Insider Transactions Reported by 5 Insiders of HIGHLAND GLOBAL ALLOCATION FUND

Symbol: HGLB on NYSE
Location: Dallas, TX

Quick Takeaways

HGLB - HIGHLAND GLOBAL ALLOCATION FUND has 5 insiders with reported activity on this page.
No net insider buy/sell flow is currently reported for the last year.
Recent transaction rows are not currently available.

What Changed

No meaningful buy/sell imbalance is currently visible in the one-year window.
Activity will update as new Forms 3/4/5 are filed.

Why This Matters

This page gives a plain-language issuer insider context before you inspect transaction-level evidence.
Use the filing links below to verify timestamps, codes, and ownership impacts directly from SEC forms.

Source Evidence

Filed on Form 4

Issuer insider activity is sourced from SEC Forms 3, 4, and 5.

See Original Filing

Insider trading overview

Last 12 months

Insider buy and sell flow is broadly balanced over the last 12 months. No Buy or Sell transactions have been reported since 16 May 2025.

Buys

Shares: 0

Insiders: 0

Sells

Shares: 0

Insiders: 0

Net

Shares: 0

Insiders: 0

Window (months)	Buy $	Sell $	Net $
0-3	$0	$0	$0
3-6	$0	$0	$0
6-9	$0	$0	$0
9-12	$0	$0	$0

HIGHLAND GLOBAL ALLOCATION FUND executives and other stock owners filed with the SEC include:

Name	Relationship	Holdings Value	Valuation	Report Date
Ethan Powell	Director	$50,423	Filing P/S	28 Jun 2024
Dr. Robert Froehlich	Director	$19,774	Filing P/S	05 Dec 2022
Stephanie Vitiello	Chief Compliance Officer	$8,490	Mixed	13 Nov 2021
Pamela B. Corrie	Director		Mixed	01 Jan 2022
Dorri McWhorter	Director		Mixed	01 May 2022

Top shareholders of HIGHLAND GLOBAL ALLOCATION FUND (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
RAYMOND JAMES & ASSOCIATES	13D/G	—	10%	2,353,161	$18,897,762	+$821,768	31 Mar 2026	13D/G
RAYMOND JAMES FINANCIAL INC	13F	Company	10%	2,353,161	$18,895,879	—	31 Mar 2026	13F
LPL Financial LLC	13F	Company	3.7%	868,777	$6,976,277	—	31 Mar 2026	13F
MORGAN STANLEY	13F	Company	3.3%	764,290	$6,137,257	—	31 Mar 2026	13F
Matisse Capital	13F	Company	1.9%	443,000	$3,557,290	—	31 Mar 2026	13F
OSAIC HOLDINGS, INC.	13F	Company	1.4%	325,051	$2,610,151	—	31 Mar 2026	13F
NWF Advisory Services Inc.	13F	Company	1.1%	264,481	$2,123,783	—	31 Mar 2026	13F
Shaker Financial Services, LLC	13F	Company	0.82%	190,557	$1,530,173	—	31 Mar 2026	13F
Quantedge Capital Pte Ltd	13F	Company	0.81%	188,987	$1,517,566	—	31 Mar 2026	13F
Sovereign Financial Group, Inc.	13F	Company	0.48%	111,639	$896,460	—	31 Mar 2026	13F
UBS Group AG	13F	Company	0.32%	73,732	$592,068	—	31 Mar 2026	13F
OPPENHEIMER & CO INC	13F	Company	0.29%	68,566	$550,585	—	31 Mar 2026	13F
PNC FINANCIAL SERVICES GROUP, INC.	13F	Company	0.19%	45,000	$361,350	—	31 Mar 2026	13F
Capital Investment Advisors, LLC	13F	Company	0.17%	40,071	$321,771	—	31 Mar 2026	13F
Summit Financial, LLC	13F	Company	0.16%	36,500	$293,095	—	31 Mar 2026	13F
WEDBUSH SECURITIES INC	13F	Company	0.13%	29,195	$234,000	—	31 Mar 2026	13F
Cambridge Investment Research Advisors, Inc.	13F	Company	0.12%	27,288	$219,000	—	31 Mar 2026	13F
Cetera Investment Advisers	13F	Company	0.11%	24,803	$199,165	—	31 Mar 2026	13F
AQR CAPITAL MANAGEMENT LLC	13F	Company	0.1%	23,738	$190,616	—	31 Mar 2026	13F
HB Wealth Management, LLC	13F	Company	0.1%	23,738	$190,616	—	31 Mar 2026	13F
Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors	13F	Company	0.09%	21,364	$171,557	—	31 Mar 2026	13F
SUSQUEHANNA INTERNATIONAL GROUP, LLP	13F	Company	0.09%	21,024	$168,823	—	31 Mar 2026	13F
ROYAL BANK OF CANADA	13F	Company	0.08%	18,693	$150,000	—	31 Mar 2026	13F
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC	13F	Company	0.08%	18,262	$146,644	—	31 Mar 2026	13F
Virtu Financial LLC	13F	Company	0.06%	13,436	$108,000	—	31 Mar 2026	13F
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	13F	Company	0.06%	12,824	$104,387	—	31 Mar 2026	13F
AE Wealth Management LLC	13F	Company	0.05%	11,413	$91,646	—	31 Mar 2026	13F
BENJAMIN EDWARDS INC	13F	Company	0.05%	10,645	$85,477	—	31 Mar 2026	13F
Rockefeller Capital Management L.P.	13F	Company	0.04%	9,012	$72,366	—	31 Mar 2026	13F
Ethan Powell	3/4/5	Director	— class O/S missing	6,750	$50,423	—	28 Jun 2024	3/4/5
CoreCap Advisors, LLC	13F	Company	0.02%	5,385	$43,242	—	31 Mar 2026	13F
Godfrey Financial Associates, Inc.	13F	Company	0.01%	3,203	$25,723	—	31 Mar 2026	13F
Dr. Robert Froehlich	3/4/5	Director	— class O/S missing	2,024	$19,774	—	05 Dec 2022	3/4/5
NBC SECURITIES, INC.	13F	Company	0.01%	2,067	$16,604	—	31 Mar 2026	13F
Advisory Services Network, LLC	13F	Company	0.01%	1,797	$14,430	—	31 Mar 2026	13F
Stephanie Vitiello	3/4/5	Chief Compliance Officer	— class O/S missing	869	$8,490	—	13 Nov 2021	3/4/5
CWM, LLC	13F	Company	0%	913	$7,333	—	31 Mar 2026	13F
Pinnacle Wealth Planning Services, Inc.	13F	Company	0%	520	$4,176	—	31 Mar 2026	13F
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO	13F	Company	0%	465	$3,734	—	31 Mar 2026	13F
HIGHLINE WEALTH PARTNERS LLC	13F	Company	0%	325	$2,610	—	31 Mar 2026	13F
WELLS FARGO & COMPANY/MN	13F	Company	0%	2	$15	—	31 Mar 2026	13F

Recent Insider Transactions by Companies or Individuals for HIGHLAND GLOBAL ALLOCATION FUND

Showing up to 300 most recent insider transactions from the last 12 months.

Insider	Symbol	Class	Transaction	%	Value $	* Price $	Shares	Shares Owned	Date	Ownership
No insider transactions were found in the last 12 months for this issuer.

* An asterisk sign (*) next to the price indicates that the price is likely invalid.