HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.

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Highland Capital Management Fund Advisors is based out of Dallas. Highland Capital Management Fund Advisors is a large advisory firm with 12 clients and discretionary assets under management (AUM) of $2,900,333,000 (Form ADV from 2020-03-27). Their last reported 13F filing for Q1 2020 included $529,561,000 in managed 13F securities and a top 10 holdings concentration of 57.63%. Highland Capital Management Fund Advisors's largest holding is iShares MSCI Brazil ETF-iShares MSCI Brazil ETF with shares held of 4,000,000. Whalewisdom has at least 3 13F filings, and 23 13G filings

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03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $529.561 Million
  • Prior Market Value $1.317 Billion
  • New Purchases62 stocks
  • Additional Purchases17 stocks
  • Sold out of123 stocks
  • Reduced holdings in98 stocks
  • Top 10 Holdings % 57.63 %
  • Turnover % [1]:86.85%
  • Turnover Alt % [2]: 97.43 %
  • Time Held Top20:1.50 quarters
  • Time Held Top10:1.20 quarters
  • Time Held All:1.33 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 2020-05-15

Performance for Q1 2020: -21.41%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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 LP
NexPoint Advisors, L.P.

View Last Form Adv Compilation Report on Record

HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.
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,Investment advisor to an investment company
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 48
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 12
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.

ownership team - last updated 2019-03-30
Name Title Start Date Direct/Indirect % Ownership
STRAND ADVISORS XVI, INC. GENERAL PARTNER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2009-02-01
HIGHLAND CAPITAL MANAGEMENT SERVICES, INC. LIMITED PARTNER 02/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-07-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. LIMITED PARTNER direct 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-02-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-03-01
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-02-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. MEMBER indirect 2010-02-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
FALCON E & P OPPORTUNITIES GP, LLC MEMBER indirect 2012-02-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2012-02-01
PETROCAP, LLC MEMBER direct 2014-03-01
WATERHOUSE, FRANK, GEORGE TREASURER 06/01/2012 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
OKADA FAMILY REVOCABLE TRUST LIMITED PARTNER 10/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. LIMITED PARTNER direct 2011-10-01
REDBIRD CAPITAL PARTNERS MANAGEMENT LLC MAJORITY OWNER/MANAGING MEMBER direct 2014-10-01
REDBIRD CAPITAL PARTNERS MANAGEMENT LLC MAJORITY OWNER indirect 2014-10-01
ALVAREZ & MARSAL ASSET MANAGEMENT SERVICES, LLC MEMBER direct 2014-05-01
ALVAREZ & MARSAL ASSET MANAGEMENT SERVICES LLC SOLE MEMBER direct 2014-05-01
POST, ROBERT, JASON CHIEF COMPLIANCE OFFICER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2015-09-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2016-06-01
NEXPOINT ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2015-09-01
NORRIS, DUSTIN, DAVID SECRETARY 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. ASSISTANT SECRETARY direct 2015-12-01
NEXPOINT ADVISORS, L.P. SECRETARY direct 2015-12-01
PARKER, LEE, BLACKWELL EVP 10/01/2017 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
DONDERO, JAMES, DAVID PRESIDENT/SHAREHOLDER STRAND ADVISORS XVI, INC. 02/01/2009 Indirect 75% or more
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
DONDERO, JAMES, DAVID SHAREHOLDER/DIRECTOR HIGHLAND CAPITAL MANAGEMENT SERVICES, INC. 02/01/2009 Indirect 75% or more
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
OKADA, MARK, KIYOSHI SHAREHOLDER/DIRECTOR HIGHLAND CAPITAL MANAGEMENT SERVICES, INC. 02/01/2009 Indirect 25 - 50%
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
OKADA, MARK, KIYOSHI TRUSTEE OKADA FAMILY REVOCABLE TRUST 10/01/2011 Indirect Other
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
OKADA, PAMELA, JOY TRUSTEE OKADA FAMILY REVOCABLE TRUST 10/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TRUSTEE indirect 2011-10-01

HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
STRAND ADVISORS XVI, INC. GENERAL PARTNER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND FUNDS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2009-02-01
HIGHLAND CAPITAL MANAGEMENT SERVICES, INC. LIMITED PARTNER 02/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2009-07-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. LIMITED PARTNER direct 2009-02-01
TUNSTALL CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-02-01
ACIS CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-03-01
CUMMINGS BAY CAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2010-02-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. MEMBER indirect 2010-02-01
GRANITE BAY ADVISORS, L.P. LIMITED PARTNER direct 2010-07-01
FALCON E & P OPPORTUNITIES GP, LLC MEMBER indirect 2012-02-01
FALCON E & P OPPORTUNITIES GP, LLC SHAREHOLDER indirect 2012-02-01
PETROCAP, LLC MEMBER direct 2014-03-01
WATERHOUSE, FRANK, GEORGE TREASURER 06/01/2012 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
OKADA FAMILY REVOCABLE TRUST LIMITED PARTNER 10/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. LIMITED PARTNER direct 2011-10-01
REDBIRD CAPITAL PARTNERS MANAGEMENT LLC MAJORITY OWNER/MANAGING MEMBER direct 2014-10-01
REDBIRD CAPITAL PARTNERS MANAGEMENT LLC MAJORITY OWNER indirect 2014-10-01
ALVAREZ & MARSAL ASSET MANAGEMENT SERVICES, LLC MEMBER direct 2014-05-01
ALVAREZ & MARSAL ASSET MANAGEMENT SERVICES LLC SOLE MEMBER direct 2014-05-01
POST, ROBERT, JASON CHIEF COMPLIANCE OFFICER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2015-09-01
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2016-06-01
NEXPOINT ADVISORS, L.P. CHIEF COMPLIANCE OFFICER direct 2015-09-01
MITTS, BRIAN, DALE SECRETARY 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NEXBANK SECURITIES, INC. FINOP direct 2014-12-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SECRETARY direct 2012-10-01
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. SECRETARY direct 2015-12-01
NEXPOINT ADVISORS, L.P. SECRETARY direct 2012-08-01
NEXPOINT ADVISORS, L.P. EVP direct 2012-08-01
NEXPOINT ADVISORS, L.P. SECRETARY direct 2012-10-01
NEXPOINT REAL ESTATE ADVISORS, L.P. CHIEF FINANCIAL OFFICER AND EXECUTIVE VP FINANCE direct 2014-09-01
NEXPOINT REAL ESTATE ADVISORS II, L.P. CHIEF FINANCIAL OFFICER AND EXECUTIVE VP FINANCE direct 2014-10-01
NORRIS, DUSTIN, DAVID ASSISTANT SECRETARY 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. ASSISTANT SECRETARY direct 2015-12-01
NEXPOINT ADVISORS, L.P. SECRETARY direct 2015-12-01
ROSS, JAMES, BRADLEY PRESIDENT 06/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
PYXIS CAPITAL, L.P. PRESIDENT direct 2012-06-01
DONDERO, JAMES, DAVID PRESIDENT/SHAREHOLDER STRAND ADVISORS XVI, INC. 02/01/2009 Indirect 75% or more
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
DONDERO, JAMES, DAVID SHAREHOLDER/DIRECTOR HIGHLAND CAPITAL MANAGEMENT SERVICES, INC. 02/01/2009 Indirect 75% or more
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
OKADA, MARK, KIYOSHI SHAREHOLDER/DIRECTOR HIGHLAND CAPITAL MANAGEMENT SERVICES, INC. 02/01/2009 Indirect 25 - 50%
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
OKADA, MARK, KIYOSHI TRUSTEE OKADA FAMILY REVOCABLE TRUST 10/01/2011 Indirect Other
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
OKADA, PAMELA, JOY TRUSTEE OKADA FAMILY REVOCABLE TRUST 10/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. TRUSTEE indirect 2011-10-01

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