NORRIS DUSTIN DAVID

SEC source: 0001437749-26-020551 · rdgdoc.xml · derivative · entry 4

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,735

Underlying: Common Shares · 7,245 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On June 10, 2025, the reporting person was granted 28,980 restricted share units. The restricted share units vested one-fourth on June 10, 2026 and will vest one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. 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 June 10, 2025, the reporting person was granted 28,980 restricted share units. The restricted share units vested one-fourth on June 10, 2026 and will vest one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-26-020551 · rdgdoc.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 869,858.37

SEC source: 0001437749-26-020551 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 871,831.37

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

SEC source: 0001437749-26-018308 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 864,586.37

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.86 to $4.90, inclusive. The reporting person undertakes to provide to NexPoint Diversified Real Estate Trust (the "Company"), any security holder of NexPoint Diversified Real Estate Trust, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · balance_after: Includes shares received pursuant to an elective stock dividend paid on the Company's common shares.

SEC source: 0001437749-26-011664 · rdgdoc.xml · derivative · entry 7

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,438

Underlying: Common Shares · 12,438 shares

Expires not disclosed

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

F3 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 49,751 restricted share units. The restricted share units vested one-fourth on April 4, 2024, one-fourth on April 4, 2025 and one-fourth on April 4, 2026, and will vest 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.

F3 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 49,751 restricted share units. The restricted share units vested one-fourth on April 4, 2024, one-fourth on April 4, 2025 and one-fourth on April 4, 2026, and will vest 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: 0001437749-26-011664 · rdgdoc.xml · nonDerivative · entry 4

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 793,002.07

SEC source: 0001437749-26-011664 · rdgdoc.xml · nonDerivative · entry 3

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 797,920.07

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

SEC source: 0001437749-26-011664 · rdgdoc.xml · derivative · entry 6

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,163

Underlying: Common Shares · 11,720 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On April 3, 2025, the reporting person was granted 46,883 restricted share units. The restricted share units vested one-fourth on April 3, 2026 and will vest one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. 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 3, 2025, the reporting person was granted 46,883 restricted share units. The restricted share units vested one-fourth on April 3, 2026 and will vest one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-26-011664 · rdgdoc.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 785,482.07

SEC source: 0001437749-26-011664 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 789,040.07

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

SEC source: 0001437749-26-009282 · rdgdoc.xml · derivative · entry 4

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,714

Underlying: Common Shares · 17,857 shares

Expires not disclosed

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 · derivative.exercise_price: Each restricted share unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust (the "Company").

F3 · derivative.exercise_date: On March 18, 2024, the reporting person was granted 71,429 restricted share units. The restricted share units vested one-fourth on March 18, 2025 and one-fourth on March 18, 2026, and will vest one-fourth on March 18, 2027 and one-fourth on March 18, 2028. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F3 · derivative.expiration_date: On March 18, 2024, the reporting person was granted 71,429 restricted share units. The restricted share units vested one-fourth on March 18, 2025 and one-fourth on March 18, 2026, and will vest one-fourth on March 18, 2027 and one-fourth on March 18, 2028. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-26-009282 · rdgdoc.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 777,320.07

SEC source: 0001437749-26-009282 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 783,871.07

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 · price: Each restricted share unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust (the "Company").

F2 · balance_after: Includes shares received pursuant to elective stock dividends paid on the Company's common shares.

SEC source: 0001437749-25-020233 · rdgdoc.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,980

Underlying: Common Shares · 28,980 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On June 10, 2025, the reporting person was granted 28,980 restricted share units. The restricted share units will vest one-fourth on June 10, 2026, one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. 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 June 10, 2025, the reporting person was granted 28,980 restricted share units. The restricted share units will vest one-fourth on June 10, 2026, one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-25-018705 · rdgdoc.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 715,087.66

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.57 to $3.73, inclusive.

SEC source: 0001437749-25-018705 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 639,487.66

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.39 to $3.41, inclusive. The reporting person undertakes to provide to NexPoint Diversified Real Estate Trust, any security holder of NexPoint Diversified Real Estate Trust, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (3) to this Form 4.

F2 · balance_after: Includes shares acquired under a dividend reinvestment plan.

SEC source: 0001437749-25-018217 · rdgdoc.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 619,461

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.38 to $3.47, inclusive.

SEC source: 0001437749-25-018217 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 541,836

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.48 to $3.59, inclusive. The reporting person undertakes to provide to NexPoint Diversified Real Estate Trust, any security holder of NexPoint Diversified Real Estate Trust, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

SEC source: 0001437749-25-011242 · rdgdoc.xml · nonDerivative · entry 3

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 495,836

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.47 to $3.63, inclusive. The reporting person undertakes to provide to NexPoint Diversified Real Estate Trust, any security holder of NexPoint Diversified Real Estate Trust, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4.

SEC source: 0001437749-25-011242 · rdgdoc.xml · derivative · entry 6

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,876

Underlying: Common Shares · 12,437 shares

Expires not disclosed

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

F5 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 49,751 restricted shares units. The restricted shares units vested one-fourth on April 4, 2024 and one-fourth on April 4, 2025, and will vest 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.

F5 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 49,751 restricted shares units. The restricted shares units vested one-fourth on April 4, 2024 and one-fourth on April 4, 2025, and will vest 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: 0001437749-25-011242 · rdgdoc.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,836

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

SEC source: 0001437749-25-011242 · rdgdoc.xml · derivative · entry 5

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,883

Underlying: Common Shares · 46,883 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted shares unit represents a contingent right to receive one common share of NexPoint Diversified Real Estate Trust.

F4 · derivative.exercise_date: On April 3, 2025, the reporting person was granted 46,883 restricted shares units. The restricted shares units will vest one-fourth on April 3, 2026, one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F4 · derivative.expiration_date: On April 3, 2025, the reporting person was granted 46,883 restricted shares units. The restricted shares units will vest one-fourth on April 3, 2026, one-fourth on February 15, 2027, one-fourth on February 15, 2028 and one-fourth on February 15, 2029. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-25-011242 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,399.02

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

SEC source: 0001437749-25-008638 · rdgdoc.xml · derivative · entry 3

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,571

Underlying: Common Shares · 17,858 shares

Expires not disclosed

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

F3 · derivative.exercise_date: On March 18, 2024, the reporting person was granted 71,429 restricted shares units. The restricted shares units vested one-fourth on March 18, 2025, and will vest one-fourth on March 18, 2026, one-fourth on March 18, 2027 and one-fourth on March 18, 2028. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

F3 · derivative.expiration_date: On March 18, 2024, the reporting person was granted 71,429 restricted shares units. The restricted shares units vested one-fourth on March 18, 2025, and will vest one-fourth on March 18, 2026, one-fourth on March 18, 2027 and one-fourth on March 18, 2028. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-25-008638 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,432.78

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

F2 · balance_after: Includes shares received pursuant to an elective stock dividend paid on the Company's common shares.

SEC source: 0001437749-24-021092 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,057.49

F1 · price: The price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.725 to $4.74. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

F2 · balance_after: Includes shares held under a dividend reinvestment plan.

SEC source: 0001437749-24-011454 · rdgdoc.xml · derivative · entry 4

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,313

Underlying: Common Shares · 12,438 shares

Expires not disclosed

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

F3 · derivative.exercise_date: On April 4, 2023, the reporting person was granted 49,751 restricted shares units which vested one-fourth on April 4, 2024, and will vest 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.

F3 · derivative.expiration_date: On April 4, 2023, the reporting person was granted 49,751 restricted shares units which vested one-fourth on April 4, 2024, and will vest 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: 0001437749-24-011454 · rdgdoc.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,613.6

F2 · balance_after: Includes shares held under a dividend reinvestment plan.

SEC source: 0001437749-24-011454 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,667.6

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

F2 · balance_after: Includes shares held under a dividend reinvestment plan.

SEC source: 0001437749-24-008526 · rdgdoc.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,429

Underlying: Common Shares · 71,429 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 March 18, 2024, the reporting person was granted 71,429 restricted shares units. The restricted shares units will vest one-fourth on March 18, 2025, one-fourth on March 18, 2026, one-fourth on March 18, 2027, and one-fourth on March 18, 2028. 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 March 18, 2024, the reporting person was granted 71,429 restricted shares units. The restricted shares units will vest one-fourth on March 18, 2025, one-fourth on March 18, 2026, one-fourth on March 18, 2027, and one-fourth on March 18, 2028. Settlement will generally occur within 10 days of vesting and may at the discretion of the Compensation Committee be settled in cash.

SEC source: 0001437749-23-009654 · rdgdoc.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,751

Underlying: Common Shares · 49,751 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 49,751 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 49,751 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: 0001437749-23-000488 · 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: 0001437749-22-016315 · rdgdoc.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,372.88

Underlying: Common Stock · 42,372.88 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: 0001437749-22-016333 · rdgdoc.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,691.97

Underlying: Common Stock · 21,691.97 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: 0001437749-22-016308 · 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: 0001437749-21-024539 · rdgdoc.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,632.58

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

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

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,852.58

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

SEC source: 0000899243-21-024546 · doc4.xml · derivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,322.404

Underlying: Common Stock · 27,322.404 shares

Expires not disclosed

F1 · derivative.exercise_price: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on May 31, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · kind: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on May 31, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.exercise_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on May 31, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

F1 · derivative.expiration_date: The Contingent Bonus Award is granted by NexPoint Advisors, L.P. ("NexPoint") to the Reporting Person for service as an employee of NexPoint. Each share of the Contingent Bonus Award is the economic equivalent of one share of Issuer common stock. The shares become payable, in cash or common stock, on May 31, 2024. These awards will terminate if the Reporting Person's employment with NexPoint is terminated.

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

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,446.778

Underlying: Common Stock · 43,446.778 shares

Expires not disclosed

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

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

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

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

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

NORRIS DUSTIN DAVID · CIK 0001617176 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,304.23

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

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

SEC source: 0000899243-19-015363 · 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: 0000899243-19-011926 · 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: 0000899243-18-016094 · doc4.xml · derivative · entry 4

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,706 shares

Expires 2018-05-29

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 · ownership.nature: These shares are held pursuant to an employee benefit plan.

SEC source: 0000899243-18-016094 · doc4.xml · derivative · entry 3

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 789 shares

Expires 2018-05-29

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

SEC source: 0000899243-18-016094 · doc4.xml · nonDerivative · entry 2

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,606.288

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 · ownership.nature: These shares are held pursuant to an employee benefit plan.

SEC source: 0000899243-18-016094 · doc4.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,026.7949

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

SEC source: 0000899243-18-009220 · doc4.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 237.79

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

F3 · ownership.nature: These shares are held pursuant to an employee benefit plan.

SEC source: 0000899243-18-008336 · doc4.xml · nonDerivative · entry 1

NORRIS DUSTIN DAVID · CIK 0001617176 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 358.84

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

F3 · ownership.nature: These shares are held pursuant to an employee benefit plan.