0000899243-21-028100.txt : 20210712 0000899243-21-028100.hdr.sgml : 20210712 20210712161513 ACCESSION NUMBER: 0000899243-21-028100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210708 FILED AS OF DATE: 20210712 DATE AS OF CHANGE: 20210712 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Froehlich Robert J CENTRAL INDEX KEY: 0001606636 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23369 FILM NUMBER: 211085674 MAIL ADDRESS: STREET 1: 405 PARK AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HIGHLAND GLOBAL ALLOCATION FUND CENTRAL INDEX KEY: 0001622148 IRS NUMBER: 916361402 FISCAL YEAR END: 1231 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-07-08 0 0001622148 HIGHLAND GLOBAL ALLOCATION FUND HGLB 0001606636 Froehlich Robert J 2515 MCKINNEY AVENUE, SUITE 1100 DALLAS TX 75201 1 0 0 0 Common Stock 2021-07-08 4 P 0 3600 9.15 A 6216 I See Footnote Common Stock 2021-07-08 4 P 0 758 9.15 A 3415 I See Footnote These shares are held by Mr. Froehlich through Mr. Froehlich's SEP IRA Account. These shares are held by Mr. Froehlich though Mr. Froehlich's personal trust. /s/ Dr. Robert Froehlich 2021-07-12