NXDT

SEC source: 0001437749-21-023975 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,599,815

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-023925 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,583,600

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-023823 · rdgdoc.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,564,925

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-023823 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,548,025

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-023706 · rdgdoc.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,528,330

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-023619 · rdgdoc.xml · nonDerivative · entry 1

Froehlich Robert J · CIK 0001606636 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 913

F1 · ownership.nature: These shares are held by Mr. Froehlich through Mr. Froehlich's SEP IRA Account.

SEC source: 0001437749-21-023706 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,508,933

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-023552 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,472,496

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-021408 · rdgdoc.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,458,148

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-021408 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,451,235

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-021004 · rdgdoc.xml · nonDerivative · entry 1

Constantino Edward N. · CIK 0001498322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,870

SEC source: 0001437749-21-020529 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote (1)

Disclosed balance after: 2,425,969

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-020413 · rdgdoc.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,422,969

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-020413 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,406,598

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-020227 · rdgdoc.xml · nonDerivative · entry 1

Constantino Edward N. · CIK 0001498322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,200

SEC source: 0001437749-21-020228 · rdgdoc.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,366,598

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-020226 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,852.58

F1 · balance_after: Includes 3,275.96 shares held pursuant to an employee purchase plan. Total shares also reflect reinvested dividends.

SEC source: 0001437749-21-020228 · rdgdoc.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,355,269

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0001437749-21-017892 · rdgdoc.xml · derivative · entry 1

WATERHOUSE FRANK GEORGE · CIK 0001723097 · Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,956.553 shares

Expires not disclosed

F1 · derivative.exercise_price: On June 9, 2021, the Reporting Person filed a Form 4 disclosing that he had been granted a Contingent Bonus Award of 9,956.553 shares by Skyview Group, Inc. ("Skyview") for service as an employee of Skyview. Each share of the Contingent Bonus Award is the economic equivalent of one share of the Issuer's common stock. The shares underlying the Contingent Bonus Award would have become payable, in cash or common stock, on June 9, 2024. On July 21, 2021, the Contingent Bonus Award was canceled.

F1 · kind: On June 9, 2021, the Reporting Person filed a Form 4 disclosing that he had been granted a Contingent Bonus Award of 9,956.553 shares by Skyview Group, Inc. ("Skyview") for service as an employee of Skyview. Each share of the Contingent Bonus Award is the economic equivalent of one share of the Issuer's common stock. The shares underlying the Contingent Bonus Award would have become payable, in cash or common stock, on June 9, 2024. On July 21, 2021, the Contingent Bonus Award was canceled.

F1 · price: On June 9, 2021, the Reporting Person filed a Form 4 disclosing that he had been granted a Contingent Bonus Award of 9,956.553 shares by Skyview Group, Inc. ("Skyview") for service as an employee of Skyview. Each share of the Contingent Bonus Award is the economic equivalent of one share of the Issuer's common stock. The shares underlying the Contingent Bonus Award would have become payable, in cash or common stock, on June 9, 2024. On July 21, 2021, the Contingent Bonus Award was canceled.

F1 · derivative.exercise_date: On June 9, 2021, the Reporting Person filed a Form 4 disclosing that he had been granted a Contingent Bonus Award of 9,956.553 shares by Skyview Group, Inc. ("Skyview") for service as an employee of Skyview. Each share of the Contingent Bonus Award is the economic equivalent of one share of the Issuer's common stock. The shares underlying the Contingent Bonus Award would have become payable, in cash or common stock, on June 9, 2024. On July 21, 2021, the Contingent Bonus Award was canceled.

F1 · derivative.expiration_date: On June 9, 2021, the Reporting Person filed a Form 4 disclosing that he had been granted a Contingent Bonus Award of 9,956.553 shares by Skyview Group, Inc. ("Skyview") for service as an employee of Skyview. Each share of the Contingent Bonus Award is the economic equivalent of one share of the Issuer's common stock. The shares underlying the Contingent Bonus Award would have become payable, in cash or common stock, on June 9, 2024. On July 21, 2021, the Contingent Bonus Award was canceled.

F1 · ownership.direct: On June 9, 2021, the Reporting Person filed a Form 4 disclosing that he had been granted a Contingent Bonus Award of 9,956.553 shares by Skyview Group, Inc. ("Skyview") for service as an employee of Skyview. Each share of the Contingent Bonus Award is the economic equivalent of one share of the Issuer's common stock. The shares underlying the Contingent Bonus Award would have become payable, in cash or common stock, on June 9, 2024. On July 21, 2021, the Contingent Bonus Award was canceled.

SEC source: 0000899243-21-025765 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,447,066.85

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-025081 · doc4.xml · nonDerivative · entry 3

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,280,332.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-025081 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,263,232.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-025081 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,249,497.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-024323 · doc4.xml · nonDerivative · entry 3

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,242,697.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-024323 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,240,097.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-024323 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,234,097.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-023290 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,219,360.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-022972 · doc4.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,446.778

Underlying: Common Stock · 43,446.778 shares

Expires not disclosed

F1 · derivative.exercise_price: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · kind: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.exercise_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.expiration_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

SEC source: 0000899243-21-022971 · doc4.xml · derivative · entry 1

POST ROBERT JASON · CIK 0001716657 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,230.992

Underlying: Common Stock · 1,230.992 shares

Expires not disclosed

F1 · derivative.exercise_price: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · kind: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.exercise_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.expiration_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

SEC source: 0000899243-21-022970 · doc4.xml · derivative · entry 1

WATERHOUSE FRANK GEORGE · CIK 0001723097 · Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,956.553

Underlying: Common Stock · 9,956.553 shares

Expires not disclosed

F1 · derivative.exercise_price: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · kind: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.exercise_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.expiration_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on June 9, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

SEC source: 0000899243-21-023290 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,201,960.85

F1 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-022900 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,201,210.85

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-21-022900 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,194,985.85

F1 · balance_after: Includes shares acquired through the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-20-028508 · doc4.xml · nonDerivative · entry 2

Froehlich Robert J · CIK 0001606636 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 281

F1 · ownership.nature: These shares are held by Mr. Froehlich through Mr. Froehlich's SEP IRA account. The October 13, 2020 purchase reported above was inadvertently made and promptly sold. No short swing profit was owed as a result of the transactions.

SEC source: 0000899243-20-028508 · doc4.xml · nonDerivative · entry 1

Froehlich Robert J · CIK 0001606636 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 981

F1 · ownership.nature: These shares are held by Mr. Froehlich through Mr. Froehlich's SEP IRA account. The October 13, 2020 purchase reported above was inadvertently made and promptly sold. No short swing profit was owed as a result of the transactions.

SEC source: 0000899243-20-025908 · doc4.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,304.23

F1 · shares: As a result of a voluntary rebalance of the reporting person's 401(k) account.

F2 · balance_after: Includes 2,381.97 shares held pursuant to an employee purchase plan. Total shares also reflect reinvested dividends.

SEC source: 0000899243-20-009892 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,002,776.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Effective January 2020 as a result of the change of control of HCMLP, Mr. Dondero no longer serves as the President or sole director of Strand Advisors, Inc., HCMLP's general partner, and consequently, no longer has direct or indirect voting or investment control to such shares. Accordingly, Mr. Dondero will no longer report beneficial ownership of shares held by HCMLP on a going forward basis.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Effective January 2020 as a result of the change of control of HCMLP, Mr. Dondero no longer serves as the President or sole director of Strand Advisors, Inc., HCMLP's general partner, and consequently, no longer has direct or indirect voting or investment control to such shares. Accordingly, Mr. Dondero will no longer report beneficial ownership of shares held by HCMLP on a going forward basis.

SEC source: 0000899243-20-009892 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,008,596.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Effective January 2020 as a result of the change of control of HCMLP, Mr. Dondero no longer serves as the President or sole director of Strand Advisors, Inc., HCMLP's general partner, and consequently, no longer has direct or indirect voting or investment control to such shares. Accordingly, Mr. Dondero will no longer report beneficial ownership of shares held by HCMLP on a going forward basis.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Effective January 2020 as a result of the change of control of HCMLP, Mr. Dondero no longer serves as the President or sole director of Strand Advisors, Inc., HCMLP's general partner, and consequently, no longer has direct or indirect voting or investment control to such shares. Accordingly, Mr. Dondero will no longer report beneficial ownership of shares held by HCMLP on a going forward basis.

SEC source: 0000899243-20-009671 · doc4.xml · nonDerivative · entry 3

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,207,015.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009671 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,334,276.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009671 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,336,044.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009589 · doc4.xml · nonDerivative · entry 5

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,825,377

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F3 · ownership.nature: These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to have an indirect beneficial owner of shares held by the Highland Accounts. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009589 · doc4.xml · nonDerivative · entry 4

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,422,678.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009589 · doc4.xml · nonDerivative · entry 3

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,425,366.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009589 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,557,057.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009589 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,558,981.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009360 · doc4.xml · nonDerivative · entry 4

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,650,098.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F6 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F6 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009360 · doc4.xml · nonDerivative · entry 3

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,750,098.33

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F4 · price: The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $8.27 to $8.56. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F6 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F6 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-009360 · doc4.xml · nonDerivative · entry 2

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,071,228.85

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F3 · ownership.nature: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

SEC source: 0000899243-20-009360 · doc4.xml · nonDerivative · entry 1

DONDERO JAMES D · CIK 0001228922 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,885,377

F1 · kind: The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. The sales reported herein were for cash management purposes and do not reflect the portfolio manager's long-term view of the investment.

F2 · ownership.nature: These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to have an indirect beneficial owner of shares held by the Highland Accounts. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.