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HFRO

Highland Opportunities and Income Fund
HFRO

Name Holding Trade Value Shares
Change 		Change in
Stake
CCP
26
Clough Capital Partners
Massachusetts
$947K +$939K +61,127 New
Commonwealth Equity Services
27
Commonwealth Equity Services
Massachusetts
$904K +$896K +58,351 New
JG
28
Jefferies Group
New York
$888K +$879K +57,272 New
Citadel Advisors
29
Citadel Advisors
Florida
$767K +$760K +49,500 New
SPIA
30
Steward Partners Investment Advisory
New York
$735K +$729K +47,456 New
IA
31
Icon Advisers
Colorado
$612K +$606K +39,499 New
Cetera Investment Advisers
32
Cetera Investment Advisers
Illinois
$534K +$529K +34,469 New
BTS
33
BB&T Securities
Virginia
$525K +$521K +33,915 New
OC
34
Oppenheimer & Co
New York
$511K +$506K +32,982 New
PWAP
35
Private Wealth Advisors (Pennsylvania)
Pennsylvania
$454K +$449K +29,270 New
HighTower Advisors
36
HighTower Advisors
Illinois
$432K +$428K +27,907 New
VAS
37
VR Advisory Services
Cayman Islands
$425K +$421K +27,441 New
CWS
38
Cypress Wealth Services
California
$381K +$378K +24,589 New
LCG
39
Luxor Capital Group
New York
$291K +$289K +18,806 New
CCA
40
Cruiser Capital Advisors
Connecticut
$252K +$250K +16,278 New
Stifel Financial
41
Stifel Financial
Missouri
$210K +$209K +13,613 New
DAM
42
Deltec Asset Management
New York
$202K +$200K +13,000 New
Ameriprise
43
Ameriprise
Minnesota
$187K +$185K +12,046 New
MML Investors Services
44
MML Investors Services
Massachusetts
$159K +$157K +10,229 New
UBS Group
45
UBS Group
Switzerland
$99K +$98.4K +6,407 New
Bank of America
46
Bank of America
North Carolina
$70K +$69.4K +4,520 New
US Bancorp
47
US Bancorp
Minnesota
$52K +$51.1K +3,331 New
AF
48
Allworth Financial
California
$47K – – –
CA
49
Calton & Associates
Florida
$43K +$42.5K +2,770 New
MSA
50
Marino Stram & Associates
Massachusetts
$22K +$22.1K +1,441 New
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