0000899243-19-011925.txt : 20190502 0000899243-19-011925.hdr.sgml : 20190502 20190502190936 ACCESSION NUMBER: 0000899243-19-011925 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190411 FILED AS OF DATE: 20190502 DATE AS OF CHANGE: 20190502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DONDERO JAMES D CENTRAL INDEX KEY: 0001228922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01074 FILM NUMBER: 19793679 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT, SUITE 700 CITY: DALLAS STATE: TX ZIP: 75201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NexPoint Capital, Inc. CENTRAL INDEX KEY: 0001588272 IRS NUMBER: 383926499 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT, SUITE 700 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 972-628-4100 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT, SUITE 700 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: NexPoint Capital, LLC DATE OF NAME CHANGE: 20131002 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-04-11 0 0001588272 NexPoint Capital, Inc. N/A 0001228922 DONDERO JAMES D 300 CRESCENT COURT, SUITE 700 DALLAS TX 75201 0 1 1 0 See Remarks Restricted Stock Units 2019-04-11 4 A 0 6648 0.00 D Common Stock, par value $0.001 per share 6648 I See Footnote Highland Capital Management, L.P. ("HCMLP"), an affiliate of the investment adviser to NexPoint Capital, Inc. ("NC"), granted new restricted stock units ("RSUs") with respect to 6,648 shares to certain of NC's employees pursuant to Contingent Bonus Award Agreements dated April 30, 2019. The RSUs are scheduled to vest on May 31, 2021. Upon settlement, the RSUs will become payable within 60 days on a one-for-one basis in shares of the Issuer's common stock or the cash value thereof or a combination thereof at the election of the Plan administrator, Mr. Dondero. Pursuant to the SEC staff no-action letter to Carlyle GMS Finance, Inc. (pub. Avail. Oct. 8, 2015), an employee benefit plan sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company that has elected to be regulated as a business development company, as amended, that offers plan participants equity securities of such investment company is considered an "employee benefit plan sponsored by the issuer" for the purposes of Rule 16b-3 under the Securities Exchange Act of 1934, as amended. These RSUs have been issued by HCMLP. Mr. Dondero is the President and director of Strand Advisors, Inc. ("Strand"), HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Each of Mr. Dondero and Strand disclaims beneficial ownership of such shares except to the extent of his or its respective pecuniary interest therein. Mr. Dondero is the President and Principal Executive Officer /s/ James D. Dondero 2019-05-02