NORDISK A S ADR COM 670100205 367 10241 SH SOLE NONE 28 0 10213 POWERSHARES ETF TRUST FINL PFD COM 73935X229 47270 2631985 SH SOLE NONE 2034328 0 597657 POWERSHARES ETF TRUST DYNM LRG COM 73935X609 11926 373498 SH SOLE NONE 0 0 373498 POWERSHARES ETF TR II PWRSHS S COM 73937B654 11582 295603 SH SOLE NONE 0 0 295603 PRUDENTIAL PLC ADR COM 74435K204 645 16221 SH SOLE NONE 44 0 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YD ETF COM 464288513 2013 23259 SH DFND 01 0 0 23259 ISHARES TR USA QUALITY FCTR COM 46432F339 3796 54936 SH DFND 01 0 0 54936 JOHNSON JOHNSON COM COM 478160104 2167 18806 SH DFND 01 0 0 18806 KIMBERLY CLARK CORP COM COM 494368103 905 7926 SH DFND 01 0 0 7926 LABORATORY CORP AMER HLDGS COM COM 50540R409 673 5244 SH DFND 01 0 0 5244 LILLY ELI CO COM COM 532457108 482 6551 SH DFND 01 0 0 6551 LOCKHEED MARTIN CORP COM COM 539830109 912 3647 SH DFND 01 0 0 3647 LOEWS CORP COM COM 540424108 587 12535 SH DFND 01 0 0 12535 MARSH MCLENNAN COS INC COM COM 571748102 963 14252 SH DFND 01 0 0 14252 MCCORMICK CO INC COM NON VTG COM 579780206 622 6664 SH DFND 01 0 0 6664 MCDONALDS CORP COM COM 580135101 632 5193 SH DFND 01 0 0 5193 NASDAQ INC COM COM 631103108 600 8944 SH DFND 01 0 0 8944 NORTHROP GRUMMAN CORP COM COM 666807102 1234 5305 SH DFND 01 0 0 5305 PGE CORP COM COM 69331C108 596 9810 SH DFND 01 0 0 9810 PEPSICO INC COM COM 713448108 1920 18353 SH DFND 01 0 0 18353 PFIZER INC COM COM 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12829 3M CO COM COM 88579Y101 1273 7131 SH DFND 01 0 0 7131 TORCHMARK CORP COM COM 891027104 635 8606 SH DFND 01 0 0 8606 TRAVELERS COMPANIES INC COM COM 89417E109 664 5420 SH DFND 01 0 0 5420 UNITED PARCEL SERVICE INC CL B COM 911312106 2274 19832 SH DFND 01 0 0 19832 UNITED TECHNOLOGIES CORP COM COM 913017109 557 5077 SH DFND 01 0 0 5077 UNITEDHEALTH GROUP INC COM COM 91324P102 638 3985 SH DFND 01 0 0 3985 VANGUARD BD INDEX FD INC TOTAL COM 921937835 5395 66776 SH DFND 01 0 0 66776 VANGUARD INTL EQUITY INDEX F A COM 922042775 5854 132500 SH DFND 01 0 0 132500 VANGUARD INTL EQUITY INDEX F F COM 922042858 8729 243973 SH DFND 01 0 0 243973 VANGUARD INDEX FDS MID CAP ETF COM 922908629 11798 89627 SH DFND 01 0 0 89627 VANGUARD INDEX FDS VALUE ETF COM 922908744 13842 148827 SH DFND 01 0 0 148827 VANGUARD INDEX FDS SMALL CP ET COM 922908751 8587 66585 SH DFND 01 0 0 66585 VERIZON COMMUNICATIONS INC COM COM 92343V104 833 15606 SH DFND 01 0 0 15606 VERISK ANALYTICS INC COM COM 92345Y106 523 6440 SH DFND 01 0 0 6440 WASTE MGMT INC DEL COM COM 94106L109 1305 18406 SH DFND 01 0 0 18406 WisdomTree Japan Hedged Equity COM 97717W851 12385 250000 SH Call SOLE NONE 0 0 250000 iShares Russell 2000 COM 464287655 21576 160000 SH Put SOLE NONE 0 0 160000