الإحصائيات الأساسية
| LEI | 549300Y627XJ58WI3L10 |
| CIK | 1622148 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Highland Global Allocation Fund
SEC Filings (Chronological Order)
توفر هذه الصفحة قائمة كاملة ومرتبة ترتيبًا زمنيًا لتصريحات هيئة الأوراق المالية والبورصات، باستثناء تصريحات الملكية التي نقدمها في مكان آخر.
| June 18, 2025 |
INVESTMENT PORTFOLIO (unaudited) INVESTMENT PORTFOLIO (unaudited) As of December 31, 2024 Highland Global Allocation Fund Shares Value ($) U. |
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| May 7, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to Sec. |
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| September 10, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Highland Global Allocation Fund (Name of Issuer) Common Stock (Title of Class of Securities) 43010T104 (CUSIP Number) June 28, 2024 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| July 24, 2024 |
HIGHLAND GLOBAL ALLOCATION FUND (the “Fund”) Supplement dated July 24, 2024 to the Fund’s Statement of Additional Information (the “SAI”), dated February 13, 2019, as supplemented from time to time This supplement provides new and additional information beyond that contained in the SAI and should be read in conjunction with the SAI. |
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| May 17, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to Sec. |
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| February 2, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) UNDER THE SECURITIES EXCHANGE ACT OF 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 Teucrium Corn Fund (Name of Issuer) Fractional undivided beneficial interests (Title of Class of Securities) 88166A102 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule 13d-1(c) ☐ Rule 13d-1(d) CUSIP No. |
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| August 15, 2023 |
INVESTMENT PORTFOLIO (unaudited) As of December 31, 2022 Highland Global Allocation Fund Shares Value ($) U. |
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| May 4, 2023 |
CORRESP May 4, 2023 VIA EDGAR AND EMAIL U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, DC 20549 Attention: Ms. Megan Miller Re: NexPoint Funds I (File No. 811-21866) Highland Income Fund (File No. 811-23268) Highland Global Allocation Fund (File No. 811-23369) NexPoint Real Estate Strategies Fund (File No. 811- |
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| May 2, 2023 |
HIGHLAND GLOBAL ALLOCATION FUND SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to Sec. |
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| March 10, 2023 |
Highland Global Allocation Fund HIGHLAND GLOBAL ALLOCATION FUND (the “Fund”) Supplement dated March 10, 2023 to the Fund’s Statement of Additional Information (the “SAI”), dated February 13, 2019, as supplemented from time to time This supplement provides new and additional information beyond that contained in the SAI and should be read in conjunction with the SAI. |
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| March 1, 2023 |
NPORT-EX 2 HighlandGAFScheduleF.htm SCHEDULE F INVESTMENT PORTFOLIO (unaudited) As of December 31, 2022 Highland Global Allocation Fund Shares Value ($) U.S. Equity — 53.7% Communication Services — 24.0% 189,945 Telesat, Class B (a) 1,424,587 169,531 TerreStar Corporation (a)(b)(c)(d)(e) 62,095,815 63,520,402 Healthcare — 0.4% 232,800 Heron Therapeutics, Inc. (a)(f) 582,000 17,200 Patterson (f) 48 |
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| September 26, 2022 |
HIGHLAND GLOBAL ALLOCATION FUND (the “Fund”) Supplement dated September 26, 2022 to the Fund’s Prospectus and Statement of Additional Information (“SAI”), each dated February 13, 2019, as supplemented from time to time This supplement provides new and additional information beyond that contained in the Prospectus and the SAI and should be read in conjunction with the Prospectus and the SAI. |
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| August 29, 2022 |
NPORT-EX 2 HighlandGAFScheduleF.htm SCHEDULE F INVESTMENT PORTFOLIO (unaudited) As of June 30, 2022 Highland Global Allocation Fund Shares Value ($) U.S. Equity — 58.0% Communication Services — 22.7% 189,945 Telesat, Class B (a) 2,121,685 169,531 TerreStar Corporation (a)(b)(c)(d)(e) 60,417,458 62,539,143 Healthcare — 0.7% 77,700 Aerie Pharmaceuticals, Inc. (a)(f)(g) 582,750 232,800 Heron Therapeu |
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| May 2, 2022 |
424B3 1 d327626d424b3.htm HIGHLAND GLOBAL ALLOCATION FUND HIGHLAND GLOBAL ALLOCATION FUND (the “Fund”) Supplement dated May 2, 2022 to the Fund’s Statement of Additional Information (the “SAI”), dated February 13, 2019, as supplemented from time to time This supplement provides new and additional information beyond that contained in the SAI and should be read in conjunction with the SAI. Capitaliz |
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| March 28, 2022 |
DEF 14A 1 d273489ddef14a.htm HIGHLAND GLOBAL ALLOCATION FUND SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Stat |
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| March 1, 2022 |
HTML INVESTMENT PORTFOLIO (unaudited) As of December 31, 2021 Highland Global Allocation Fund Shares Value ($) U. |
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| January 13, 2022 |
HIGHLAND GLOBAL ALLOCATION FUND (the “Fund”) Supplement dated January 13, 2022 to the Fund’s Statement of Additional Information (the “SAI”), dated February 13, 2019, as supplemented from time to time This supplement provides new and additional information beyond that contained in the SAI and should be read in conjunction with the SAI. |
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| December 30, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2021 (December 21, 2021) HIGHLAND GLOBAL ALLOCATION FUND (Exact Name of Registrant as Specified in Charter) MASSACHUSETTS 811-23369 91-6361402 (State or Other Jurisdictio |
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| December 30, 2021 |
EX-3.1 2 d175668dex31.htm EX-3.1 Exhibit 3.1 FIFTH AMENDMENT TO THE AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF HIGHLAND GLOBAL ALLOCATION FUND To the Secretary of the Commonwealth of Massachusetts It is hereby stated that: 1. This document constitutes an amendment, dated December 21, 2021, to the Amended and Restated Agreement and Declaration of Trust, dated August 17, 2017 (herein |
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| December 30, 2021 |
Exhibit 3.2 SECOND AMENDED AND RESTATED BYLAWS OF HIGHLAND GLOBAL ALLOCATION FUND (Dated as of December 21, 2021) DEFINITIONS “Independent Trustee” shall mean a Trustee that is not an “interested person” as defined in Section 2(a)(19) of the 1940 Act. “Proposed Nominee” shall have the meaning set forth in Section 10.10 of these Bylaws “Proposed Nominee Associated Person” of any Proposed Nominee sh |
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| August 30, 2021 |
INVESTMENT PORTFOLIO (unaudited) As of June 30, 2021 Highland Global Allocation Fund Shares Value ($) U. |
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| May 26, 2021 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to Sec. |
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| April 27, 2021 |
- HIGHLAND GLOBAL ALLOCATION FUND SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to Sec. |
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| March 1, 2021 |
HTML INVESTMENT PORTFOLIO (unaudited) As of December 31, 2020 Highland Global Allocation Fund Shares Value ($) U. |
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| August 31, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of June 30, 2020 Highland Global Allocation Fund Shares Value ($) U. |
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| April 22, 2020 |
HGLB / Highland Global Allocation Fund DEF 14A - - FORM DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [ X ] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ X ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Sec. |
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| February 28, 2020 |
HTML NOTES TO INVESTMENT PORTFOLIO (unaudited) As of December 31, 2019 Highland Global Allocation Fund Organization Highland Funds II (the “Trust”) is a Massachusetts business trust organized on August 10, 1992. |
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| February 28, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of December 31, 2019 Highland Global Allocation Fund Shares Value ($) Non-U. |
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| August 29, 2019 |
HGLB / Highland Global Allocation Fund NPORT-EX - - SCHEDULE F HTML INVESTMENT PORTFOLIO (unaudited) As of June 30, 2019 Highland Global Allocation Fund Shares Value ($) U. |
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| April 24, 2019 |
HGLB / Highland Global Allocation Fund FORM DEF 14A Form DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to Sec. |
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| April 10, 2019 |
HGLB / Highland Global Allocation Fund DEL AM DEL AM April 10, 2019 VIA EDGAR Jay Williamson Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| March 6, 2019 |
HGLB / Highland Global Allocation Fund FORM POS 8C Form POS 8C Table of Contents As filed with the Securities and Exchange Commission on March 6, 2019 Securities Act of 1933 Registration No. |
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| March 6, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.(N) 2 d669671dex99n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of Highland Global Allocation Fund of our report dated February 11, 2019, relating to the financial statements and financial highlights, which appears in the Hig |
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| March 6, 2019 |
HGLB / Highland Global Allocation Fund FORM AW Form AW Highland Global Allocation Fund 200 Crescent Court, Suite 700 Dallas, Texas 75201 March 6, 2019 VIA EDGAR Division of Investment Management U. |
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| March 6, 2019 |
HGLB / Highland Global Allocation Fund Acceleration Letter Highland Global Allocation Fund c/o Highland Capital Management Fund Advisors, L. |
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| February 14, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Highland Global Allocation Fund (Exact name of registrant as specified in its charter) Massachusetts 91-6361402 (Jurisdiction of Incorporation or Organization) (I.R.S. Employer Identification No.) 200 Crescent |
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| February 13, 2019 |
HGLB / Highland Global Allocation Fund Acceleration Letter Highland Global Allocation Fund c/o Highland Capital Management Fund Advisors, L. |
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| February 13, 2019 |
HGLB / Highland Global Allocation Fund Response Letter February 13, 2019 Via Email Vincent DiStefano Lauren Hamilton Division of Investment Management U. |
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| February 13, 2019 |
HGLB / Highland Global Allocation Fund Response Letter February 13, 2019 Via Email Vincent DiStefano Division of Investment Management U. |
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| August 14, 2018 |
HIGHLAND GLOBAL ALLOCATION FUND II AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST EX-99.(A)(1) 2 d587629dex99a1.htm EX-99.(A)(1) Exhibit (a)(1) HIGHLAND GLOBAL ALLOCATION FUND II AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made on this 17th day of August, 2017 by the Trustees hereunder and by the holders of shares of beneficial interest issued hereunder and to be issued hereunder as hereinafter provided, a |
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| August 14, 2018 |
EX-99.(B) 4 d587629dex99b.htm EX-99.(B) Exhibit (b) BYLAWS OF HIGHLAND GLOBAL ALLOCATION FUND (Dated as of August 3, 2018) ARTICLE 1 Agreement and Declaration of Trust 1.1 Agreement and Declaration of Trust. These Bylaws shall be subject to the Agreement and Declaration of Trust, as from time to time in effect (the “Declaration of Trust”) of Highland Global Allocation Fund (the “Trust”), the Massa |
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| August 14, 2018 |
EX-99.(J)(1) 24 d587629dex99j1.htm EX-99.(J)(1) Exhibit (j)(1) CONSENT OF COUNSEL We hereby consent to the use of our name and the references to our firm under the caption “Legal Counsel” included in or made a part of the Registration Statement of Highland Global Allocation Fund, on Form N-1A under the Securities Act of 1933, as amended. /s/ Stradley Ronon Stevens & Young, LLP Stradley Ronon Steve |
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| August 14, 2018 |
MASTER ADMINISTRATION AGREEMENT SCHEDULE A Listing of Trusts and Funds EX-99.(H)(1)(I) 14 d587629dex99h1i.htm EX-99.(H)(1)(I) Exhibit (h)(1)(i) , 2018 State Street Bank and Trust Company Channel Center, Mailstop CCB0502 1 Iron Street Boston, MA 02210 Attention: Brett Fernquist Re: HIGHLAND GLOBAL ALLOCATION FUND (the “Trust”) Ladies and Gentlemen: In accordance with Section 1, the Appointment of Administrator provision, of the Master Administration Agreement dated as |
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| August 14, 2018 |
EX-99.(H)(2)(I) 16 d587629dex99h2i.htm EX-99.(H)(2)(I) Exhibit (h)(2)(i) AMENDMENT to Transfer Agency and Service Agreement between Highland Funds Each of the Entities, Individually and not Jointly, as listed on Schedule A and Boston Financial Data Services, Inc. This Amendment is made as of this 25th day of September, 2017, between each of the entities, individually and not jointly, as listed on |
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| August 14, 2018 |
HIGHLAND FLOATING RATE OPPORTUNITIES FUND II HIGHLAND GLOBAL ALLOCATION FUND II POWER OF ATTORNEY EX-99.(Q) 31 d587629dex99q.htm EX-99.(Q) Exhibit (q) HIGHLAND FLOATING RATE OPPORTUNITIES FUND II HIGHLAND GLOBAL ALLOCATION FUND II POWER OF ATTORNEY Highland Floating Rate Opportunities Fund II and Highland Global Allocation Fund II (collectively, the “Trusts”) and the undersigned Trustee constitutes and appoints each of J. Bradley Ross, Brian Mitts and Frank Waterhouse (with full power to each |
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| August 14, 2018 |
EX-99.(P)(1) 28 d587629dex99p1.htm EX-99.(P)(1) Exhibit (p)(1) CODE OF ETHICS of Highland Funds I, Highland Funds II, NexPoint Strategic Opportunities Fund, NexPoint Real Estate Strategies Fund, NexPoint Strategic Income Fund, NexPoint Capital, Inc., Highland Floating Rate Opportunities Fund, Highland Global Allocation Fund, NexPoint Healthcare Opportunities Fund, NexPoint Latin American Opportuni |
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| August 14, 2018 |
EX-99.(H)(4)(II) 22 d587629dex99h4ii.htm EXHIBIT (H)(4)(II) Exhibit (h)(4)(ii) FORM OF AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B, AND STATE STREET BANK AND TRUST COMPANY This Amendment (the “Amendment”) dated as of August [ ], 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of i |
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| August 14, 2018 |
EX-99.(H)(2) 15 d587629dex99h2.htm EX-99.(H)(2) Exhibit (h)(2) EXECUTION COPY TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN EACH OF THE ENTITIES, INDIVIDUALLY AND NOT JOINTLY, AS LISTED ON SCHEDULE A AND BOSTON FINANCIAL DATA SERVICES, INC. Exhibit (h)(2) TABLE OF CONTENTS 1. Terms of Appointment and Duties 1 2. Third Party Administrators for Defined Contribution Plans 6 3. Fees and Expenses 7 4. |
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| August 14, 2018 |
EX-99.(E)(1) 7 d587629dex99e1.htm EX-99.(E)(1) Exhibit (e)(1) DISTRIBUTION AGREEMENT This Distribution Agreement (“Agreement”) is made by and between the investment companies of the Highland Family of Funds, identified on Schedule A (each a “Fund” and collectively, the “Funds”) and Highland Capital Fund Distributors, (the “Distributor”), and is effective as of the date accepted and agreed to by th |
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| August 14, 2018 |
EX-99.(D)(2) 6 d587629dex99d2.htm EX-99.(D)(2) [DATE] FORM OF LETTER AGREEMENT Highland Global Allocation Fund (the “Fund”) 200 Crescent Court, Suite 700 Dallas, Texas 75201 Re: Expense Limitation and Recoupment Agreement Ladies and Gentlemen: This Letter Agreement documents (i) an undertaking by Highland Capital Management Fund Advisors, L.P. (the “Adviser”) to limit the total operating expenses |
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| August 14, 2018 |
FORM OF INVESTMENT ADVISORY AGREEMENT EX-99.(D)(1) 5 d587629dex99d1.htm EX-99.(D)(1) FORM OF INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of [DATE], by and between Highland Capital Management Fund Advisors, L.P., a Delaware limited partnership (the “Adviser”), and Highland Global Allocation Fund, a Massachusetts business trust (the “Trust”). WHEREAS, the Trust is engaged in business as an open-end management investment company and |
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| August 14, 2018 |
Form of Schedule A To the Distribution Agreement List of Funds Dated as of August , 2018 EX-99.(E)(1)(II) 9 d587629dex99e1ii.htm EXHIBIT (E)(1)(II) Exhibit (e)(1)(ii) Form of Schedule A To the Distribution Agreement List of Funds Dated as of August , 2018 All Share Classes of the Following Funds: Highland Funds I: Highland Long/Short Equity Fund Highland Long/Short Healthcare Fund Highland/iBoxx Senior Loan ETF Highland Merger Arbitrage Fund Highland Opportunistic Credit Fund Highland |
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| August 14, 2018 |
CODE OF ETHICS POLICY Purpose and Scope EX-99.(P)(2) 29 d587629dex99p2.htm EX-99.(P)(2) Exhibit (p)(2) CODE OF ETHICS POLICY Purpose and Scope The purpose of the Code of Ethics Policy (“the Policy”) is to implement a policy of strict compliance with the highest standards of ethical business conduct and the provisions of applicable federal securities laws, including rules and regulations promulgated by the SEC. This Policy provides guida |
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| August 14, 2018 |
EX-99.(H)(4)(I) 21 d587629dex99h4i.htm EXHIBIT (H)(4)(I) Exhibit (h)(4)(i) FIRST AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B, AND STATE STREET BANK AND TRUST COMPANY This First Amendment (this “Amendment”) dated as of January 22, 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of |
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| August 14, 2018 |
EX-99.(H)(4) 20 d587629dex99h4.htm EXHIBIT (H)(4) Exhibit (h)(4) SECURITIES LENDING AUTHORIZATION AGREEMENT Between PYXIS FUNDS II ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE B and STATE STREET BANK AND TRUST COMPANY TABLE OF CONTENTS PAGE 1. DEFINITIONS 1 2. APPOINTMENT OF STATE STREET 2 3. SECURITIES TO BE LOANED 3 4. BORROWERS 3 5. SECURITIES LOAN AGREEMENTS 4 6. LOANS OF AVAILABLE SECURITIES |
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| August 14, 2018 |
EX-99.(H)(3)(I) 19 d587629dex99h3i.htm EXHIBIT (H)(3)(I) Exhibit (h)(3)(i) FORM OF AMENDMENT TO SECURITIES LENDING AND SERVICES AGREEMENT BETWEEN HIGHLAND FUNDS II, ON BEHALF OF ITS SERIES AS LISTED ON SCHEDULE C, AND STATE STREET BANK AND TRUST COMPANY This Amendment (the “Amendment”) dated as of August [ ], 2018 is between HIGHLAND FUNDS II (formerly known as PYXIS FUNDS II), on behalf of its se |
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| August 14, 2018 |
APPENDIX A MASTER CUSTODIAN AGREEMENT EX-99.(G)(1)(I) 12 d587629dex99g1i.htm EX-99.(G)(1)(I) Exhibit (g)(1)(i) September 1, 2017 State Street Bank and Trust Company Channel Center, Mailstop CCB0502 1 Iron Street Boston, MA 02210 Attention: Brett Fernquist, Managing Director Re: Highland Floating Rate Opportunities Fund II and Highland Global Allocation Fund II (the “Funds”) Ladies and Gentlemen: Please be advised that the undersigned |
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| August 14, 2018 |
EX-99.(H)(3) 18 d587629dex99h3.htm EX-99.(H)(3) Exhibit (h)(3) SECURITIES LENDING AND SERVICES AGREEMENT BETWEEN HIGHLAND FUNDS II (F/K/A PYXIS FUNDS II) ON BEHALF OF EACH OF ITS SERIES LISTED ON SCHEDULE C AND STATE STREET BANK AND TRUST COMPANY SECURITIES LENDING AND SERVICES AGREEMENT Agreement (the “Agreement”) dated the 29th day of April 2013 between Highland Funds II (f/k/a Pyxis Funds II) ( |
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| August 14, 2018 |
EX-99.(N) 27 d587629dex99n.htm EX-99.(N) Exhibit (n) HIGHLAND FUNDS I HIGHLAND FUNDS II HIGHLAND GLOBAL ALLOCATION FUND AMENDED AND RESTATED RULE 18f-3 MULTI-CLASS PLAN This Amended and Restated Rule 18f-3 Multi-Class Plan (the “Multi-Class Plan”) is adopted pursuant to Rule 18f-3 under the Investment Company Act of 1940, as amended (the “Act”), to provide for the issuance and distribution of mult |
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| August 14, 2018 |
Consent of Independent Registered Public Accounting Firm EX-99.(J)(2) 25 d587629dex99j2.htm EX-99.(J)(2) Consent of Independent Registered Public Accounting Firm The Board of Trustees Highland Global Allocation Fund We consent to the references to our firm under the headings “INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM” in the prospectus and in the statement of additional information. /s/ KPMG LLP Boston, Massachusetts August 13, 2018 |
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| August 14, 2018 |
EX-99.(H)(2)(II) 17 d587629dex99h2ii.htm EXHIBIT (H)(2)(II) Exhibit (h)(2)(ii) FORM OF AMENDMENT to Transfer Agency and Service Agreement between Highland Funds Each of the Entities, Individually and not Jointly, as listed on Schedule A and DST Asset Manager Solutions, Inc. (formerly, Boston Financial Data Services Inc.) This Amendment is made as of this st day of August, 2018, between each of the |
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| August 14, 2018 |
MASTER ADMINISTRATION AGREEMENT Exhibit (h)(1) MASTER ADMINISTRATION AGREEMENT This Master Administration Agreement (?Agreement?) dated and effective as of January 7, 2013, is by and among State Street Bank and Trust Company, a Massachusetts trust company (the ?Administrator?), and each management investment company identified on Appendix A hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 18 below, shall hereinafter be referred to as a ?Trust? and collectively, the ?Trusts?). |
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| August 14, 2018 |
Schedule A To the Distribution Agreement List of Funds Dated as of August 5, 2016 EX-99.(E)(1)(I) 8 d587629dex99e1i.htm EX-99.(E)(1)(I) Exhibit (e)(1)(i) Schedule A To the Distribution Agreement List of Funds Dated as of August 5, 2016 All Share Classes of the Following Funds: Highland Funds I: Highland Long/Short Equity Fund Highland Long/Short Healthcare Fund Highland Floating Rate Opportunities Fund Highland/iBoxx Senior Loan ETF Highland Opportunistic Credit Fund Highland M |
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| August 14, 2018 |
EX-99.(M) 26 d587629dex99m.htm EX-99.(M) Exhibit (m) HIGHLAND FUNDS I HIGHLAND FUNDS II HIGHLAND GLOBAL ALLOCATION FUND CLASS A SHARES, CLASS C SHARES AND CLASS T SHARES AMENDED AND RESTATED RULE 12b-1 DISTRIBUTION PLAN Highland Funds I, a Delaware statutory trust, Highland Funds II, and Highland Global Allocation Fund, each a Massachusetts statutory trust, each engages in business as an open-end |
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| August 14, 2018 |
FORM OF SELLING AND/OR SERVICES AGREEMENT HIGHLAND FAMILY OF FUNDS EX-99.(E)(2) 10 d587629dex99e2.htm EX-99.(E)(2) Exhibit (e)(2) FORM OF SELLING AND/OR SERVICES AGREEMENT FOR HIGHLAND FAMILY OF FUNDS This Selling and/or Services Agreement (“Agreement”) is made by and between [NAME OF INTERMEDIARY] (“Intermediary”) and Highland Capital Funds Distributor, Inc. (“Distributor”), and is effective as of the date accepted and agreed to by the Distributor below. R E C I |
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| August 14, 2018 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection with such no |
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| August 14, 2018 |
EX-99.(P)(3) 30 d587629dex99p3.htm EX-99.(P)(3) Exhibit (p)(3) HCFD The Code of Ethics All registered representatives and associated persons must: • Act with integrity, competence, diligence, respect and in an ethical manner with the public, customers, prospective customers, employers, employees, colleagues in the investment profession, and other participants in the global capital markets. • Place |
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| August 14, 2018 |
EX-99.(I)(1) 23 d587629dex99i1.htm EX-99.(I)(1) K&L Gates LLP State Street Financial Center One Lincoln Street Boston, MA 02111-2950 T 617.261.3100 www.klgates.com August 13, 2018 Highland Global Allocation Fund c/o Highland Capital Management Fund Advisors, L.P. 200 Crescent Court, Suite 700 Dallas, Texas 75201 Ladies and Gentlemen: We have acted as counsel to Highland Global Allocation Fund, a b |
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| August 14, 2018 |
As filed with the Securities and Exchange Commission on August 14, 2018 N-1A 1 d587629dn1a.htm FORM N-1A Table of Contents As filed with the Securities and Exchange Commission on August 14, 2018 Securities Act of 1933 Registration No. [ ] Investment Company Act of 1940 Registration No. 811-23369 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. [ ] ☐ P |
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| August 14, 2018 |
EX-99.(G)(1) 11 d587629dex99g1.htm EX-99.(G)(1) Exhibit (g)(1) MASTER CUSTODIAN AGREEMENT This Agreement is made as of October 1, 2012 by and among each management investment company identified on Appendix A and Appendix B hereto (each such investment company and each management investment company made subject to this Agreement in accordance with Section 19.5 below, shall hereinafter be referred t |
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| August 14, 2018 |
EX-99.(A)(2) 3 d587629dex99a2.htm EX-99.(A)(2) AMENDMENT TO THE AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF HIGHLAND GLOBAL ALLOCATION FUND II To the Secretary of State of Commonwealth of Massachusetts It is hereby stated that: 1. This document constitutes an amendment to the Amended and Restated Agreement and Declaration of Trust (hereinafter called the “Declaration of Trust”) of H |
