HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB)
CUSIP: 43010T104
Q3 2019 13F Holders as of 30 Sep 2019
- Type / Class
- Equity / Common Shares
- Shares outstanding
- 23,298,619
- Total 13F shares
- 4,335,004
- Share change
- +633,959
- Total reported value
- $44,421,000
- Price per share
- $10.25
- Number of holders
- 34
- Value change
- +$6,333,217
- Number of buys
- 14
- Number of sells
- 20
Quarterly Holders Quick Answers
What is CUSIP 43010T104?
CUSIP 43010T104 identifies HGLB - HIGHLAND GLOBAL ALLOCATION FUND - Common Shares in SEC institutional holdings data.
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Recent filing periods for CUSIP 43010T104:
Top shareholders of HGLB - HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked by the holder's primary source value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY |
13F
|
Company |
3.9%
|
907,080
|
$10,195,000 | — | 30 Jun 2019 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
3.8%
|
890,142
|
$10,005,000 | — | 30 Jun 2019 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
1.8%
|
425,151
|
$4,779,000 | — | 30 Jun 2019 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
1.5%
|
343,215
|
$3,856,000 | — | 30 Jun 2019 | |
| HIGHLAND CAPITAL MANAGEMENT LP |
13F
|
Company |
1.3%
|
311,608
|
$3,503,000 | — | 30 Jun 2019 | |
| Matisse Capital |
13F
|
Company |
0.67%
|
155,300
|
$1,746,000 | — | 30 Jun 2019 | |
| AVANTAX ADVISORY SERVICES, INC. |
13F
|
Company |
0.57%
|
132,646
|
$1,491,000 | — | 30 Jun 2019 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.34%
|
80,335
|
$903,000 | — | 30 Jun 2019 | |
| Advisor Group, Inc. |
13F
|
Company |
0.34%
|
79,965
|
$899,000 | — | 30 Jun 2019 | |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.31%
|
72,858
|
$819,000 | — | 30 Jun 2019 | |
| LPL Financial LLC |
13F
|
Company |
0.27%
|
62,207
|
$699,000 | — | 30 Jun 2019 | |
| Cetera Advisor Networks LLC |
13F
|
Company |
0.2%
|
46,583
|
$526,000 | — | 30 Jun 2019 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.19%
|
43,604
|
$490,000 | — | 30 Jun 2019 | |
| Steward Partners Investment Advisory, LLC |
13F
|
Company |
0.16%
|
36,609
|
$411,000 | — | 30 Jun 2019 | |
| GLENVIEW STATE BANK TRUST DEPT. |
13F
|
Company |
0.15%
|
35,661
|
$401,000 | — | 30 Jun 2019 | |
| Bulldog Investors, LLP |
13F
|
Company |
0.13%
|
30,000
|
$337,000 | — | 30 Jun 2019 | |
| MML INVESTORS SERVICES, LLC |
13F
|
Company |
0.12%
|
29,050
|
$327,000 | — | 30 Jun 2019 | |
| First Allied Advisory Services, Inc. |
13F
|
Company |
0.12%
|
26,803
|
$301,000 | — | 30 Jun 2019 | |
| COMMONWEALTH EQUITY SERVICES, LLC |
13F
|
Company |
0.1%
|
22,161
|
$249,000 | — | 30 Jun 2019 | |
| ENVESTNET ASSET MANAGEMENT INC |
13F
|
Company |
0.08%
|
18,382
|
$207,000 | — | 30 Jun 2019 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.06%
|
13,845
|
$156,000 | — | 30 Jun 2019 | |
| Private Advisor Group, LLC |
13F
|
Company |
0.05%
|
10,908
|
$123,000 | — | 30 Jun 2019 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.03%
|
7,828
|
$88,000 | — | 30 Jun 2019 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.03%
|
6,915
|
$78,000 | — | 30 Jun 2019 | |
| Carroll Financial Associates, Inc. |
13F
|
Company |
0.03%
|
6,277
|
$70,000 | — | 30 Jun 2019 | |
| Advisory Services Network, LLC |
13F
|
Company |
0.02%
|
4,666
|
$52,000 | — | 30 Jun 2019 | |
| INSTITUTIONAL & FAMILY ASSET MANAGEMENT, LLC |
13F
|
Company |
0.02%
|
4,012
|
$45,000 | — | 30 Jun 2019 | |
| Geneos Wealth Management Inc. |
13F
|
Company |
0.02%
|
3,870
|
$43,000 | — | 30 Jun 2019 | |
| UBS Group AG |
13F
|
Company |
0.01%
|
3,266
|
$36,000 | — | 30 Jun 2019 | |
| FLAGSHIP HARBOR ADVISORS, LLC |
13F
|
Company |
0.01%
|
3,064
|
$34,000 | — | 30 Jun 2019 | |
| CITIGROUP INC |
13F
|
Company |
0%
|
689
|
$8,000 | — | 30 Jun 2019 |
Institutional Holders of HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB) as of Q3 2019
As of 30 Sep 2019,
HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB) was held by
34 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
4,335,004 shares.
The largest 10 holders included
MORGAN STANLEY, ROYAL BANK OF CANADA, Cambridge Investment Research Advisors, Inc., WELLS FARGO & COMPANY/MN, CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, RIVERNORTH CAPITAL MANAGEMENT, LLC, Matisse Capital, HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P., Bulldog Investors, LLC, and Advisor Group, Inc..
This page lists
34
institutional shareholders reporting positions in this security
for the Q3 2019 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2019 vs Q2 2019 Across Filers
Q2 2019 holders
31
Q3 2019 holders
34
Holder diff
3
| Investor | Q2 2019 Shares | Q3 2019 Shares | Share Diff | Share Chg % | Q2 2019 Value $ | Q3 2019 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.