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NEXPOINT STRATEGIC OPPORTES
NEXPOINT STRATEGIC OPPORTES. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 46 Institutional holders with a total value of $129,583,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GFS Advisors, LLC 357,661 19,815,000 15.29%
2 USCA RIA LLC 357,661 19,815,000 15.29%
3 MORGAN STANLEY 861,070 15,542,000 11.99%
4 HIGHLAND CAPITAL MANAGEMENT LP 528,134 9,533,000 7.36%
5 RIVERNORTH CAPITAL MANAGEMENT, LLC 500,097 9,027,000 6.97%
6 Advisors Asset Management, Inc. 471,526 8,511,000 6.57%
7 BESSEMER GROUP INC 437,307 7,893,000 6.09%
8 WELLS FARGO & COMPANY/MN 418,882 7,561,000 5.83%
9 LOOMIS SAYLES & CO L P 340,284 6,142,000 4.74%
10 Karpus Management, Inc. 306,620 5,534,000 4.27%
11 PARAMETRIC PORTFOLIO ASSOCIATES LLC 169,301 3,056,000 2.36%
12 Thomas J. Herzfeld Advisors, Inc. 148,018 2,672,000 2.06%
13 GUGGENHEIM CAPITAL LLC 139,962 2,526,000 1.95%
14 RAYMOND JAMES & ASSOCIATES 109,660 1,979,000 1.53%
15 SIT INVESTMENT ASSOCIATES INC 103,983 1,877,000 1.45%
16 UBS Group AG 63,433 1,145,000 0.88%
17 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 53,317 962,000 0.74%
18 DEUTSCHE BANK AG\ 52,953 955,000 0.74%
19 Cetera Advisor Networks LLC 40,388 727,000 0.56%
20 BANK OF AMERICA CORP /DE/ 39,387 710,000 0.55%
21 PNC FINANCIAL SERVICES GROUP, INC. 28,549 515,000 0.40%
22 Invesco Ltd. 23,973 433,000 0.33%
23 SG Americas Securities, LLC 18,637 336,000 0.26%
24 CSS LLC/IL 18,055 326,000 0.25%
25 BB&T SECURITIES, LLC 16,813 303,000 0.23%
26 Sigma Planning Corp 16,628 300,000 0.23%
27 LPL Financial LLC 16,394 292,000 0.23%
28 Raymond James Financial Services Advisors, Inc. 14,569 263,000 0.20%
29 M Holdings Securities, Inc. 13,865 250,000 0.19%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,731 212,000 0.16%
31 Creative Planning 6,965 126,000 0.10%
32 MSI Financial Services Inc 5,388 97,000 0.07%
33 ROYAL BANK OF CANADA 1,890 34,000 0.03%
34 SIGNATUREFD, LLC 1,875 34,000 0.03%
35 CITIGROUP INC 1,052 19,000 0.01%
36 AMERICAN INTERNATIONAL GROUP, INC. 962 17,000 0.01%
37 Tower Research Capital LLC (TRC) 806 15,000 0.01%
38 US BANCORP \DE\ 625 11,000 0.01%
39 IFP ADVISORS, INC 380 7,000 0.01%
40 BENJAMIN F. EDWARDS & COMPANY, INC. 295 5,000 0.00%
41 GENEOS WEALTH MANAGEMENT INC. 282 5,000 0.00%
42 Compagnie Lombard Odier SCmA 37 1,000 0.00%
43 INTEGRATED WEALTH MANAGEMENT 25 0 0.00%
44 US FINANCIAL ADVISORS, LLC 1 0 0.00%
45 Hudock, Inc. 25 0 0.00%
46 Cordasco Financial Network 3 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.