HIGHLAND CAPITAL MANAGEMENT LP

HTTP://HIGHLANDCAPITAL.COM/ DALLAS, TX Investment Advisor Activist Investor How do I update this listing?

Also known as:

  • PYXIS CAPITAL LP /DE
  • HIGHLAND FUNDS ASSET MANAGEMENT LP

Highland Capital Management is based out of Dallas. Highland Capital Management is a large advisory firm with 41 clients and discretionary assets under management (AUM) of $3,882,429,000 (Form ADV from 2019-03-29). Their last reported 13F filing for Q1 2019 included $1,604,949,000 in managed 13F securities and a top 10 holdings concentration of 41.65%. Highland Capital Management's largest holding is Vistra Energy Cp with shares held of 8,308,614. Highland Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 83 13F filings, 152 13D filings, and 81 13G filings

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62

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $1.605 Billion
  • Prior Market Value $1.304 Billion
  • New Purchases118 stocks
  • Additional Purchases36 stocks
  • Sold out of73 stocks
  • Reduced holdings in76 stocks
  • Top 10 Holdings % 41.65 %
  • Turnover % [1]:61.61%
  • Turnover Alt % [2]: 24.82 %
  • Time Held Top20:4.55 quarters
  • Time Held Top10:5.80 quarters
  • Time Held All:5.55 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: -1.01%
Performance Last 4 Quarters: -2.59%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR/A (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR/A (Subscription required)
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  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR/A (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR/A (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR/A (Subscription required)
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  • 2013-12-31 - 13F-HR/A (Subscription required)
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  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR/A (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
FIRST FOUNDATION ADVISORS
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.
NexPoint Advisors, L.P.

View Last Form Adv Compilation Report on Record

HIGHLAND CAPITAL MANAGEMENT, L.P.
Classified as Hedge Fund
300 CRESCENT COURT SUITE 700
DALLAS TX    75201
Country: United States

Business Phone: 972-628-4100
Fax: 972-628-4147
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 102
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 831,642,000
Total Number of Clients: 41
Amount of client funds and securities by related persons: 831,642,000
Total Number of clients from related persons: 8
Disclosures: 11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

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HIGHLAND CAPITAL MANAGEMENT, L.P.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
OKADA, MARK, KIYOSHI LIMITED PARTNER/EVP 04/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER/EVP direct 1993-04-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-05-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. VICE PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. MEMBER indirect 2010-07-01
GRANITE BAY ADVISORS, L.P. PRESIDENT / LIMITED PARTNER direct 2010-07-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TRUSTEE indirect 2011-10-01
HIGHLAND CAPITAL MANAGEMENT LP EXECUTIVE VICE PRESIDENT direct 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
HIGHLAND CAPITAL MANAGEMENT, L.P. EXECUTIVE VICE PRESIDENT, LIMITED PARTNER direct 1993-04-01 2005-03-30
GRANITE BAY ADVISORS, L.P. PRESIDENT direct 2010-07-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01 2011-05-19
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01 2014-03-31
GRANITE BAY ADVISORS, L.P. MANAGER indirect 2010-07-01 2014-03-31
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
PETROCAP, LLC MEMBER direct 2014-03-01 2015-03-30
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2015-08-27
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SETTLOR indirect 2011-10-01 2015-09-14
GRANITE BAY ADVISORS, L.P. PRESIDENT / MEMBER direct 2010-07-01 2016-03-28
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF INVESTMENT OFFICER, LIMITED PARTNER direct 1993-04-01 2017-01-24
STRAND ADVISORS, INC. GENERAL PARTNER 07/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT LP GENERAL PARTNER direct 1997-07-01
MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS' TRUST LIMITED PARTNER 06/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUST, LIMITED PARTNER direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT TRUST 2 LIMITED PARTNER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
ELLINGTON, SCOTT, BYRON CHIEF LEGAL OFFICER, GENERAL COUNSEL AND SECRETARY 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER, GENERAL COUNSEL AND SECRETARY direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER AND GENERAL COUNSEL direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF LEGAL OFFICER direct 2012-01-01
NEXPOINT ADVISORS, L.P. CHIEF LEGAL OFFICER direct 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. GENERAL COUNSEL AND SECRETARY direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. GENERAL COUNSEL AND SECRETARY direct 2014-10-01
SURGENT, THOMAS, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
PYXIS CAPITAL, L.P. SECRETARY direct 2011-10-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER & SECRETARY direct 2011-10-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
TUNSTALL CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
ACIS CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
ACIS CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER & SECRETARY direct 2011-10-01
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
GRANITE BAY ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
FALCON E & P OPPORTUNITIES GP, LLC CCO direct 2012-02-01
NEXPOINT ADVISORS, L.P. SECRETARY direct 2012-03-01
NEXPOINT ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
PETROCAP, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
RAND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
NEXPOINT REAL ESTATE ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. CHIEF COMPLIANCE OFFICER direct 2014-10-01
WATERHOUSE, FRANK, GEORGE TREASURER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2012-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TREASURER direct 2012-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TREASURER direct 2012-06-01
ACIS CAPITAL MANAGEMENT, L.P. TREASURER direct 2012-02-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. TREASURER direct 2012-07-01
GRANITE BAY ADVISORS, L.P. TREASURER direct 2014-06-01
NEXPOINT ADVISORS, L.P. TREASURER direct 2012-06-01
THE DUGABOY INVESTMENT TRUST LIMITED PARTNER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2011-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. PARTNER direct 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. MEMBER indirect 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. GENERAL PARTNER direct 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2005-08-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01
NEXPOINT ADVISORS, L.P. LIMITED PARTNER direct 2012-03-01
PETROCAP, LLC MEMBER direct 2014-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. LIMITED PARTNER indirect 2012-03-01
HUNTER MOUNTAIN INVESTMENT TRUST LIMITED PARTNER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2015-12-01
DONDERO, JAMES, DAVID PRESIDENT 04/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEXPOINT ADVISORS, L.P. PRESIDENT / MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. PRESIDENT direct 2014-10-01
NEXPOINT ADVISORS, L.P. PRESIDENT direct 2015-05-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT direct 1993-04-01
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1993-04-01
HIGHLAND CAPITAL MANAGEMENT, L.P. DIRECTOR/SHAREHOLDER indirect 1997-07-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. TRUSTEE indirect 2002-06-01
PROSPECT MANAGEMENT ADVISERS, L.P. CHIEF EXECUTIVE OFFICER direct 2006-03-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2009-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2011-01-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
NEXPOINT REAL ESTATE ADVISORS, L.P. MEMBER indirect 2012-03-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT indirect 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. SOLE MEMEBER, ELECTED MANAGER indirect 2004-07-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1997-07-01 2006-01-20
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, LIMITED PARTNER direct 1993-04-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE direct 1993-04-01 2007-06-12
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE GET BETTER TRUST, THE CANIS MAJOR TRUST, THE CANIS MINOR TRUST direct 1993-04-01 2008-03-28
VERIAN CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2010-04-05
ACIS CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-03-01 2010-06-04
TUNSTALL CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2011-03-31
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-03-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT OF GENERAL PARTNER, TRUSTEE FOR CANIS MAJOR TRUST direct 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01 2011-05-19
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE CANIS MAJOR TRUST direct 1993-04-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
TUNSTALL CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
VERIAN CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-03-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-05-01 2011-10-12
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2013-04-18
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2014-02-27
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2014-11-06
PETROCAP, LLC TRUSTEE indirect 2014-03-01 2015-03-30
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-03-30
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-04-21
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01 2015-05-28
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-12-01 2015-05-29
NEXPOINT ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2015-09-14
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST direct 2012-03-01 2015-09-21
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2015-10-01 2015-10-19
NEXPOINT ADVISORS, L.P. MEMBER indirect 2012-03-01 2015-10-19
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2016-03-28
NEXPOINT ADVISORS, L.P. PRESIDENT / SHAREHOLDER indirect 2012-03-01 2016-03-29
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 1993-04-01 2016-04-29
VERIAN CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28
PARKER, LEE, BLACKWELL ASSISTANT SECRETARY 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. ASSISTANT SECRETARY direct 2015-08-01
GRANITE BAY ADVISORS, L.P. SECRETARY direct 2012-02-01
TONOMURA, LAWRENCE, NATHAN TRUSTEE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS' TRUST 06/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE FOR THE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS TRUST direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP OKADA FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP OKADA FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
TONOMURA, LAWRENCE, NATHAN TRUSTEE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT TRUST 2 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE FOR THE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS TRUST direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP OKADA FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP OKADA FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
DONDERO, NANCY, MARIE TRUSTEE THE DUGABOY INVESTMENT TRUST 10/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-10-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2015-10-01
HONIS, JOHN, WILLIAM TRUSTEE HUNTER MOUNTAIN INVESTMENT TRUST 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. SENIOR PORTFOLIO MANAGER direct 2006-10-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2007-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. HEAD OF PRIVATE EQUITY, LIMITED PARTNER direct 2007-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-12-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
RAND ADVISORS, LLC PRESIDENT direct 2013-09-01
DONDERO, JAMES, DAVID DIRECTOR/SHAREHOLDER STRAND ADVISORS, INC. 07/01/1997 Indirect Other
Fund Name Position direct/indirect start date end date
NEXPOINT ADVISORS, L.P. PRESIDENT / MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. PRESIDENT direct 2014-10-01
NEXPOINT ADVISORS, L.P. PRESIDENT direct 2015-05-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT direct 1993-04-01
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1993-04-01
HIGHLAND CAPITAL MANAGEMENT, L.P. DIRECTOR/SHAREHOLDER indirect 1997-07-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. TRUSTEE indirect 2002-06-01
PROSPECT MANAGEMENT ADVISERS, L.P. CHIEF EXECUTIVE OFFICER direct 2006-03-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2009-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2011-01-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
NEXPOINT REAL ESTATE ADVISORS, L.P. MEMBER indirect 2012-03-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT indirect 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. SOLE MEMEBER, ELECTED MANAGER indirect 2004-07-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1997-07-01 2006-01-20
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, LIMITED PARTNER direct 1993-04-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE direct 1993-04-01 2007-06-12
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE GET BETTER TRUST, THE CANIS MAJOR TRUST, THE CANIS MINOR TRUST direct 1993-04-01 2008-03-28
VERIAN CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2010-04-05
ACIS CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-03-01 2010-06-04
TUNSTALL CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2011-03-31
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-03-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT OF GENERAL PARTNER, TRUSTEE FOR CANIS MAJOR TRUST direct 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01 2011-05-19
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE CANIS MAJOR TRUST direct 1993-04-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
TUNSTALL CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
VERIAN CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-03-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-05-01 2011-10-12
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2013-04-18
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2014-02-27
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2014-11-06
PETROCAP, LLC TRUSTEE indirect 2014-03-01 2015-03-30
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-03-30
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-04-21
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01 2015-05-28
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-12-01 2015-05-29
NEXPOINT ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2015-09-14
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST direct 2012-03-01 2015-09-21
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2015-10-01 2015-10-19
NEXPOINT ADVISORS, L.P. MEMBER indirect 2012-03-01 2015-10-19
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2016-03-28
NEXPOINT ADVISORS, L.P. PRESIDENT / SHAREHOLDER indirect 2012-03-01 2016-03-29
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 1993-04-01 2016-04-29
VERIAN CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ACIS CLO 2017-7 LTD. Cayman Islands 805-7969406798 Securitized Asset Fund 404,076,121 100,000
STONEBRIDGE-HIGHLAND HEALTHCARE PRIVATE EQUITY FUND Korea, South 805-2413565706 Private Equity Fund 81,815,000 0
HIGHLAND CLO FUNDING, LTD. Guernsey 805-4403936271 Securitized Asset Fund 117,245,000 0
HIGHLAND ARGENTINA REGIONAL OPPORTUNITY MASTER FUND, L.P. Cayman Islands 805-4000703090 Hedge Fund 77,124,000 500,000 Master Fund
HIGHLAND MULTI STRATEGY CREDIT FUND, L.P. United States 805-9872591840 Hedge Fund 199,029,000 1,000,000 Master Fund
HIGHLAND RESTORATION CAPITAL PARTNERS, L.P. United States 805-2103133324 Private Equity Fund 133,702,000 10,000,000
HIGHLAND RESTORATION CAPITAL PARTNERS MASTER, LP United States 805-4547867916 Private Equity Fund 163,408,000 10,000,000
HIGHLAND PROMETHEUS MASTER FUND, L.P. Cayman Islands 805-9351712942 Hedge Fund 22,579,000 4,520,000 Master Fund
HIGHLAND DYNAMIC INCOME MASTER FUND, L.P. Cayman Islands 805-1399466367 Hedge Fund 67,813,000 2,000,000 Master Fund

HIGHLAND CAPITAL MANAGEMENT, L.P.

ownership team - last updated 2018-10-17
Name Title Start Date Direct/Indirect % Ownership
OKADA, MARK, KIYOSHI LIMITED PARTNER/EVP 04/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER/EVP direct 1993-04-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-05-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. VICE PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. MEMBER indirect 2010-07-01
GRANITE BAY ADVISORS, L.P. PRESIDENT / LIMITED PARTNER direct 2010-07-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TRUSTEE indirect 2011-10-01
HIGHLAND CAPITAL MANAGEMENT LP EXECUTIVE VICE PRESIDENT direct 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
HIGHLAND CAPITAL MANAGEMENT, L.P. EXECUTIVE VICE PRESIDENT, LIMITED PARTNER direct 1993-04-01 2005-03-30
GRANITE BAY ADVISORS, L.P. PRESIDENT direct 2010-07-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01 2011-05-19
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01 2014-03-31
GRANITE BAY ADVISORS, L.P. MANAGER indirect 2010-07-01 2014-03-31
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
PETROCAP, LLC MEMBER direct 2014-03-01 2015-03-30
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2015-08-27
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SETTLOR indirect 2011-10-01 2015-09-14
GRANITE BAY ADVISORS, L.P. PRESIDENT / MEMBER direct 2010-07-01 2016-03-28
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF INVESTMENT OFFICER, LIMITED PARTNER direct 1993-04-01 2017-01-24
STRAND ADVISORS, INC. GENERAL PARTNER 07/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT LP GENERAL PARTNER direct 1997-07-01
MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS' TRUST LIMITED PARTNER 06/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUST, LIMITED PARTNER direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT TRUST 2 LIMITED PARTNER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
ELLINGTON, SCOTT, BYRON CHIEF LEGAL OFFICER, GENERAL COUNSEL AND SECRETARY 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER, GENERAL COUNSEL AND SECRETARY direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER AND GENERAL COUNSEL direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF LEGAL OFFICER direct 2012-01-01
NEXPOINT ADVISORS, L.P. CHIEF LEGAL OFFICER direct 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. GENERAL COUNSEL AND SECRETARY direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. GENERAL COUNSEL AND SECRETARY direct 2014-10-01
SURGENT, THOMAS, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
PYXIS CAPITAL, L.P. SECRETARY direct 2011-10-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER & SECRETARY direct 2011-10-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
TUNSTALL CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
ACIS CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
ACIS CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER & SECRETARY direct 2011-10-01
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
GRANITE BAY ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
FALCON E & P OPPORTUNITIES GP, LLC CCO direct 2012-02-01
NEXPOINT ADVISORS, L.P. SECRETARY direct 2012-03-01
NEXPOINT ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
PETROCAP, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
RAND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
NEXPOINT REAL ESTATE ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. CHIEF COMPLIANCE OFFICER direct 2014-10-01
WATERHOUSE, FRANK, GEORGE TREASURER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2012-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TREASURER direct 2012-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TREASURER direct 2012-06-01
ACIS CAPITAL MANAGEMENT, L.P. TREASURER direct 2012-02-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. TREASURER direct 2012-07-01
GRANITE BAY ADVISORS, L.P. TREASURER direct 2014-06-01
NEXPOINT ADVISORS, L.P. TREASURER direct 2012-06-01
THE DUGABOY INVESTMENT TRUST LIMITED PARTNER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2011-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. PARTNER direct 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. MEMBER indirect 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. GENERAL PARTNER direct 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2005-08-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01
NEXPOINT ADVISORS, L.P. LIMITED PARTNER direct 2012-03-01
PETROCAP, LLC MEMBER direct 2014-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. LIMITED PARTNER indirect 2012-03-01
HUNTER MOUNTAIN INVESTMENT TRUST LIMITED PARTNER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2015-12-01
DONDERO, JAMES, DAVID PRESIDENT 04/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEXPOINT ADVISORS, L.P. PRESIDENT / MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. PRESIDENT direct 2014-10-01
NEXPOINT ADVISORS, L.P. PRESIDENT direct 2015-05-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT direct 1993-04-01
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1993-04-01
HIGHLAND CAPITAL MANAGEMENT, L.P. DIRECTOR/SHAREHOLDER indirect 1997-07-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. TRUSTEE indirect 2002-06-01
PROSPECT MANAGEMENT ADVISERS, L.P. CHIEF EXECUTIVE OFFICER direct 2006-03-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2009-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2011-01-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
NEXPOINT REAL ESTATE ADVISORS, L.P. MEMBER indirect 2012-03-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT indirect 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. SOLE MEMEBER, ELECTED MANAGER indirect 2004-07-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1997-07-01 2006-01-20
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, LIMITED PARTNER direct 1993-04-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE direct 1993-04-01 2007-06-12
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE GET BETTER TRUST, THE CANIS MAJOR TRUST, THE CANIS MINOR TRUST direct 1993-04-01 2008-03-28
VERIAN CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2010-04-05
ACIS CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-03-01 2010-06-04
TUNSTALL CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2011-03-31
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-03-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT OF GENERAL PARTNER, TRUSTEE FOR CANIS MAJOR TRUST direct 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01 2011-05-19
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE CANIS MAJOR TRUST direct 1993-04-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
TUNSTALL CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
VERIAN CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-03-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-05-01 2011-10-12
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2013-04-18
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2014-02-27
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2014-11-06
PETROCAP, LLC TRUSTEE indirect 2014-03-01 2015-03-30
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-03-30
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-04-21
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01 2015-05-28
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-12-01 2015-05-29
NEXPOINT ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2015-09-14
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST direct 2012-03-01 2015-09-21
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2015-10-01 2015-10-19
NEXPOINT ADVISORS, L.P. MEMBER indirect 2012-03-01 2015-10-19
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2016-03-28
NEXPOINT ADVISORS, L.P. PRESIDENT / SHAREHOLDER indirect 2012-03-01 2016-03-29
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 1993-04-01 2016-04-29
VERIAN CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28
PARKER, LEE, BLACKWELL ASSISTANT SECRETARY 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. ASSISTANT SECRETARY direct 2015-08-01
GRANITE BAY ADVISORS, L.P. SECRETARY direct 2012-02-01
TONOMURA, LAWRENCE, NATHAN TRUSTEE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS' TRUST 06/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE FOR THE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS TRUST direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP OKADA FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP OKADA FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
TONOMURA, LAWRENCE, NATHAN TRUSTEE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT TRUST 2 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE FOR THE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS TRUST direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP OKADA FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP OKADA FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
DONDERO, NANCY, MARIE TRUSTEE THE DUGABOY INVESTMENT TRUST 10/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-10-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2015-10-01
HONIS, JOHN, WILLIAM TRUSTEE HUNTER MOUNTAIN INVESTMENT TRUST 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. SENIOR PORTFOLIO MANAGER direct 2006-10-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2007-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. HEAD OF PRIVATE EQUITY, LIMITED PARTNER direct 2007-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-12-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
RAND ADVISORS, LLC PRESIDENT direct 2013-09-01
DONDERO, JAMES, DAVID DIRECTOR/SHAREHOLDER STRAND ADVISORS, INC. 07/01/1997 Indirect Other
Fund Name Position direct/indirect start date end date
NEXPOINT ADVISORS, L.P. PRESIDENT / MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. PRESIDENT direct 2014-10-01
NEXPOINT ADVISORS, L.P. PRESIDENT direct 2015-05-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT direct 1993-04-01
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1993-04-01
HIGHLAND CAPITAL MANAGEMENT, L.P. DIRECTOR/SHAREHOLDER indirect 1997-07-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. TRUSTEE indirect 2002-06-01
PROSPECT MANAGEMENT ADVISERS, L.P. CHIEF EXECUTIVE OFFICER direct 2006-03-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2009-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2011-01-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
NEXPOINT REAL ESTATE ADVISORS, L.P. MEMBER indirect 2012-03-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT indirect 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. SOLE MEMEBER, ELECTED MANAGER indirect 2004-07-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1997-07-01 2006-01-20
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, LIMITED PARTNER direct 1993-04-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE direct 1993-04-01 2007-06-12
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE GET BETTER TRUST, THE CANIS MAJOR TRUST, THE CANIS MINOR TRUST direct 1993-04-01 2008-03-28
VERIAN CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2010-04-05
ACIS CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-03-01 2010-06-04
TUNSTALL CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2011-03-31
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-03-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT OF GENERAL PARTNER, TRUSTEE FOR CANIS MAJOR TRUST direct 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01 2011-05-19
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE CANIS MAJOR TRUST direct 1993-04-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
TUNSTALL CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
VERIAN CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-03-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-05-01 2011-10-12
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2013-04-18
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2014-02-27
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2014-11-06
PETROCAP, LLC TRUSTEE indirect 2014-03-01 2015-03-30
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-03-30
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-04-21
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01 2015-05-28
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-12-01 2015-05-29
NEXPOINT ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2015-09-14
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST direct 2012-03-01 2015-09-21
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2015-10-01 2015-10-19
NEXPOINT ADVISORS, L.P. MEMBER indirect 2012-03-01 2015-10-19
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2016-03-28
NEXPOINT ADVISORS, L.P. PRESIDENT / SHAREHOLDER indirect 2012-03-01 2016-03-29
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 1993-04-01 2016-04-29
VERIAN CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HIGHLAND ARGENTINA REGIONAL OPPORTUNITY MASTER FUND, L.P. Cayman Islands 805-4000703090 Hedge Fund 94,207,030 500,000 Master Fund
ACIS CLO 2017-7 LTD. Cayman Islands 805-7969406798 Securitized Asset Fund 404,076,121 100,000
STONEBRIDGE-HIGHLAND HEALTHCARE PRIVATE EQUITY FUND Korea, South 805-2413565706 Private Equity Fund 39,617,189 0
HIGHLAND CLO FUNDING, LTD. Guernsey 805-4403936271 Securitized Asset Fund 170,193,366 0
HIGHLAND MULTI STRATEGY CREDIT FUND, L.P. United States 805-9872591840 Hedge Fund 377,570,311 1,000,000 Master Fund
HIGHLAND LOAN MASTER FUND, L.P. Cayman Islands 805-1399466367 Hedge Fund 84,951,751 2,000,000 Master Fund
HIGHLAND RESTORATION CAPITAL PARTNERS, L.P. United States 805-2103133324 Private Equity Fund 166,686,889 10,000,000
HIGHLAND RESTORATION CAPITAL PARTNERS MASTER, LP United States 805-4547867916 Private Equity Fund 204,696,135 10,000,000
HIGHLAND PROMETHEUS MASTER FUND, L.P. Cayman Islands 805-9351712942 Hedge Fund 21,992,622 4,520,000 Master Fund

HIGHLAND CAPITAL MANAGEMENT, L.P.

ownership team - last updated 2017-11-20
Name Title Start Date Direct/Indirect % Ownership
OKADA, MARK, KIYOSHI LIMITED PARTNER/EVP 04/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER/EVP direct 1993-04-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-05-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. VICE PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. MEMBER indirect 2010-07-01
GRANITE BAY ADVISORS, L.P. PRESIDENT / LIMITED PARTNER direct 2010-07-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TRUSTEE indirect 2011-10-01
HIGHLAND CAPITAL MANAGEMENT LP EXECUTIVE VICE PRESIDENT direct 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
HIGHLAND CAPITAL MANAGEMENT, L.P. EXECUTIVE VICE PRESIDENT, LIMITED PARTNER direct 1993-04-01 2005-03-30
GRANITE BAY ADVISORS, L.P. PRESIDENT direct 2010-07-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01 2011-05-19
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01 2014-03-31
GRANITE BAY ADVISORS, L.P. MANAGER indirect 2010-07-01 2014-03-31
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
PETROCAP, LLC MEMBER direct 2014-03-01 2015-03-30
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2015-08-27
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SETTLOR indirect 2011-10-01 2015-09-14
GRANITE BAY ADVISORS, L.P. PRESIDENT / MEMBER direct 2010-07-01 2016-03-28
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF INVESTMENT OFFICER, LIMITED PARTNER direct 1993-04-01 2017-01-24
STRAND ADVISORS, INC. GENERAL PARTNER 07/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT LP GENERAL PARTNER direct 1997-07-01
MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS' TRUST LIMITED PARTNER 06/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUST, LIMITED PARTNER direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT TRUST 2 LIMITED PARTNER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
ELLINGTON, SCOTT, BYRON CHIEF LEGAL OFFICER, GENERAL COUNSEL AND SECRETARY 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER, GENERAL COUNSEL AND SECRETARY direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF LEGAL OFFICER AND GENERAL COUNSEL direct 2011-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF LEGAL OFFICER direct 2012-01-01
NEXPOINT ADVISORS, L.P. CHIEF LEGAL OFFICER direct 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. GENERAL COUNSEL AND SECRETARY direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. GENERAL COUNSEL AND SECRETARY direct 2014-10-01
SURGENT, THOMAS, JOSEPH CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
PYXIS CAPITAL, L.P. SECRETARY direct 2011-10-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER & SECRETARY direct 2011-10-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
TUNSTALL CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
ACIS CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
ACIS CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER & SECRETARY direct 2011-10-01
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
GRANITE BAY ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2011-10-01
FALCON E & P OPPORTUNITIES GP, LLC CCO direct 2012-02-01
NEXPOINT ADVISORS, L.P. SECRETARY direct 2012-03-01
NEXPOINT ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
PETROCAP, LLC CHIEF COMPLIANCE OFFICER direct 2014-03-01
RAND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
NEXPOINT REAL ESTATE ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. CHIEF COMPLIANCE OFFICER direct 2014-10-01
WATERHOUSE, FRANK, GEORGE TREASURER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2012-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TREASURER direct 2012-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TREASURER direct 2012-06-01
ACIS CAPITAL MANAGEMENT, L.P. TREASURER direct 2012-02-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. TREASURER direct 2012-07-01
GRANITE BAY ADVISORS, L.P. TREASURER direct 2014-06-01
NEXPOINT ADVISORS, L.P. TREASURER direct 2012-06-01
THE DUGABOY INVESTMENT TRUST LIMITED PARTNER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2011-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. PARTNER direct 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. MEMBER indirect 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. GENERAL PARTNER direct 2005-08-01
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2005-08-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01
NEXPOINT ADVISORS, L.P. LIMITED PARTNER direct 2012-03-01
PETROCAP, LLC MEMBER direct 2014-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. LIMITED PARTNER indirect 2012-03-01
HUNTER MOUNTAIN INVESTMENT TRUST LIMITED PARTNER 12/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2015-12-01
DONDERO, JAMES, DAVID PRESIDENT 04/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEXPOINT ADVISORS, L.P. PRESIDENT / MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. PRESIDENT direct 2014-10-01
NEXPOINT ADVISORS, L.P. PRESIDENT direct 2015-05-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT direct 1993-04-01
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1993-04-01
HIGHLAND CAPITAL MANAGEMENT, L.P. DIRECTOR/SHAREHOLDER indirect 1997-07-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. TRUSTEE indirect 2002-06-01
PROSPECT MANAGEMENT ADVISERS, L.P. CHIEF EXECUTIVE OFFICER direct 2006-03-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2009-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2011-01-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
NEXPOINT REAL ESTATE ADVISORS, L.P. MEMBER indirect 2012-03-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT indirect 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. SOLE MEMEBER, ELECTED MANAGER indirect 2004-07-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1997-07-01 2006-01-20
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, LIMITED PARTNER direct 1993-04-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE direct 1993-04-01 2007-06-12
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE GET BETTER TRUST, THE CANIS MAJOR TRUST, THE CANIS MINOR TRUST direct 1993-04-01 2008-03-28
VERIAN CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2010-04-05
ACIS CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-03-01 2010-06-04
TUNSTALL CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2011-03-31
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-03-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT OF GENERAL PARTNER, TRUSTEE FOR CANIS MAJOR TRUST direct 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01 2011-05-19
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE CANIS MAJOR TRUST direct 1993-04-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
TUNSTALL CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
VERIAN CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-03-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-05-01 2011-10-12
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2013-04-18
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2014-02-27
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2014-11-06
PETROCAP, LLC TRUSTEE indirect 2014-03-01 2015-03-30
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-03-30
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-04-21
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01 2015-05-28
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-12-01 2015-05-29
NEXPOINT ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2015-09-14
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST direct 2012-03-01 2015-09-21
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2015-10-01 2015-10-19
NEXPOINT ADVISORS, L.P. MEMBER indirect 2012-03-01 2015-10-19
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2016-03-28
NEXPOINT ADVISORS, L.P. PRESIDENT / SHAREHOLDER indirect 2012-03-01 2016-03-29
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 1993-04-01 2016-04-29
VERIAN CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28
PARKER, LEE, BLACKWELL ASSISTANT SECRETARY 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. ASSISTANT SECRETARY direct 2015-08-01
GRANITE BAY ADVISORS, L.P. SECRETARY direct 2012-02-01
TONOMURA, LAWRENCE, NATHAN TRUSTEE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS' TRUST 06/01/2002 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE FOR THE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS TRUST direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP OKADA FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP OKADA FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
TONOMURA, LAWRENCE, NATHAN TRUSTEE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT TRUST 2 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE FOR THE MARK AND PAMELA OKADA FAMILY TRUST - EXEMPT DESCENDANTS TRUST direct 2002-06-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP OKADA FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP OKADA FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE OF THE MAP FAMILY TRUST-EXEMPT TRUST DESCENDANTS' TRUST AND MAP FAMILY TRUST- EXEMPT TRUST #2 direct 2009-02-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01
DONDERO, NANCY, MARIE TRUSTEE THE DUGABOY INVESTMENT TRUST 10/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-10-01
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE indirect 2015-10-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2015-10-01
HONIS, JOHN, WILLIAM TRUSTEE HUNTER MOUNTAIN INVESTMENT TRUST 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. SENIOR PORTFOLIO MANAGER direct 2006-10-01
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2007-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. HEAD OF PRIVATE EQUITY, LIMITED PARTNER direct 2007-02-01
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2015-12-01
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2009-02-01
RAND ADVISORS, LLC PRESIDENT direct 2013-09-01
DONDERO, JAMES, DAVID DIRECTOR/SHAREHOLDER STRAND ADVISORS, INC. 07/01/1997 Indirect Other
Fund Name Position direct/indirect start date end date
NEXPOINT ADVISORS, L.P. PRESIDENT / MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. MEMBER indirect 2012-03-01
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. PRESIDENT direct 2014-10-01
NEXPOINT ADVISORS, L.P. PRESIDENT direct 2015-05-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT direct 1993-04-01
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1993-04-01
HIGHLAND CAPITAL MANAGEMENT, L.P. DIRECTOR/SHAREHOLDER indirect 1997-07-01
TUNSTALL CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. DIRECTOR/SHAREHOLDER indirect 2000-12-01
PROSPECT MANAGEMENT ADVISERS, L.P. TRUSTEE indirect 2002-06-01
PROSPECT MANAGEMENT ADVISERS, L.P. CHIEF EXECUTIVE OFFICER direct 2006-03-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2009-02-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER/DIRECTOR indirect 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-12-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. PRESIDENT direct 2010-05-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2011-01-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2011-02-01
NEXPOINT REAL ESTATE ADVISORS, L.P. MEMBER indirect 2012-03-01
HIGHLAND CAPITAL MANAGEMENT LP PRESIDENT indirect 1993-04-01 2004-03-16
PROSPECT MANAGEMENT ADVISERS, L.P. SOLE MEMEBER, ELECTED MANAGER indirect 2004-07-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. LIMITED PARTNER direct 2004-12-01 2005-01-28
PROSPECT MANAGEMENT ADVISERS, L.P. PRESIDENT indirect 1997-07-01 2006-01-20
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, LIMITED PARTNER direct 1993-04-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE direct 2002-06-01 2006-04-04
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE direct 1993-04-01 2007-06-12
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE GET BETTER TRUST, THE CANIS MAJOR TRUST, THE CANIS MINOR TRUST direct 1993-04-01 2008-03-28
VERIAN CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2010-04-05
ACIS CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-03-01 2010-06-04
TUNSTALL CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2011-03-31
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-03-01 2011-03-31
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT OF GENERAL PARTNER, TRUSTEE FOR CANIS MAJOR TRUST direct 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 2009-02-01 2011-05-19
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. TRUSTEE indirect 2009-02-01 2011-05-19
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, TRUSTEE FOR THE CANIS MAJOR TRUST direct 1993-04-01 2011-10-12
GRANITE BAY ADVISORS, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2011-10-12
TUNSTALL CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
VERIAN CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-02-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-03-01 2011-10-12
ACIS CAPITAL MANAGEMENT, L.P. PRESIDENT direct 2010-05-01 2011-10-12
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2013-04-18
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. MANAGER indirect 2010-02-01 2014-02-27
NEXPOINT REAL ESTATE ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2014-11-06
PETROCAP, LLC TRUSTEE indirect 2014-03-01 2015-03-30
PETROCAP, LLC DIRECTOR indirect 2000-12-01 2015-03-30
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-03-30
NEXPOINT REAL ESTATE ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST indirect 2012-03-01 2015-04-21
ACIS CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-01-01 2015-05-28
HIGHLAND CAPITAL MANAGEMENT, L.P. TRUSTEE indirect 2011-12-01 2015-05-29
NEXPOINT ADVISORS, L.P. PRESIDENT/SHAREHOLDER indirect 2012-03-01 2015-09-14
NEXPOINT ADVISORS, L.P. TRUSTEE FOR THE DUGABOY INVESTMENT TRUST direct 2012-03-01 2015-09-21
ACIS CAPITAL MANAGEMENT, L.P. MEMBER indirect 2015-10-01 2015-10-19
NEXPOINT ADVISORS, L.P. MEMBER indirect 2012-03-01 2015-10-19
GRANITE BAY ADVISORS, L.P. MEMBER direct 2010-07-01 2016-03-28
NEXPOINT ADVISORS, L.P. PRESIDENT / SHAREHOLDER indirect 2012-03-01 2016-03-29
HIGHLAND CAPITAL MANAGEMENT, L.P. PRESIDENT, SHAREHOLDER indirect 1993-04-01 2016-04-29
VERIAN CAPITAL MANAGEMENT, L.P. DIRECTOR indirect 2000-12-01 2016-06-28
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SHAREHOLDER indirect 2009-02-01 2016-06-28

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HIGHLAND MULTI STRATEGY CREDIT FUND, L.P. United States 805-9872591840 Hedge Fund 307,299,000 1,000,000 Master Fund
HIGHLAND CREDIT STRATEGIES MASTER FUND, L.P. Bermuda 805-5744943757 Hedge Fund 21,622,000 5,000,000 Master Fund
HIGHLAND LOAN MASTER FUND, L.P. Cayman Islands 805-1399466367 Hedge Fund 121,757,000 2,000,000 Master Fund
CHARITABLE DAF FUND, LP Cayman Islands 805-5933432877 Other Private Fund CHARITABLE BENEFICIARIES FUND 334,348,000 0
HIGHLAND RESTORATION CAPITAL PARTNERS, L.P. United States 805-2103133324 Private Equity Fund 141,380,000 10,000,000
HIGHLAND RESTORATION CAPITAL PARTNERS MASTER, LP United States 805-4547867916 Private Equity Fund 174,125,000 10,000,000
HIGHLAND PROMETHEUS MASTER FUND, L.P. Cayman Islands 805-9351712942 Hedge Fund 28,356,000 500,000 Master Fund
HIGHLAND GEMINI PROGRAM, L.P. Cayman Islands 805-4405510832 Hedge Fund 7,045,000 1,000,000 Master Fund

WhaleScore history for HIGHLAND CAPITAL MANAGEMENT LP

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**EXPERIMENTAL** Current International Short Positions

Get more info on our International short position coverage here

Holder Issuer Net Short Position Position Date Origin
CAP IV, L.L.C. MicroPort Scientific Corporation 2.76% 2018-01-23 Hong Kong

Short Position History (last 100)

Holder Net Short Position Position Date Origin

**EXPERIMENTAL** Current Hong Kong Exchange Long Positions

Updated daily

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
CAP IV, L.L.C. China Literature Ltd. 2017-11-14 Long 55.0 18,259,772 68,141,592 7.52% Hong Kong
Bermuda Trust Company Limited CLP Holdings Ltd. 2017-11-29 Long 0.0 0 311,153,954 12.32% Hong Kong
Bermuda Trust Company Limited Hongkong and Shanghai Hotels, Ltd., The 2018-06-29 Long 0.0 0 276,713,918 17.21% Hong Kong
CAP IV, L.L.C. MicroPort Scientific Corporation 2018-01-23 Long 8.35 46,000,000 161,456,071 11.08% Hong Kong
CAP IV, L.L.C. MicroPort Scientific Corporation 2018-01-23 Short 8.35 2,000,131 40,274,253 2.76% Hong Kong

Position History

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
CAP IV, L.L.C. China Literature Ltd. 2017-11-08 Long 0.0 0 86,401,364 9.53% Hong Kong

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