NXDT

SEC source: 0001437749-23-009656 · rdgdoc.xml · derivative · entry 1

Mitts Brian · CIK 0001514845 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,851

Underlying: Common Shares · 29,851 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted shares unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust.

F2 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 29,851 restricted shares units. The restricted shares units will vest one-fourth on April 4, 2024, one-fourth on April 4, 2025, one-fourth on April 4, 2026, and one-fourth on April 4, 2027. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F2 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 29,851 restricted shares units. The restricted shares units will vest one-fourth on April 4, 2024, one-fourth on April 4, 2025, one-fourth on April 4, 2026, and one-fourth on April 4, 2027. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-23-009655 · rdgdoc.xml · derivative · entry 1

Goetz Matthew · CIK 0001636204 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,876

Underlying: Common Shares · 24,876 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted shares unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust.

F2 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 24,876 restricted shares units. The restricted shares units will vest one-fourth on April 4, 2024, one-fourth on April 4, 2025, one-fourth on April 4, 2026, and one-fourth on April 4, 2027. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F2 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 24,876 restricted shares units. The restricted shares units will vest one-fourth on April 4, 2024, one-fourth on April 4, 2025, one-fourth on April 4, 2026, and one-fourth on April 4, 2027. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-23-009653 · rdgdoc.xml · derivative · entry 1

Sauter Dennis Charles Jr · CIK 0001803863 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,950

Underlying: Common Shares · 9,950 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted shares unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust.

F2 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 9,950 restricted shares units. The restricted shares units will vest one-fourth on April 4, 2024, one-fourth on April 4, 2025, one-fourth on April 4, 2026, and one-fourth on April 4, 2027. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F2 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 9,950 restricted shares units. The restricted shares units will vest one-fourth on April 4, 2024, one-fourth on April 4, 2025, one-fourth on April 4, 2026, and one-fourth on April 4, 2027. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-23-009652 · rdgdoc.xml · derivative · entry 1

Wood Catherine D. · CIK 0001820212 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,463

Underlying: Common Shares · 7,463 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted shares unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust.

F2 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 7,463 restricted shares units which will vest on April 4, 2024. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F2 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 7,463 restricted shares units which will vest on April 4, 2024. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-23-009651 · rdgdoc.xml · derivative · entry 1

Swain Carol · CIK 0001941224 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,463

Underlying: Common Shares · 7,463 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted shares unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust.

F2 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 7,463 restricted shares units which will vest on April 4, 2024. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F2 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 7,463 restricted shares units which will vest on April 4, 2024. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-23-005996 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,831

F1 · ownership.nature: These shares are held by Highland Global Allocation Fund, which is managed by NexPoint Asset Management, L.P. ("NexPoint Asset Management") (f/k/a Highland Capital Management Fund Advisers, L.P.). Mr. Dondero is the sole stockholder and director of Strand Advisors XVI, Inc., NexPoint Asset Management's general partner, and may be deemed to be an indirect beneficial owner of shares held by NexPoint Asset Management. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001437749-23-005996 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,931

F1 · ownership.nature: These shares are held by Highland Global Allocation Fund, which is managed by NexPoint Asset Management, L.P. ("NexPoint Asset Management") (f/k/a Highland Capital Management Fund Advisers, L.P.). Mr. Dondero is the sole stockholder and director of Strand Advisors XVI, Inc., NexPoint Asset Management's general partner, and may be deemed to be an indirect beneficial owner of shares held by NexPoint Asset Management. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001437749-23-000488 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,695

F1 · balance_after: Includes shares acquired under a dividend reinvestment plan.

SEC source: 0001437749-22-028219 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,825,479

F1 · ownership.nature: On November 28, 2022, NexPoint Climate Tech Fund (f/k/a/ Highland Small-Cap Equity Fund) sold 118,673 shares to Highland Income Fund (the "Trade"). Following the Trade, 0 shares are held by NexPoint Climate Tech Fund, 1,275,616 shares are held by Highland Income Fund and 549,863 shares are held by Highland Global Allocation Fund. These entities are managed by NexPoint Asset Management, L.P. (f/k/a Highland Capital Management Fund Advisers), which is ultimately controlled by Mr. Dondero. Mr. Dondero may be deemed to be an indirect beneficial owner of shares held by such entities. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. The Trade was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person disgorged $2,743.03 to NexPoint Diversified Real Estate Trust, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction.

SEC source: 0001437749-22-028219 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,706,806

F1 · ownership.nature: On November 28, 2022, NexPoint Climate Tech Fund (f/k/a/ Highland Small-Cap Equity Fund) sold 118,673 shares to Highland Income Fund (the "Trade"). Following the Trade, 0 shares are held by NexPoint Climate Tech Fund, 1,275,616 shares are held by Highland Income Fund and 549,863 shares are held by Highland Global Allocation Fund. These entities are managed by NexPoint Asset Management, L.P. (f/k/a Highland Capital Management Fund Advisers), which is ultimately controlled by Mr. Dondero. Mr. Dondero may be deemed to be an indirect beneficial owner of shares held by such entities. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. The Trade was matchable under Section 16(b) of the Securities Exchange Act of 1934. The Reporting Person disgorged $2,743.03 to NexPoint Diversified Real Estate Trust, representing the full amount of his pecuniary interest in the deemed profit realized in connection with the short-swing transaction.

SEC source: 0001437749-22-023668 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,789,355

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: 0001437749-22-023668 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,761,574

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: 0001437749-22-023507 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,748,955

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: 0001437749-22-023311 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,738,955

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: 0001437749-22-023248 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,688,749

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: 0001437749-22-023197 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,639,327

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: 0001437749-22-022867 · rdgdoc.xml · nonDerivative · entry 1

LAFFER ARTHUR B · CIK 0001090307 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By limited liability company

Disclosed balance after: 45,499

F1 · ownership.nature: The reporting person holds these shares indirectly through a limited liability company in which the reporting person controls. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001437749-24-030959 · rdgdoc.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Indirect · As custodian of UTMA account for child 5

Disclosed balance after: 4,141.3358

F1 · balance_after: Includes shares received pursuant to an elective stock dividend paid on the Company's common shares on September 30, 2024.

F2 · ownership.nature: The shares are held for one of Mr. Dondero's children, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which Mr. Dondero serves as custodian. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001437749-22-017214 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,580,862

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: 0001437749-22-020716 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 45,986

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: 0001437749-22-015508 · 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: 3,534,941

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: 0001437749-22-015213 · 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: 3,513,851

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: 0001437749-22-015213 · 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: 3,508,561

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: 0001437749-22-015001 · 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: 3,487,471

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: 0001437749-22-014813 · 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: 3,411,289

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: 0001437749-22-016309 · rdgdoc.xml · derivative · entry 1

Vitiello Stephanie · CIK 0001895263 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,756.38

Underlying: Common Stock · 1,756.38 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the contingent bonus award is the economic equivalent of one share of the Issuer's common stock.

F2 · price: The Contingent Bonus Award is granted by Skyview Legal, P.C. ("Skyview") to the Reporting Person for service as an employee of Skyview. 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with Skyview is terminated.

F2 · derivative.exercise_date: The Contingent Bonus Award is granted by Skyview Legal, P.C. ("Skyview") to the Reporting Person for service as an employee of Skyview. 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with Skyview is terminated.

F2 · derivative.expiration_date: The Contingent Bonus Award is granted by Skyview Legal, P.C. ("Skyview") to the Reporting Person for service as an employee of Skyview. 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with Skyview is terminated.

SEC source: 0001437749-22-016308 · rdgdoc.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,425.42

Underlying: Common Stock · 32,425.42 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the contingent bonus award is the economic equivalent of one share of the Issuer's common stock.

F2 · 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F2 · 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F2 · 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

SEC source: 0001437749-22-016460 · rdgdoc.xml · derivative · entry 1

WATERHOUSE FRANK GEORGE · CIK 0001723097 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,970.16

Underlying: Common Stock · 12,970.16 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the contingent bonus award is the economic equivalent of one share of the Issuer's common stock.

F2 · price: The Contingent Bonus Award is granted by Highgate Consulting Group, Inc. d/b/a Skyview Group ("Skyview") to the Reporting Person for service as an employee of Skyview. 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with Skyview is terminated.

F2 · derivative.exercise_date: The Contingent Bonus Award is granted by Highgate Consulting Group, Inc. d/b/a Skyview Group ("Skyview") to the Reporting Person for service as an employee of Skyview. 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with Skyview is terminated.

F2 · derivative.expiration_date: The Contingent Bonus Award is granted by Highgate Consulting Group, Inc. d/b/a Skyview Group ("Skyview") to the Reporting Person for service as an employee of Skyview. 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 May 31, 2025. These awards will terminate if the Reporting Person's employment with Skyview is terminated.

SEC source: 0001437749-22-011154 · 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: 3,362,201

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: 0001437749-22-010924 · 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: 3,347,478

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: 0001437749-22-008503 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,785.41

F1 · balance_after: Includes shares acquired through the Issuer's Dividend Reinvestment Plan.

SEC source: 0001437749-22-006831 · rdgdoc.xml · nonDerivative · entry 1

Vitiello Stephanie · CIK 0001895263 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329

SEC source: 0001437749-22-006937 · rdgdoc.xml · nonDerivative · entry 1

Powell Ethan · CIK 0001514844 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,273.91

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

SEC source: 0001437749-22-006635 · 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: 3,189,381

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: 0001437749-22-006474 · 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: 3,175,001

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: 0001437749-22-006339 · 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: 3,145,889

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: 0001437749-22-006128 · 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: 3,126,056

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: 0001437749-22-006128 · 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: 3,110,989

F1 · balance_after: Includes shares acquired under 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: 0001437749-22-005879 · 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: 3,078,794

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: 0001437749-22-005684 · 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: 3,067,441

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: 0001437749-22-005684 · 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: 3,035,856

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: 0001437749-22-003584 · 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: 3,025,556

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: 0001437749-22-003584 · 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: 3,013,546

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: 0001437749-22-003328 · 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: 2,976,031

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

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: 0001437749-22-003328 · 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: 2,918,283

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: 0001437749-22-002010 · 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: 2,880,648

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: 0001437749-22-001875 · 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: 2,865,148

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: 0001437749-22-001798 · 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: 2,834,290

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: 0001437749-24-030959 · rdgdoc.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Indirect · As custodian of UTMA account for child 4

Disclosed balance after: 4,327.7052

F1 · balance_after: Includes shares received pursuant to an elective stock dividend paid on the Company's common shares on September 30, 2024.

F2 · ownership.nature: The shares are held for one of Mr. Dondero's children, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which Mr. Dondero serves as custodian. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001437749-24-030959 · rdgdoc.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Indirect · As custodian of UTMA account for child 6

Disclosed balance after: 5,833.5291

F1 · balance_after: Includes shares received pursuant to an elective stock dividend paid on the Company's common shares on September 30, 2024.

F2 · ownership.nature: The shares are held for one of Mr. Dondero's children, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which Mr. Dondero serves as custodian. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.