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Highland Global Allocation Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$7.19M +$869K +86,891 +12%
Osaic Holdings
2
Osaic Holdings
Arizona
$2.84M +$147K +14,664 +5%
Shaker Financial Services
3
Shaker Financial Services
Virginia
$2.38M -$1.16M -116,092 -30%
Quantedge Capital
4
Quantedge Capital
Singapore
$2.18M -$349K -34,898 -12%
Wells Fargo
5
Wells Fargo
California
$1.39M -$53.9K -5,390 -3%
Private Advisor Group
6
Private Advisor Group
New Jersey
$1.16M +$47.6K +4,766 +4%
Sovereign Financial Group
7
Sovereign Financial Group
Connecticut
$956K +$89K +8,907 +9%
Raymond James & Associates
8
Raymond James & Associates
Florida
$919K +$167K +16,706 +19%
Nexpoint Asset Management
9
Nexpoint Asset Management
Texas
$752K – – –
Bulldog Investors
10
Bulldog Investors
New Jersey
$721K -$631K -63,091 -43%
Clough Capital Partners
11
Clough Capital Partners
Massachusetts
$678K – – –
Cambridge Investment Research Advisors
12
Cambridge Investment Research Advisors
Iowa
$670K -$17.1K -1,711 -2%
Guggenheim Capital
13
Guggenheim Capital
Illinois
$661K -$20.1K -2,010 -3%
BOK Financial
14
BOK Financial
Oklahoma
$619K -$10.4K -1,042 -1%
Global Retirement Partners
15
Global Retirement Partners
California
$581K -$17.1K -1,707 -3%
LPL Financial
16
LPL Financial
California
$427K +$28.8K +2,886 +6%
Aristides Capital
17
Aristides Capital
Kentucky
$403K – – –
Truist Financial
18
Truist Financial
North Carolina
$374K -$2.7K -270 -0.6%
Oppenheimer & Co
19
Oppenheimer & Co
New York
$371K +$60K +6,000 +16%
Raymond James Financial Services Advisors
20
Raymond James Financial Services Advisors
Florida
$313K +$359K +35,913 New
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$303K -$123K -12,328 -26%
Landscape Capital Management
22
Landscape Capital Management
New Jersey
$254K +$171K +17,108 +142%
Matisse Capital
23
Matisse Capital
Oregon
$239K +$274K +27,420 New
Capital Investment Advisors
24
Capital Investment Advisors
Georgia
$232K – – –
Hightower 6M Holding
25
Hightower 6M Holding
Kansas
$139K -$12.4K -1,243 -7%