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Highland Opportunities and Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Penserra Capital Management
51
Penserra Capital Management
California
$145K +$37K +2,327 +33%
Regions Financial Corp
52
Regions Financial Corp
Alabama
$122K – – –
CF
53
Centaurus Financial
California
$104K -$73K -4,593 -41%
Mount Yale Investment Advisors
54
Mount Yale Investment Advisors
Colorado
$94K – – –
Bank of America
55
Bank of America
North Carolina
$81K -$121K -7,620 -60%
PNC Financial Services Group
56
PNC Financial Services Group
Pennsylvania
$73K +$74K +4,653 +465,300%
FANJ
57
Financial Architects (New Jersey)
New Jersey
$72K +$73.6K +4,628 New
Allworth Financial
58
Allworth Financial
California
$47K – – –
Citigroup
59
Citigroup
New York
$44K +$10.1K +638 +29%
CFN
60
Cordasco Financial Network
Florida
$35K +$35.5K +2,234 New
Northwestern Mutual Wealth Management
61
Northwestern Mutual Wealth Management
Wisconsin
$31K +$31.5K +1,982 New
MSA
62
Marino Stram & Associates
Massachusetts
$23K +$127 +8 +0.6%
Carson Wealth (CWM LLC)
63
Carson Wealth (CWM LLC)
Nebraska
$20K +$20.7K +1,301 New
HI
64
Hudock Inc
Pennsylvania
$11K – – –
SIS
65
Sound Income Strategies
Florida
$6K +$6.07K +382 New
LA
66
Legacy Advisors
Pennsylvania
$4K +$4.13K +260 New
TCM
67
Tradewinds Capital Management
Washington
$3K +$3.48K +219 New
MCM
68
Mainstay Capital Management
Michigan
$2K – – –
CFD
69
Creative Financial Designs
Indiana
$1K – – –
Cubist Systematic Strategies
70
Cubist Systematic Strategies
Connecticut
– -$374K -23,367 Closed
Private Advisor Group
71
Private Advisor Group
New Jersey
– -$295K -18,453 Closed
DAM
72
Deltec Asset Management
New York
– -$208K -13,000 Closed
MML Investors Services
73
MML Investors Services
Massachusetts
– -$191K -11,976 Closed
TSS
74
Two Sigma Securities
New York
– -$183K -11,460 Closed
AIM
75
Arcadia Investment Management
Michigan
– -$26K -1,656 Closed