Highland Global Allocation Fund Ownership

Who are the major shareholders and have insiders been buying or selling?

Recent Insider Transactions

Insider Trading Volume

Insider Buying: Insufficient data to determine if insiders have bought more shares than they have sold in the past 3 months.

Ownership Breakdown

What is the ownership structure of HGLB?
Owner Type	Number of Shares	Ownership Percentage
Individual Insiders	9,239	0.0411%
Institutions	5,735,289	25.5%
General Public	16,739,558	74.5%

Dilution of Shares: Shareholders have not been meaningfully diluted in the past year.

Top Shareholders

Top 25 shareholders own 25.12% of the company

Ownership	Name	Shares	Current Value	Change %	Portfolio %
8.07%	Raymond James Financial Inc., Asset Management Arm	1,814,006	US$12.7m	66.8%	0.01%
3.68%	Morgan Stanley, Investment Banking and Brokerage Investments	826,476	US$5.8m	0.22%	no data
1.89%	Shaker Financial Services, LLC	424,917	US$3.0m	5.48%	1.23%
1.6%	LPL Financial Corporation, Asset Management Arm	359,346	US$2.5m	1.75%	no data
1.4%	Osaic Wealth, Inc. , Asset Management Arm	314,842	US$2.2m	-51.6%	0.01%
1.29%	Deschutes Portfolio Strategy, LLC	289,000	US$2.0m	70%	0.98%
1.19%	AQR Capital Management, LLC	266,455	US$1.9m	48.6%	no data
1.12%	Landscape Capital Management, LLC	252,079	US$1.8m	264%	0.15%
0.85%	Quantedge Capital Pte Ltd	191,283	US$1.3m	14.7%	0.63%
0.73%	Sovereign Financial Group, Inc.	164,770	US$1.2m	6.23%	0.31%
0.5%	Private Advisor Group, LLC	112,663	US$790.9k	6.62%	0.01%
0.38%	Highland Capital Management, L.P.	86,246	US$605.5k	0%	0.18%
0.35%	Bank Of Oklahoma, N.A., Asset Management Arm	79,719	US$559.6k	0%	0.02%
0.34%	UBS Asset Management AG	76,287	US$535.5k	29.3%	no data
0.3%	Cambridge Investment Research Advisors, Inc.	67,249	US$472.1k	-1.83%	no data
0.25%	Capital Investment Advisors, LLC	57,150	US$401.2k	3.63%	0.01%
0.2%	Oppenheimer Asset Management Inc.	45,900	US$322.2k	5.52%	no data
0.17%	Envestnet Asset Management, Inc.	37,997	US$266.7k	13.3%	no data
0.15%	Principal Global Investors, LLC	34,187	US$240.0k	0%	no data
0.15%	Royal Bank of Canada, Banking & Securities Investments	32,610	US$228.9k	-1.25%	no data
0.13%	Eagle Rock Investment Company, LLC	30,000	US$210.6k	0%	0.04%
0.13%	BB&T Trust	29,076	US$204.1k	0%	no data
0.097%	Cetera Financial Holdings, Inc., Asset Management Arm	21,804	US$153.1k	15.9%	no data
0.079%	Advisor Resource Council	17,653	US$123.9k	-93%	0.05%
0.07%	HighTower Advisors, LLC	15,838	US$111.2k	-36.5%	no data