Treasurer

0001172661-21-001856.txt : 20210816 0001172661-21-001856.hdr.sgml : 20210816 20210816162459 ACCESSION NUMBER: 0001172661-21-001856 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210816 DATE AS OF CHANGE: 20210816 EFFECTIVENESS DATE: 20210816 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P. CENTRAL INDEX KEY: 0001469877 IRS NUMBER: 264245035 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16918 FILM NUMBER: 211178701 BUSINESS ADDRESS: STREET 1: 2515 MCKINNEY AVENUE STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 833-697-6246 MAIL ADDRESS: STREET 1: 2515 MCKINNEY AVENUE STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: Pyxis Capital, L.P. /DE DATE OF NAME CHANGE: 20120406 FORMER COMPANY: FORMER CONFORMED NAME: Highland Funds Asset Management, L.P. DATE OF NAME CHANGE: 20090806 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001469877 XXXXXXXX 06-30-2021 06-30-2021 false HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.

2515 Mckinney Avenue Suite 1100 Dallas TX 75201

13F HOLDINGS REPORT 028-16918 N Frank Waterhouse Treasurer 1-833-697-6246 /s/ Frank Waterhouse Dallas TX 08-16-2021 0 179 458483 INFORMATION TABLE 2 infotable.xml 10X CAPITAL VENTURE ACQU COR COM CL A 88025V107 134 13440 SH SOLE 13440 0 0 ABBVIE INC COM 00287Y109 1690 15000 SH SOLE 15000 0 0 ABEONA THERAPEUTICS INC COM 00289Y107 780 500000 SH SOLE 500000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 3557 222180 SH DFND 222180 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 1402 87598 SH SOLE 87598 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 7907 43042 SH SOLE 43042 0 0 ALTERYX INC COM CL A 02156B103 477 5550 SH SOLE 5550 0 0 ALTIMETER GROWTH CORP 2 COM CL A G0371B109 256 25000 SH SOLE 25000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 818 38549 SH SOLE 38549 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 163 7700 SH Call SOLE 7700 0 0 AMICUS THERAPEUTICS INC COM 03152W109 546 56617 SH SOLE 56617 0 0 AMRYT PHARMA PLC SPONSORED ADS 03217L106 485 40000 SH DFND 40000 0 0 ANTHEM INC COM 036752103 370 969 SH SOLE 969 0 0 ARIES I ACQUISITION CORP UNIT 03/18/2026 G0542N115 302 30000 SH SOLE 30000 0 0 ATAI LIFE SCIENCES NV SHS N0731H103 1665 90000 SH SOLE 90000 0 0 ATHENE HOLDING LTD CL A G0684D107 11873 175891 SH SOLE 175891 0 0 AVAYA HLDGS CORP COM 05351X101 3370 125272 SH SOLE 125272 0 0 B RILEY PRINCIPAL 150 MERGER UNIT 99/99/9999 05601V202 103 10154 SH SOLE 10154 0 0 BANCORPSOUTH BK TUPELO MISS COM 05971J102 207 7312 SH SOLE 7312 0 0 BERKELEY LTS INC COM 084310101 1344 30000 SH SOLE 30000 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 417 5000 SH SOLE 5000 0 0 BIOTECH ACQUISITION COMPANY CL A SHS G1125A108 230 23800 SH SOLE 23800 0 0 BOSTON PRIVATE FINL HLDGS IN COM 101119105 8533 578522 SH SOLE 578522 0 0 BP PLC SPONSORED ADR 055622104 330 12500 SH Call SOLE 12500 0 0 BROOKDALE SR LIVING INC COM 112463104 487 61625 SH SOLE 61625 0 0 CAI INTERNATIONAL INC COM 12477X106 1081 19301 SH SOLE 19301 0 0 CARNEY TECHNOLOGY ACQU CORP CL A COMMON STK 143636108 291 30024 SH SOLE 30024 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 461 17500 SH Call SOLE 17500 0 0 CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 1304 132000 SH SOLE 132000 0 0 CENTRAL PUERTO S A SPONSORED ADR 155038201 839 327750 SH DFND 327750 0 0 CENTRAL PUERTO S A SPONSORED ADR 155038201 648 253033 SH SOLE 253033 0 0 CENTURY BANCORPORATION INC CL A NON VTG 156432106 3853 33796 SH SOLE 33796 0 0 CF ACQUISITION CORP IV COM CL A 12520T102 310 32010 SH SOLE 32010 0 0 CF ACQUISITION CORP VI UNIT 99/99/9999 12521J202 247 24700 SH SOLE 24700 0 0 CHURCHILL CAPITAL CORP V COM CL A 17144T107 505 50100 SH SOLE 50100 0 0 CIT GROUP INC COM NEW 125581801 228 4419 SH SOLE 4419 0 0 CITY OFFICE REIT INC COM 178587101 879 70700 SH SOLE 70700 0 0 CLASS ACCELERATION CORP COM 18274B106 352 36351 SH SOLE 36351 0 0 CLOUDERA INC COM 18914U100 7448 469627 SH SOLE 469627 0 0 COHERUS BIOSCIENCES INC COM 19249H103 512 37000 SH SOLE 37000 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 1281 130020 SH SOLE 130020 0 0 CONDOR HOSPITALITY TR INC COM NEW 20676Y403 95 15616 SH DFND 15616 0 0 CONSTELLATION PHARMCETICLS I COM 210373106 8984 265794 SH SOLE 265794 0 0 CONVEY HLDG PARENT INC COM 21258C108 1138 100000 SH SOLE 100000 0 0 CONX CORP COM CL A 212873103 197 20000 SH SOLE 20000 0 0 CORNER GROWTH ACQUISITION CO CL A SHS G2425N105 592 60739 SH SOLE 60739 0 0 CORNER GROWTH ACQUISITN CORP UNIT 05/27/2026 G2426E112 334 33130 SH SOLE 33130 0 0 CORTLAND BANCORP COM 220587109 334 12479 SH SOLE 12479 0 0 CRESTWOOD EQUITY PARTNERS LP UNIT LTD PARTNER 226344208 1499 50000 SH SOLE 50000 0 0 CRESUD S A C I F Y A SPONSORED ADR 226406106 982 164149 SH DFND 164149 0 0 D8 HOLDINGS CORP SHS CL A G2614K110 135 13500 SH SOLE 13500 0 0 DATA KNIGHTS ACQUISITION COR *W EXP 11/11/202 237699111 0 69220 SH SOLE 69220 0 0 DATA KNIGHTS ACQUISITION COR CLASS A COM 237699103 685 69220 SH SOLE 69220 0 0 DPCM CAP INC COM CL A 23344P101 120 12100 SH SOLE 12100 0 0 DRAGONEER GROWTH OPPTY CORP SHS CL A G28314105 453 45045 SH SOLE 45045 0 0 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 16919 1591662 SH SOLE 1591662 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 1560 64631 SH SOLE 64631 0 0 ENVIRONMENTAL IMPACT ACQU CO COM CL A 29408N106 539 54979 SH SOLE 54979 0 0 EXELIXIS INC COM 30161Q104 911 50000 SH SOLE 50000 0 0 EXFO INC SUB VTG SHS 302046107 142 23936 SH SOLE 23936 0 0 FAR PEAK ACQUISITION CORP SHS CL A G3312L103 239 24000 SH SOLE 24000 0 0 FIRST CHOICE BANCORP COM 31948P104 3414 112131 SH SOLE 112131 0 0 FIRST MIDWEST BANCORP DEL COM 320867104 1779 89720 SH SOLE 89720 0 0 FIRSTMARK HORIZON ACQUISITIO CL A COM 33765Y101 200 20100 SH SOLE 20100 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 2579 152233 SH SOLE 152233 0 0 FORUM MERGER IV CORP CLASS A COM 349875104 2822 288740 SH SOLE 288740 0 0 FUSION ACQUISITION CORP CL A 36118H105 299 30000 SH SOLE 30000 0 0 GALAPAGOS NV SPON ADR 36315X101 964 14000 SH SOLE 14000 0 0 GENESCO INC COM 371532102 268 4204 SH SOLE 4204 0 0 GORES METROPOULOS II INC CL A 382873107 276 27878 SH SOLE 27878 0 0 GRACE W R & CO DEL NEW COM 38388F108 473 6844 SH SOLE 6844 0 0 GRUPO SUPERVIELLE S.A. SPONSORED ADR 40054A108 391 188858 SH SOLE 188858 0 0 GS ACQUISITION HLDGS CORP II COM CL A 36258Q105 1078 103700 SH SOLE 103700 0 0 HAYMAKER ACQUISITION CORP II UNIT 03/01/2026 42087R207 392 39079 SH SOLE 39079 0 0 HEALTH ASSURN ACQUISITION CO COM CL A 42226W109 1169 116800 SH SOLE 116800 0 0 HERON THERAPEUTICS INC COM 427746102 3976 256181 SH SOLE 256181 0 0 HERON THERAPEUTICS INC COM 427746102 3771 242950 SH DFND 242950 0 0 HERSHEY CO COM 427866108 627 3600 SH Call SOLE 3600 0 0 HIGHLAND GLOBAL ALLOCATION F COM 43010T104 800 88296 SH SOLE 88296 0 0 HIGHLAND INCOME FD HIGHLAND INCOME 43010E404 1091 100000 SH SOLE 100000 0 0 HOOKIPA PHARMA INC COM 43906K100 1008 110000 SH SOLE 110000 0 0 HUMANA INC COM 444859102 885 2000 SH SOLE 2000 0 0 IG ACQUISITION CORP COM CL A 449534106 97 10000 SH SOLE 10000 0 0 INDEPENDENCE RLTY TR INC COM 45378A106 7699 422350 SH SOLE 422350 0 0 INSMED INC COM PAR $.01 457669307 342 12000 SH SOLE 12000 0 0 JUST EAT TAKEAWAY COM N V SPONSORED ADS 48214T305 1226 67123 SH SOLE 67123 0 0 KKR & CO INC COM 48251W104 348 5866 SH SOLE 5866 0 0 KNOLL INC COM NEW 498904200 10678 410853 SH SOLE 410853 0 0 LEFTERIS ACQUISITION CORP COM CL A 52470X109 195 20000 SH SOLE 20000 0 0 LOCUST WALK ACQUISITION CORP COM CL A 54015L103 382 38599 SH SOLE 38599 0 0 LOMA NEGRA C I A S A MTN 14 SPONSORED ADS 54150E104 436 64000 SH DFND 64000 0 0 LOMA NEGRA C I A S A MTN 14 SPONSORED ADS 54150E104 82 12072 SH SOLE 12072 0 0 LORAL SPACE & COM INC COM 543881106 17076 439545 SH SOLE 439545 0 0 LUX HEALTH TECH ACQUISITION COM CL A 55068A100 323 32700 SH SOLE 32700 0 0 LUXFER HOLDINGS PLC SHS G5698W116 306 13773 SH SOLE 13773 0 0 M & T BK CORP COM 55261F104 249 1717 SH SOLE 1717 0 0 MACKINAC FINL CORP COM 554571109 850 43041 SH SOLE 43041 0 0 MADISON SQUARE GRDN ENTERTNM CL A 55826T102 320 3816 SH SOLE 3816 0 0 MAGELLAN HEALTH INC COM NEW 559079207 27144 288150 SH SOLE 288150 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 1104 10482 SH SOLE 10482 0 0 MERCADOLIBRE INC COM 58733R102 4673 3000 SH SOLE 3000 0 0 MERIDIAN BANCORP INC MD COM 58958U103 1233 60288 SH SOLE 60288 0 0 MICROSOFT CORP COM 594918104 379 1400 SH Call SOLE 1400 0 0 MINERVA NEUROSCIENCES INC COM 603380106 743 320203 SH SOLE 320203 0 0 MONUMENT CIRCLE ACQUISITN CO UNIT 01/14/2026 61531M200 128 12735 SH SOLE 12735 0 0 MPLX LP COM UNIT REP LTD 55336V100 11427 385923 SH SOLE 385923 0 0 NATIONAL RETAIL PROPERTIES I COM 637417106 703 15000 SH Call SOLE 15000 0 0 NEKTAR THERAPEUTICS COM 640268108 772 45000 SH SOLE 45000 0 0 NEW SR INVT GROUP INC COM 648691103 1190 135584 SH SOLE 135584 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 239 21714 SH SOLE 21714 0 0 NEXPOINT REAL ESTATE FIN INC COM 65342V101 1372 65700 SH DFND 65700 0 0 NEXPOINT REAL ESTATE FIN INC COM 65342V101 2899 138753 SH SOLE 138753 0 0 NEXPOINT RESIDENTIAL TR INC COM 65341D102 7983 145202 SH DFND 145202 0 0 NEXPOINT RESIDENTIAL TR INC COM 65341D102 18898 343730 SH SOLE 343730 0 0 NEXPOINT STRATEGIC OPPORTES COM NEW 65340G205 25119 1825479 SH SOLE 1825479 0 0 NEXTCURE INC COM 65343E108 1885 234708 SH SOLE 234708 0 0 NEXTDECADE CORP COM 65342K105 3077 744992 SH DFND 744992 0 0 NEXTDECADE CORP COM 65342K105 123 29751 SH SOLE 29751 0 0 NEXTIER OILFIELD SOLUTIONS COM 65290C105 83 17344 SH SOLE 17344 0 0 NORTHERN STAR INVSTMNT CORP COM CLASS A 66573W107 100 10000 SH SOLE 10000 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 6424 118000 SH SOLE 118000 0 0 OCEANTECH ACQUISITIONS I COR UNIT 05/12/2026 675507206 900 90000 SH SOLE 90000 0 0 ORGANON & CO COMMON STOCK 68622V106 1362 45000 SH SOLE 45000 0 0 PAMPA ENERGIA S A SPONS ADR LVL I 697660207 1027 67700 SH SOLE 67700 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 341 50000 SH DFND 50000 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 1465 214770 SH SOLE 214770 0 0 PATTERSON COS INC COM 703395103 523 17200 SH SOLE 17200 0 0 PERFORMANCE FOOD GROUP CO COM 71377A103 2030 41870 SH SOLE 41870 0 0 PERIPHAS CAPITAL PARTNERING COM CL A 713895100 500 20401 SH SOLE 20401 0 0 PIVOTAL INVESTMENT CORP III COM CL A 72582M106 139 14300 SH SOLE 14300 0 0 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 635 53200 SH SOLE 53200 0 0 PLYMOUTH INDL REIT INC COM 729640102 891 44511 SH DFND 44511 0 0 PLYMOUTH INDL REIT INC COM 729640102 10842 541583 SH SOLE 541583 0 0 PRA HEALTH SCIENCES INC COM 69354M108 18021 109080 SH SOLE 109080 0 0 PREMIER FINL BANCORP INC COM 74050M105 944 56028 SH SOLE 56028 0 0 PRIVETERRA ACQUISITION CORP UNIT 99/99/9999 74275N201 399 40000 SH SOLE 40000 0 0 PROOFPOINT INC COM 743424103 17772 102280 SH SOLE 102280 0 0 PROPTECH INVESTMENT CORP II *W EXP 12/08/202 743497117 13 12612 SH SOLE 12612 0 0 PROPTECH INVESTMENT CORP II COM CL A 743497109 372 38142 SH SOLE 38142 0 0 PROSPECTOR CAPITAL CORP CL A G7273A105 182 18800 SH SOLE 18800 0 0 QELL ACQUISITION CORP CL A G7307X105 439 44147 SH SOLE 44147 0 0 QTS RLTY TR INC COM CL A 74736A103 4708 60900 SH SOLE 60900 0 0 REINVENT TECHNOLOGY PARTNERS UNIT 03/12/2026 G7484L114 170 16860 SH SOLE 16860 0 0 RETAIL VALUE INC COM 76133Q102 808 37167 SH SOLE 37167 0 0 RETAIL VALUE INC COM 76133Q102 1215 55858 SH DFND 55858 0 0 REVOLUTION HEALTHCAR AQ CORP UNIT 03/18/20266 76155Y207 100 10000 SH SOLE 10000 0 0 RMG ACQUISITION CORP III UNIT 02/08/2026 G76088114 128 12779 SH SOLE 12779 0 0 SELECT BANCORP INC NEW COM 81617L108 3224 200013 SH SOLE 200013 0 0 SHARPSPRING INC COM 820054104 546 32329 SH SOLE 32329 0 0 SINGULAR GENOMICS SYSTEMS IN COM 82933R100 1076 39142 SH SOLE 39142 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G82514103 948 91200 SH SOLE 91200 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 230 22500 SH SOLE 22500 0 0 SOCIAL LEVERAGE ACQUISN CORP COM CL A 83363K102 389 40000 SH SOLE 40000 0 0 SOFTWARE ACQUISITN GRUP INC COM CL A 83407F101 420 42205 SH SOLE 42205 0 0 SPIRIT RLTY CAP INC NEW COM NEW 84860W300 289 6034 SH SOLE 6034 0 0 STARBOARD VALUE ACQUISITN CO COM CL A 85521J109 205 20518 SH SOLE 20518 0 0 STONECO LTD COM CL A G85158106 335 5000 SH SOLE 5000 0 0 SURGERY PARTNERS INC COM 86881A100 988 14823 SH SOLE 14823 0 0 SUSTAINABLE OPPORTNTS ACQ CO ORD SHS A G8598Y109 100 10000 SH SOLE 10000 0 0 SVF INVESTMENT CORP CL A SHS G8601L102 344 34800 SH SOLE 34800 0 0 TAILWIND ACQUISITION CORP COM CL A 87403Q102 467 46854 SH SOLE 46854 0 0 TALEND S A ADS 874224207 25125 382999 SH SOLE 382999 0 0 TARGA RES CORP COM 87612G101 5850 131600 SH SOLE 131600 0 0 TASTEMAKER ACQUISITION CORP COM CL A 876545104 293 30000 SH SOLE 30000 0 0 TREBIA ACQUISITION CORP COM CL A G9027T109 351 35420 SH SOLE 35420 0 0 TUSCAN HLDGS CORP II COM 90070A103 136 13500 SH SOLE 13500 0 0 TWIST BIOSCIENCE CORP COM 90184D100 999 7500 SH SOLE 7500 0 0 UNIQURE NV SHS N90064101 2156 70000 SH SOLE 70000 0 0 UNITEDHEALTH GROUP INC COM 91324P102 686 1712 SH SOLE 1712 0 0 UNITI GROUP INC COM 91325V108 283 26750 SH DFND 26750 0 0 VISTRA CORP COM 92840M102 120 6477 SH DFND 6477 0 0 VISTRA CORP COM 92840M102 21995 1185705 SH SOLE 1185705 0 0 VOR BIOPHARMA INC COM 929033108 933 50000 SH SOLE 50000 0 0 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