NXDT

SEC source: 0000899243-20-009032 · 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: 1,946,010

F1 · kind: The Reporting Person's purchase of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person has disgorged $2,639.23 to NHF, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction, less transaction costs.

F1 · balance_after: The Reporting Person's purchase of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person has disgorged $2,639.23 to NHF, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction, less transaction costs.

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.

SEC source: 0000899243-20-009032 · 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: 1,862,110

F1 · kind: The Reporting Person's purchase of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person has disgorged $2,639.23 to NHF, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction, less transaction costs.

F1 · balance_after: The Reporting Person's purchase of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person has disgorged $2,639.23 to NHF, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction, less transaction costs.

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.

SEC source: 0000899243-20-025906 · 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. Mr. Froehlich disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-001268 · 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: 1,973,959.752

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. These sales were for cash management at a Highland Capital Management, L.P. ("HCMLP") related account. Such sales do not reflect the portfolio manager's long-term view of the investment.

F10 · price: The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $17.32 to $17.46. 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.

F1 · balance_after: 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. These sales were for cash management at a Highland Capital Management, L.P. ("HCMLP") related account. Such sales do not reflect the portfolio manager's long-term view of the investment.

F4 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by 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: 0000899243-20-001268 · 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: 2,499,148.752

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. These sales were for cash management at a Highland Capital Management, L.P. ("HCMLP") related account. Such sales do not reflect the portfolio manager's long-term view of the investment.

F9 · price: The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $17.49 to $17.52. 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.

F1 · balance_after: 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. These sales were for cash management at a Highland Capital Management, L.P. ("HCMLP") related account. Such sales do not reflect the portfolio manager's long-term view of the investment.

F4 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by 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: 0000899243-20-001268 · 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: 2,535,359.752

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. These sales were for cash management at a Highland Capital Management, L.P. ("HCMLP") related account. Such sales do not reflect the portfolio manager's long-term view of the investment.

F8 · price: The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $17.62 to $17.73. 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.

F1 · balance_after: 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. These sales were for cash management at a Highland Capital Management, L.P. ("HCMLP") related account. Such sales do not reflect the portfolio manager's long-term view of the investment.

F4 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by 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: 0000899243-19-020366 · 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: 2,416,448.272

F1 · kind: The deemed purchases and sales of NHF were the result of the Trust's deemed disposition of previously lent NHF shares in connection with a loan repayment by an HCMLP-advised account. All shares were transferred based on the market value of the shares at the close on the date of the transaction and the transactions occurred simultaneously.

F3 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.

F4 · ownership.nature: Includes shares acquired under the issuer's dividend reinvestment plan.

SEC source: 0000899243-19-020366 · 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: 1,771,460.3834

F1 · kind: The deemed purchases and sales of NHF were the result of the Trust's deemed disposition of previously lent NHF shares in connection with a loan repayment by an HCMLP-advised account. All shares were transferred based on the market value of the shares at the close on the date of the transaction and the transactions occurred simultaneously.

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

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: 0000899243-19-015363 · doc4.xml · derivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,397 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-015363 · doc4.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,078.49

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Total shares also reflect reinvested dividends.

SEC source: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,701.216

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · balance_after: These shares are held directly by Mr. Dondero.

SEC source: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,760.216

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · balance_after: These shares are held directly by Mr. Dondero.

SEC source: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,317,746.85

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F4 · balance_after: These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.

F5 · balance_after: The Trust previously overreported shares because it had assumed re-investment of dividends, which due to a clerical error, was not completed.

F4 · 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: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,778,210

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · balance_after: These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to be 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.

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 be 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: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,722,655

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · balance_after: These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to be 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.

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 be 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: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,689,837

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · balance_after: These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to be 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.

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 be 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: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,662,059

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · balance_after: These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to be 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.

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 be 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: 0000899243-19-015468 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,577,789

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · balance_after: These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to be 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.

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 be 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: 0000899243-19-015468 · 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: 1,870,161.8

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · 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: 1,822,201.8

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · 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: 1,810,211.8

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · 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: 1,804,655.8

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · 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: 1,799,858.8

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-014757 · doc4.xml · derivative · entry 2

WARD BRYAN A · CIK 0001227772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-014757 · doc4.xml · nonDerivative · entry 1

WARD BRYAN A · CIK 0001227772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-014758 · doc4.xml · derivative · entry 2

POST ROBERT JASON · CIK 0001716657 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 487 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-014758 · doc4.xml · nonDerivative · entry 1

POST ROBERT JASON · CIK 0001716657 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,965.195

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Total shares also reflect dividends.

SEC source: 0000899243-19-015468 · doc4.xml · derivative · entry 27

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,941 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-015468 · doc4.xml · derivative · entry 26

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 284 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-015468 · doc4.xml · derivative · entry 25

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 9,600 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · 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: 0000899243-19-015468 · doc4.xml · derivative · entry 24

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 55,555 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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 be 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: 0000899243-19-015468 · doc4.xml · derivative · entry 23

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 32,818 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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 be 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: 0000899243-19-015468 · doc4.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 27,778 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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 be 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: 0000899243-19-015468 · doc4.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 84,270 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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 be 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: 0000899243-19-015468 · doc4.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 561,798 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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 be 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: 0000899243-19-015468 · doc4.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 47,960 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · doc4.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 11,990 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · doc4.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 5,556 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · doc4.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 4,797 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-015468 · doc4.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 23,980 shares

Expires 2019-05-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-19-011926 · doc4.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,893.724

Underlying: Common Stock, par value $0.001 per share · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Mr. Norris received a grant of 3,893.724 restricted stock units ("RSUs") with respect to 3,893.724 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F2 · kind: Pursuant to the SEC staff no-action letter to Babson Capital Management LLC (pub. Avail. Dec. 14, 2006), an employee benefit plan sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company registered under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such investment company is considered an "employee benefit plan sponsored by the issuer" for the purposes of Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · derivative.exercise_date: Mr. Norris received a grant of 3,893.724 restricted stock units ("RSUs") with respect to 3,893.724 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F1 · derivative.expiration_date: Mr. Norris received a grant of 3,893.724 restricted stock units ("RSUs") with respect to 3,893.724 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F1 · derivative.underlying_shares: Mr. Norris received a grant of 3,893.724 restricted stock units ("RSUs") with respect to 3,893.724 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

SEC source: 0000899243-19-011927 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 191,202.473

Underlying: Common Stock, par value $0.001 per share · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), granted new restricted stock units ("RSUs") with respect to 191,202.473 shares to certain of NHF's officers and employees pursuant to Contingent Bonus Award Agreements dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, Mr. Dondero.

F2 · kind: Pursuant to the SEC staff no-action letter to Babson Capital Management LLC (pub. Avail. Dec. 14, 2006), an employee benefit plan sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company registered under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such investment company is considered an "employee benefit plan sponsored by the issuer" for the purposes of Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · shares: Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), granted new restricted stock units ("RSUs") with respect to 191,202.473 shares to certain of NHF's officers and employees pursuant to Contingent Bonus Award Agreements dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, Mr. Dondero.

F1 · derivative.exercise_date: Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), granted new restricted stock units ("RSUs") with respect to 191,202.473 shares to certain of NHF's officers and employees pursuant to Contingent Bonus Award Agreements dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, Mr. Dondero.

F1 · derivative.expiration_date: Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), granted new restricted stock units ("RSUs") with respect to 191,202.473 shares to certain of NHF's officers and employees pursuant to Contingent Bonus Award Agreements dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, Mr. Dondero.

F1 · derivative.underlying_shares: Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), granted new restricted stock units ("RSUs") with respect to 191,202.473 shares to certain of NHF's officers and employees pursuant to Contingent Bonus Award Agreements dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, Mr. Dondero.

F3 · ownership.nature: These RSUs have been issued by HCMLP. Mr. Dondero is the President and director of Strand Advisors, Inc. ("Strand"), HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Each of Mr. Dondero and Strand disclaims beneficial ownership of such shares except to the extent of his or its respective pecuniary interest therein.

SEC source: 0000899243-19-011931 · doc4.xml · derivative · entry 1

WATERHOUSE FRANK GEORGE · CIK 0001723097 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,194.686

Underlying: Common Stock, par value $0.001 per share · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Mr. Waterhouse received a grant of 25,194.686 restricted stock units ("RSUs") with respect to 25,194.686 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F2 · kind: Pursuant to the SEC staff no-action letter to Babson Capital Management LLC (pub. Avail. Dec. 14, 2006), an employee benefit plan sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company registered under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such investment company is considered an "employee benefit plan sponsored by the issuer" for the purposes of Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · derivative.exercise_date: Mr. Waterhouse received a grant of 25,194.686 restricted stock units ("RSUs") with respect to 25,194.686 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F1 · derivative.expiration_date: Mr. Waterhouse received a grant of 25,194.686 restricted stock units ("RSUs") with respect to 25,194.686 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F1 · derivative.underlying_shares: Mr. Waterhouse received a grant of 25,194.686 restricted stock units ("RSUs") with respect to 25,194.686 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

SEC source: 0000899243-19-011924 · doc4.xml · derivative · entry 1

POST ROBERT JASON · CIK 0001716657 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,061.383

Underlying: Common Stock, par value $0.001 per share · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Mr. Post received a grant of 2,061.383 restricted stock units ("RSUs") with respect to 2,061.383 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F2 · kind: Pursuant to the SEC staff no-action letter to Babson Capital Management LLC (pub. Avail. Dec. 14, 2006), an employee benefit plan sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company registered under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such investment company is considered an "employee benefit plan sponsored by the issuer" for the purposes of Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · derivative.exercise_date: Mr. Post received a grant of 2,061.383 restricted stock units ("RSUs") with respect to 2,061.383 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F1 · derivative.expiration_date: Mr. Post received a grant of 2,061.383 restricted stock units ("RSUs") with respect to 2,061.383 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

F1 · derivative.underlying_shares: Mr. Post received a grant of 2,061.383 restricted stock units ("RSUs") with respect to 2,061.383 shares from Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Strategic Opportunities Fund ("NHF"), pursuant to Contingent Bonus Award Agreement dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, James Dondero.

SEC source: 0000899243-18-029889 · 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: 1,598,622.0829

F4 · shares: Shares acquired in connection with issuer's dividend reinvestment plan. Under operation of the plan, monthly purchases are conducted by the plan administrator evenly over the course of approximately the first 20 days of the month.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.

F3 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-18-029889 · 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: 1,571,289.7588

F1 · kind: The Reporting Person's purchase and sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person has disgorged $77.16 to NHF, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction, less transaction costs.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.

F3 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-18-029889 · 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: 1,571,289.7588

F1 · kind: The Reporting Person's purchase and sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person has disgorged $77.16 to NHF, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction, less transaction costs.

F2 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.

F3 · balance_after: Includes shares acquired under the issuer's dividend reinvestment plan.

F2 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-18-029627 · 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: 1,571,289.759

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-18-029627 · 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: 1,571,289.759

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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: 0000899243-18-028403 · 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: 1,522,904.759

F1 · balance_after: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.

F1 · ownership.nature: These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director 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.