James D. Dondero - 28 Oct 2021 Form 4 Insider Report for NexPoint Strategic Opportunities Fund (NXDT)

Role
President and Principal Executive Officer, 10%+ Owner
Signature
/s/ James D. Dondero
Issuer symbol
NXDT
Transactions as of
28 Oct 2021
Net transactions value
+$847,475
Form type
4
Filing time
01 Nov 2021, 16:16:19 UTC
Previous filing
29 Oct 2021
Next filing
17 Jun 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NXDT Common Stock Purchase $236,910 +15,900 +0.59% $14.90 2,728,044 28 Oct 2021 See Footnote F1
transaction NXDT 5.50% Series A Cumulative Preferred Shares Purchase $84,496 +3,832 $22.05 3,832 28 Oct 2021 See Footnote F2
transaction NXDT Common Stock Purchase $324,102 +21,407 +0.78% $15.14 2,749,091 29 Oct 2021 See Footnote F1
transaction NXDT 5.50% Series A Cumulative Preferred Shares Purchase $201,967 +9,172 +239% $22.02 13,004 29 Oct 2021 See Footnote F2
holding NXDT Common Stock 2,049,751 28 Oct 2021 See Footnote F2
holding NXDT Common Stock 58,756 28 Oct 2021 By employee benefit plan
holding NXDT Common Stock 18,916 28 Oct 2021 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares are held by The Dugaboy Investment Trust pursuant to an employee purchase plan. Mr. Dondero disclaims beneficial ownership of such shares.
F2 These shares are held by certain entities ultimately controlled by Mr. Dondero. Mr. Dondero may be deemed to be an indirect beneficial owner of shares held by such entities. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Remarks:

President and Principal Executive Officer