0000899243-20-001268.txt : 20200115
0000899243-20-001268.hdr.sgml : 20200115
20200115191151
ACCESSION NUMBER: 0000899243-20-001268
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200113
FILED AS OF DATE: 20200115
DATE AS OF CHANGE: 20200115
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: 811-21869
FILM NUMBER: 20529223
MAIL ADDRESS:
STREET 1: 300 CRESCENT COURT, SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NexPoint Strategic Opportunities Fund
CENTRAL INDEX KEY: 0001356115
IRS NUMBER: 800139099
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 972-628-4100
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
FORMER COMPANY:
FORMER CONFORMED NAME: NexPoint Credit Strategies Fund
DATE OF NAME CHANGE: 20120702
FORMER COMPANY:
FORMER CONFORMED NAME: Pyxis Credit Strategies Fund
DATE OF NAME CHANGE: 20120109
FORMER COMPANY:
FORMER CONFORMED NAME: Highland Credit Strategies Fund
DATE OF NAME CHANGE: 20060314
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-01-13
0
0001356115
NexPoint Strategic Opportunities Fund
?NHF?
0001228922
DONDERO JAMES D
300 CRESCENT COURT, SUITE 700
DALLAS
TX
75201
0
1
1
0
See Remarks
Common Stock
2020-01-13
4
S
0
10000
17.69
D
2535359.752
I
See Footnote
Common Stock
2020-01-14
4
S
0
36211
17.51
D
2499148.752
I
See Footnote
Common Stock
2020-01-15
4
S
0
525189
17.35
D
1973959.752
I
See Footnote
Common Stock
1771460.3834
I
See Footnote
Common Stock
50106.327
I
By employee benefit plan
Common Stock
1778210
I
See Footnote
Common Stock
14701.216
D
The Reporting Person's sale of NexPoint Strategic Opportunities Fund ("NHF") common stock reported herein did not result in any profit from matchable transactions under Section 16(b) of the Securities Exchange Act of 1934; therefore, no disgorgement was owed. These sales were for cash management at a Highland Capital Management, L.P. ("HCMLP") related account. Such sales do not reflect the portfolio manager's long-term view of the investment.
These shares are held by HCMLP both directly and indirectly through advised accounts. Mr. Dondero is sole member of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.
Includes shares acquired under the issuer's dividend reinvestment plan.
These shares are held pursuant to an employee benefit plan.
These shares are held by certain managed accounts ultimately advised by Mr. Dondero (collectively, the "Highland Accounts"). Mr. Dondero may be deemed to have an indirect beneficial owner of shares held by the Highland Accounts. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
These shares are held directly by Mr. Dondero.
The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $17.62 to $17.73. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $17.49 to $17.52. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $17.32 to $17.46. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
President and Principal Executive Officer
/s/ James D. Dondero
2020-01-15