HIGHLAND OPPORTUNITIES & INCOME FUND - Common Shares, par value $0.001 per share (HFRO)

Q: What does CUSIP 43010E404 represent in this 13F holders report?

CUSIP 43010E404 is the security identifier for HFRO - HIGHLAND OPPORTUNITIES & INCOME FUND - Common Shares, par value $0.001 per share used to aggregate holder disclosures.

Q: How many institutions held HFRO - HIGHLAND OPPORTUNITIES & INCOME FUND - Common Shares, par value $0.001 per share in Q3 2020?

96 institutional investors reported HFRO - HIGHLAND OPPORTUNITIES & INCOME FUND - Common Shares, par value $0.001 per share for Q3 2020. Use the holders table for investor-level position and value details.

CUSIP: 43010E404

Q3 2020 13F Holders as of 30 Sep 2020

Security type / class: Equity / Common Shares, par value $0.001 per share
Total 13F shares: 28,628,668
Total 13F value: $244,392,845
Share change: -3,252,385
SEC-reported price per share: $8.59
Number of holders: 96
Value change: -$26,854,815
Number of buys: 50
Number of sells: 41
Shares outstanding: 54,363,289

Security key

43010E404

Report period

Q3 2020

Institutions

Top holders

HFRO full security history Ownership snapshot Full 13F holder table Newer quarter: Q3 2025 HIGHLAND OPPORTUNITIES & INCOME FUND SEC filings

Broader feeds

Latest 13F filings Latest 13D/G filings Investors directory

Reporting periods

Holder history for CUSIP 43010E404

Newer quarter: Q3 2025

Recent filing periods:

Q3 2026 Q2 2026 Q1 2026 Q4 2025 Q3 2025

Ownership snapshot

Top reported holders of HFRO - HIGHLAND OPPORTUNITIES & INCOME FUND - Common Shares, par value $0.001 per share (13F + 13D/G + 3/4/5)

Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.

Comparable stake leader

MORGAN STANLEY

Disclosed value leader

MORGAN STANLEY

Comparable rows

0/15

Latest evidence

30 Jun 2020

13F Highest disclosed value: $34,565,000 15 rows are not safely comparable across share classes. Showing 1-6 of 15 holder rows.

Quick read

MORGAN STANLEY has the largest disclosed position value at $34.56M.

0 of 15 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.

Open SEC evidence Opens MORGAN STANLEY's linked filing trail.

Disclosed position value Top 5

MORGAN STANLEY $34.56M

RIVERNORTH CAPITAL MANAGEMENT, LLC $25.94M

Thomas J. Herzfeld Advisors, Inc. $18.76M

DAVIDSON KEMPNER CAPITAL MANAGEME... $16.93M

RAYMOND JAMES & ASSOCIATES $15.88M

Value bars compare disclosed positions; verify each figure against the linked filing evidence.

Detailed SEC evidence table Showing 1-6 of 15 holder rows

Holder	Evidence	Ownership %	Position	12M Net Δ	As of
MORGAN STANLEY	13F Company 13F	— denominator unverified	$34,565,000 4,293,792 shares	—	30 Jun 2020
RIVERNORTH CAPITAL MANAGEMENT, LLC	13F Company 13F	— denominator unverified	$25,937,000 3,221,960 shares	—	30 Jun 2020
Thomas J. Herzfeld Advisors, Inc.	13F Company 13F	— denominator unverified	$18,756,000 2,315,558 shares	—	30 Jun 2020
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP	13F Company 13F	— denominator unverified	$16,931,000 2,103,279 shares	—	30 Jun 2020
RAYMOND JAMES & ASSOCIATES	13F Company 13F	— denominator unverified	$15,885,000 1,973,306 shares	—	30 Jun 2020
Matisse Capital	13F Company 13F	— denominator unverified	$12,039,000 1,495,500 shares	—	30 Jun 2020

How to read this table

Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.

13F holder rows

Institutional holders as of Q3 2020

Investor-level positions for this CUSIP, loaded as an interactive table.

Institutions

28,628,668

Rows available

Investor	Option	Weight %	Change %	SEC-reported value	* Price	Shares	Share Change	Activity	Report Period

^* SEC-reported price is the security price as of the portfolio date and can indicate the last known price at which the security was still held. The marker flags a reported price that did not pass the local price check.

Compare Q3 2020 vs Q2 2026 Across Filers

Q2 2026 holders

Q3 2020 holders

Holder diff

Investor	Q2 2026 Shares	Q3 2020 Shares	Share Diff	Share Chg %	Q2 2026 value	Q3 2020 value	Value change	Value Chg %

Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).

Quarterly Holders Trend

Quarterly Value Trend

Quarterly Shares Trend