HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB)
CUSIP: 43010T104
Q4 2020 13F Holders as of 31 Dec 2020
- Type / Class
- Equity / Common Shares
- Shares outstanding
- 23,298,619
- Total 13F shares
- 5,013,065
- Share change
- -517,277
- Total reported value
- $32,731,000
- Price per share
- $6.53
- Number of holders
- 40
- Value change
- -$3,329,196
- Number of buys
- 16
- Number of sells
- 17
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 |
|---|---|---|---|---|---|---|---|---|
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
4.6%
|
1,065,678
|
$6,607,000 | — | 30 Sep 2020 | |
| MORGAN STANLEY |
13F
|
Company |
3.3%
|
777,975
|
$4,823,000 | — | 30 Sep 2020 | |
| Matisse Capital |
13F
|
Company |
3%
|
699,600
|
$4,338,000 | — | 30 Sep 2020 | |
| KESTRA PRIVATE WEALTH SERVICES, LLC |
13F
|
Company |
2.6%
|
605,671
|
$3,730,000 | — | 30 Sep 2020 | |
| CLOUGH CAPITAL PARTNERS L P |
13F
|
Company |
2.2%
|
501,552
|
$3,110,000 | — | 30 Sep 2020 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
0.95%
|
222,076
|
$1,377,000 | — | 30 Sep 2020 | |
| Bulldog Investors, LLP |
13F
|
Company |
0.88%
|
204,743
|
$1,269,000 | — | 30 Sep 2020 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.64%
|
150,201
|
$931,000 | — | 30 Sep 2020 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.53%
|
123,178
|
$764,000 | — | 30 Sep 2020 | |
| OSAIC HOLDINGS, INC. |
13F
|
Company |
0.48%
|
111,036
|
$688,000 | — | 30 Sep 2020 | |
| 6 Meridian |
13F
|
Company |
0.44%
|
101,639
|
$630,000 | — | 30 Sep 2020 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.42%
|
97,466
|
$604,000 | — | 30 Sep 2020 | |
| NEXPOINT ASSET MANAGEMENT, L.P. |
13F
|
Company |
0.38%
|
88,296
|
$547,000 | — | 30 Sep 2020 | |
| BOOTHBAY FUND MANAGEMENT, LLC |
13F
|
Company |
0.25%
|
58,920
|
$365,000 | — | 30 Sep 2020 | |
| Cambridge Investment Research Advisors, Inc. |
13F
|
Company |
0.24%
|
55,081
|
$342,000 | — | 30 Sep 2020 | |
| Aristides Capital LLC |
13F
|
Company |
0.2%
|
46,167
|
$286,000 | — | 30 Sep 2020 | |
| AQR Arbitrage LLC |
13F
|
Company |
0.16%
|
38,028
|
$236,000 | — | 30 Sep 2020 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.14%
|
32,643
|
$202,000 | — | 30 Sep 2020 | |
| LPL Financial LLC |
13F
|
Company |
0.14%
|
32,443
|
$201,000 | — | 30 Sep 2020 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.11%
|
25,212
|
$156,000 | — | 30 Sep 2020 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
0.1%
|
23,950
|
$148,000 | — | 30 Sep 2020 | |
| OPPENHEIMER & CO INC |
13F
|
Company |
0.06%
|
15,000
|
$93,000 | — | 30 Sep 2020 | |
| MML INVESTORS SERVICES, LLC |
13F
|
Company |
0.06%
|
13,854
|
$86,000 | — | 30 Sep 2020 | |
| Advisory Services Network, LLC |
13F
|
Company |
0.05%
|
12,455
|
$77,000 | — | 30 Sep 2020 | |
| Cetera Advisor Networks LLC |
13F
|
Company |
0.05%
|
12,111
|
$75,000 | — | 30 Sep 2020 | |
| COMMONWEALTH EQUITY SERVICES, LLC |
13F
|
Company |
0.05%
|
10,986
|
$68,000 | — | 30 Sep 2020 | |
| Eudaimonia Partners, LLC |
13F
|
Company |
0.02%
|
3,632
|
$23,000 | — | 30 Sep 2020 | |
| Retirement Group, LLC |
13F
|
Company |
0.01%
|
3,304
|
$20,000 | — | 30 Sep 2020 | |
| FLAGSHIP HARBOR ADVISORS, LLC |
13F
|
Company |
0.01%
|
3,064
|
$18,000 | — | 30 Sep 2020 | |
| Newbridge Financial Services Group, Inc. |
13F
|
Company |
0.01%
|
2,843
|
$18,000 | — | 30 Sep 2020 | |
| UBS Group AG |
13F
|
Company |
0.01%
|
1,936
|
$12,000 | — | 30 Sep 2020 | |
| Princeton Global Asset Management LLC |
13F
|
Company |
0%
|
1,000
|
$6,000 | — | 30 Sep 2020 | |
| Steward Partners Investment Advisory, LLC |
13F
|
Company |
0%
|
1,000
|
$6,000 | — | 30 Sep 2020 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0%
|
586
|
$4,000 | — | 30 Sep 2020 | |
| Disciplined Investments, LLC |
13F
|
Company |
0%
|
518
|
$3,000 | — | 30 Sep 2020 | |
| CITIGROUP INC |
13F
|
Company |
0%
|
400
|
$2,000 | — | 30 Sep 2020 | |
| Carroll Financial Associates, Inc. |
13F
|
Company |
0%
|
352
|
$2,000 | — | 30 Sep 2020 | |
| INSTITUTIONAL & FAMILY ASSET MANAGEMENT, LLC |
13F
|
Company |
0%
|
256
|
$2,000 | — | 30 Sep 2020 |
Institutional Holders of HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB) as of Q4 2020
As of 31 Dec 2020,
HIGHLAND GLOBAL ALLOCATION FUND - Common Shares (HGLB) was held by
40 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
5,013,065 shares.
The largest 10 holders included
MORGAN STANLEY, Matisse Capital, RIVERNORTH CAPITAL MANAGEMENT, LLC, KESTRA PRIVATE WEALTH SERVICES, LLC, Clough Capital Partners L P, LANDSCAPE CAPITAL MANAGEMENT, L.L.C., Quantedge Capital Pte Ltd, WELLS FARGO & COMPANY/MN, Bulldog Investors, LLP, and Shaker Financial Services, LLC.
This page lists
40
institutional shareholders reporting positions in this security
for the Q4 2020 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2020 vs Q3 2020 Across Filers
Q3 2020 holders
37
Q4 2020 holders
40
Holder diff
3
| Investor | Q3 2020 Shares | Q4 2020 Shares | Share Diff | Share Chg % | Q3 2020 Value $ | Q4 2020 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.