Latest Institutional Sells of Highland Global Allocation Fund (HGLB)

This list provides information on the latest institutional transactions involving Highland Global Allocation Fund (HGLB) stock that were sells. The list includes the name of the institution, the number of shares exchanged, the range of values for the transaction, and the number of shares held by the institution after the sale has occurred.

Report Date	Institution (Fund)	Operation	Option	Shares change	Value Range	Shares Held
Feb 14, 2025 Q4 2024	Aqr Arbitrage LLC Greenwich, CT	SELL	-	-43.1K - 29.13%	$293K - $345K	105K $847K
Feb 14, 2025 Q4 2024	Quantedge Capital Pte LTD Singapore, U0	SELL	-	-27.5K - 13.61%	$187K - $220K	174K $1.41M
Feb 12, 2025 Q4 2024	Landscape Capital Management, L.L.C.	SELL	-	-21.6K - 13.66%	$147K - $173K	137K $1.1M
Jan 14, 2025 Q4 2024	Sovereign Financial Group, Inc. Stamford, CT	SELL	-	-12.9K - 10.1%	$87.3K - $103K	115K $925K
Feb 13, 2025 Q4 2024	Cetera Investment Advisers Schaumburg, IL	SELL	-	-6.65K - 17.18%	$45.2K - $53.2K	32.1K $259K
Jan 13, 2025 Q4 2024	Capital Investment Advisors, LLC	SELL	-	-6.35K - 11.64%	$43.1K - $50.8K	48.2K $389K
Feb 07, 2025 Q4 2024	High Tower Advisors, LLC Chicago, IL	SELL	-	-4.3K - 23.49%	$29.2K - $34.4K	14K $113K
Feb 14, 2025 Q4 2024	Ubs Group Ag	SELL	-	-4.23K - 5.8%	$28.7K - $33.9K	68.8K $556K
Feb 13, 2025 Q4 2024	Bessemer Group Inc Woodbridge, NJ	SELL	-	-4.06K - 89.45%	$27.6K - $32.5K	479 $3.87K
Feb 14, 2025 Q4 2024	Morgan Stanley New York, NY	SELL	-	-1.59K - 0.19%	$10.8K - $12.7K	825K $6.67M
Feb 14, 2025 Q4 2024	Royal Bank Of Canada Toronto, A6	SELL	-	-921 - 4.39%	$6.25K - $7.37K	20K $162K
Feb 12, 2025 Q4 2024	Wells Fargo & Company San Francisco, CA	SELL	-	-819 - 99.88%	$5.56K - $6.55K	1 $8.08
Q3 2024
Oct 07, 2024 Q3 2024	Eagle Rock Investment Company, LLC Atlanta, GA	SELL	-	-15K - 60.0%	$113K - $118K	10K $80.8K
Nov 08, 2024 Q3 2024	Wedbush Securities Inc	SELL	-	-2.67K - 17.06%	$20K - $21K	13K $105K
Q2 2024
Jul 31, 2024 Q2 2024	Commonwealth Equity Services, LLC	SELL	-	-60 - 0.47%	$415 - $455	12.7K $103K
Q1 2024
Apr 19, 2024 Q1 2024	Advisor Resource Council	SELL	-	-233K - 92.95%	$1.75M - $1.93M	17.7K $143K
Q4 2023
Feb 06, 2024 Q4 2023	Institutional & Family Asset Management, LLC	SELL	-	-115 - 44.92%	$754 - $963	141 $1.14K
Q2 2023
Jul 31, 2023 Q2 2023	Wealth Plan Partners, LLC Omaha, NE	SELL	-	-442 - 90.02%	$3.65K - $4.15K	49 $396
Aug 14, 2023 Q2 2023	Highland Capital Management Fund Advisors, L.P. Dallas, TX	SELL	-	-349 - 0.4%	$2.88K - $3.28K	86.2K $697K
Q1 2023
May 10, 2023 Q1 2023	Guggenheim Capital LLC Chicago, IL	SELL	-	-11.8K - 15.83%	$104K - $121K	62.9K $508K
Q4 2022
Feb 14, 2023 Q4 2022	Clough Capital Partners L P Boston, MA	SELL	-	-2.34K - 3.01%	$20.6K - $23.5K	75.5K $610K
Q3 2022
Nov 14, 2022 Q3 2022	Bulldog Investors, LLP Saddle Brook, NJ	SELL	-	-63.1K - 43.27%	$545K - $673K	82.7K $668K
Oct 25, 2022 Q3 2022	Hightower 6 M Holding, LLC	SELL	-	-1.24K - 7.24%	$10.7K - $13.3K	15.9K $129K
Q2 2022
Aug 09, 2022 Q2 2022	Virtu Financial LLC New York, NY	SELL	-	-11.7K Closed	$108K - $126K	0 $0
Aug 04, 2022 Q2 2022	Steward Partners Investment Advisory, LLC	SELL	-	-1.3K Closed	$12.1K - $14K	0 $0
Jul 28, 2022 Q2 2022	Cwm, LLC	SELL	-	-970 - 72.01%	$8.99K - $10.4K	377 $3.05K
Jul 18, 2022 Q2 2022	Money Concepts Capital Corp	SELL	-	-86 Closed	$797 - $925	0 $0
Aug 10, 2022 Q2 2022	Citigroup Inc	SELL	-	-50 Closed	$464 - $538	0 $0
Q1 2022
May 13, 2022 Q1 2022	New Edge Advisors, LLC New Orleans, LA	SELL	-	-22.5K Closed	$203K - $226K	0 $0
Q4 2021
Jan 10, 2022 Q4 2021	Fny Investment Advisers, LLC	SELL	-	-13.2K Closed	$112K - $129K	0 $0
Q3 2021
Oct 27, 2021 Q3 2021	Newbridge Financial Services Group, Inc.	SELL	-	-3.82K Closed	$34.5K - $38.1K	0 $0
Q2 2021
Jul 30, 2021 Q2 2021	Kestra Private Wealth Services, LLC	SELL	-	-33.2K Closed	$255K - $313K	0 $0
Aug 13, 2021 Q2 2021	Eudaimonia Partners, LLC Winchester, TN	SELL	-	-6.39K Closed	$49.1K - $60.1K	0 $0
Aug 02, 2021 Q2 2021	Allworth Financial LP	SELL	-	-1.65K Closed	$12.6K - $15.5K	0 $0
Aug 04, 2021 Q2 2021	Princeton Global Asset Management LLC	SELL	-	-1K Closed	$7.68K - $9.41K	0 $0
Aug 10, 2021 Q2 2021	Rockefeller Capital Management L.P. New York, NY	SELL	-	-982 Closed	$7.54K - $9.24K	0 $0
Jul 26, 2021 Q2 2021	Spire Wealth Management	SELL	-	-721 Closed	$5.54K - $6.78K	0 $0
Q1 2021
May 17, 2021 Q1 2021	Rivernorth Capital Management, LLC West Palm Beach, FL	SELL	-	-566K Closed	$3.65M - $4.38M	0 $0
May 17, 2021 Q1 2021	Dcm Advisors, LLC New York, NY	SELL	-	-30.9K Closed	$199K - $239K	0 $0
May 04, 2021 Q1 2021	Ccg Wealth Management, LLC	SELL	-	-21.1K Closed	$136K - $163K	0 $0
Q4 2020
Feb 12, 2021 Q4 2020	Boothbay Fund Management, LLC New York, NY	SELL	-	-58.9K Closed	$296K - $400K	0 $0
Feb 12, 2021 Q4 2020	City Of London Investment Management CO LTD London, X0	SELL	-	-24K Closed	$120K - $163K	0 $0
Feb 12, 2021 Q4 2020	Mml Investors Services, LLC Springfield, MA	SELL	-	-13.9K Closed	$69.7K - $94.1K	0 $0
Feb 08, 2021 Q4 2020	Flagship Harbor Advisors, LLC	SELL	-	-3.06K Closed	$15.4K - $20.8K	0 $0
Feb 12, 2021 Q4 2020	Disciplined Investments, LLC Tulsa, OK	SELL	-	-518 Closed	$2.61K - $3.52K	0 $0
Q3 2020
Nov 13, 2020 Q3 2020	Orion Portfolio Solutions, LLC	SELL	-	-8 Closed	$48.6 - $53.6	0 $0
Q2 2020
Aug 14, 2020 Q2 2020	Almitas Capital LLC Santa Monica, CA	SELL	-	-262K Closed	$1.1M - $1.84M	0 $0
Aug 13, 2020 Q2 2020	Sowell Financial Services LLC North Little Rock, AR	SELL	-	-441 Closed	$1.85K - $3.1K	0 $0
Aug 14, 2020 Q2 2020	Claraphi Advisory Network, LLC	SELL	-	-318 Closed	$1.33K - $2.24K	0 $0
Q1 2020
May 05, 2020 Q1 2020	Round Table Services, LLC	SELL	-	-19.9K Closed	$78.2K - $189K	0 $0

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Latest Institutional Sells of Highland Global Allocation Fund (HGLB)

-43.1K

-27.5K

-21.6K

-12.9K

-6.65K

-6.35K

-4.3K

-4.23K

-4.06K

-1.59K

-921

-819

-15K

-2.67K

-60

-233K

-115

-442

-349

-11.8K

-2.34K

-63.1K

-1.24K

-11.7K

-1.3K

-970

-86

-50

-22.5K

-13.2K

-3.82K

-33.2K

-6.39K

-1.65K

-1K

-982

-721

-566K

-30.9K

-21.1K

-58.9K

-24K

-13.9K

-3.06K

-518

-8

-262K

-441

-318

-19.9K

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