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| CIK | 1354917 |
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 Funds I - NexPoint Event Drivn USD Cls A
SEC Filings (Chronological Order)
Această pagină oferă o listă completă, cronologică, a dosarelor SEC, cu excepția dosarelor de proprietate pe care le oferim în altă parte.
| June 23, 2025 |
CORRESP June 23, 2025 VIA EDGAR Cal Gilmartin 617-951-9103 [email protected] Lisa Larkin Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: NexPoint Credit Catalyst Fund File Nos. 333-132400; 811-21866 Dear Ms. Larkin: On behalf of the NexPoint Credit Catalyst Fund (the “Fund”), a series of NexPoint Funds I (the “Trust”) we hereby transmit for filing with the U.S. |
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| August 15, 2023 |
INVESTMENT PORTFOLIO (unaudited) As of March 31, 2023 NexPoint Event Driven Fund Shares Value ($) Common Stock — 63. |
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| August 15, 2023 |
INVESTMENT PORTFOLIO (unaudited) As of September 30, 2022 NexPoint Event Driven Fund Shares Value ($) Common Stock — 100. |
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| August 15, 2023 |
Foreign Domiciled Senior Loans Industry Concentration Table: (% of Net Assets) INVESTMENT PORTFOLIO (unaudited) As of September 30, 2022 Highland/iBoxx Senior Loan ETF Principal Amount ($) Value ($) US Senior Loans (a) — 88. |
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| August 15, 2023 |
INVESTMENT PORTFOLIO (unaudited) As of March 31, 2023 NexPoint Event Driven Fund Shares Value ($) Common Stock — 63. |
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| August 15, 2023 |
INVESTMENT PORTFOLIO (unaudited) As of September 30, 2022 NexPoint Event Driven Fund Shares Value ($) Common Stock — 100. |
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| August 15, 2023 |
Foreign Domiciled Senior Loans Industry Concentration Table: (% of Net Assets) INVESTMENT PORTFOLIO (unaudited) As of March 31, 2023 Highland/iBoxx Senior Loan ETF Principal Amount ($) Value ($) US Senior Loans (a) — 72. |
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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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| February 2, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 2, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 22)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| January 10, 2022 |
January 10, 2022 VIA EDGAR Lisa Larkin Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Jon-Luc Dupuy 617-261-3146 jon-luc. |
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| December 13, 2021 |
DEF 14A 1 d264476ddef14a.htm NEXPOINT EVENT DRIVEN 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 |
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| December 1, 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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| November 3, 2021 |
November 3, 2021 VIA EDGAR AND EMAIL U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Christina DiAngelo Fettig Re: Highland Funds I (File No. 811-21866), Highland Income Fund (File No. 811-23268), NexPoint Real Estate Strategies Fund (File No. 811-23129), and NexPoint Strategic Opportunities Fund (File No. 811-21869 |
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| June 1, 2021 |
INVESTMENT PORTFOLIO (unaudited) As of March 31, 2021 Highland Healthcare Opportunities Fund Shares Value ($) Common Stocks — 96. |
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| June 1, 2021 |
Foreign Domiciled Senior Loans Industry Concentration Table: (% of Net Assets) INVESTMENT PORTFOLIO (unaudited) As of March 31, 2021 Highland/iBoxx Senior Loan ETF Principal Amount ($) Value ($) US Senior Loans (a) — 82. |
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| June 1, 2021 |
INVESTMENT PORTFOLIO (unaudited) As of March 31, 2021 Highland Healthcare Opportunities Fund Shares Value ($) Common Stocks — 96. |
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| January 22, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 21)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| January 22, 2021 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 19, 2021 |
Consent of Former Independent Registered Public Accounting Firm is filed herein. EX-99.(14)(B) 5 d34534dex9914b.htm CONSENT OF FORMER INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF FORMER INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of Highland Funds I, of our report dated November 27, 2019, relating to the financial statements and financial highlights of Highland Sociall |
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| January 19, 2021 |
Consent of Independent Registered Public Accounting Firm is filed herein. 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-14 of our reports dated August 31, 2020 and November 30, 2020, relating to the financial statements and financial highlights of NexPoint Merger Arbitrage Fund (formerly Highland Merger Arbitrage Fund) and Highland Socially Responsible Equity Fund for the years ended June 30, 2020 and September 30, 2020, respectively, and to the reference to our firm under the heading “Financial Highlights” in the Proxy Statement/Prospectus. |
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| January 19, 2021 |
Form of Opinion of counsel regarding tax consequences of the Reorganization is filed herein. EX-99.(12) 3 d34534dex9912.htm FORM OF OPINION OF COUNSEL FORM OF TAX OPINION [ ], 2020 Highland Funds I 300 Crescent Court, Suite 700 Dallas, TX 75201 Re: Reorganization of a Series of a Delaware Statutory Trust and a Series of a Massachusetts Business Trust Ladies and Gentlemen: Highland Funds I, a Delaware statutory trust (in this capacity, “Acquiring Fund Registrant”), on behalf of its series, |
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| January 19, 2021 |
Powers of Attorney are filed herein. HIGHLAND FUNDS I POWER OF ATTORNEY Highland Funds I and the undersigned Trustee constitutes and appoints each of Frank Waterhouse, Dave Klos, Dustin Norris and Lauren Thedford (with full power to any one of them to act) as attorney-in-fact and agent, in all capacities, to execute and to file any of the documents that said attorneys and agents may deem necessary or advisable to enable the Trust to comply with or register any security issued by the Trust under the Securities Act of 1933, as amended, and/or the Investment Company Act of 1940, as amended, and any rules, regulations, orders or other requirements of the U. |
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| January 19, 2021 |
Opinion and consent of counsel January 15, 2021 Highland Funds I 300 Crescent Court Suite 700 Dallas, TX 75201 Ladies and Gentlemen: We have acted as counsel to Highland Funds I, a Delaware statutory trust (in this capacity, the “Acquiring Fund Registrant”), on behalf of its series, NexPoint Merger Arbitrage Fund (the “Acquiring Fund”), in connection with the filing with the Securities and Exchang |
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| January 19, 2021 |
N-14/A 1 d34534dn14a.htm HIGHLAND FUNDS I Table of Contents File No. 333-249778 As filed with the SEC on January 15, 2021 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 3 Post-Effective Amendment No. (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in |
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| January 15, 2021 |
Consent of Independent Registered Public Accounting Firm is filed herein. EX-99.(14)(A) 4 d34534dex9914a.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-14 of our reports dated August 31, 2020 and November 30, 2020, relating to the financial statements and financial highlights of NexPoint Merger Arbitrage Fund |
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| January 15, 2021 |
Highland Funds I Table of Contents File No. 333-249778 As filed with the SEC on January 15, 2021 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 2 Post-Effective Amendment No. (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in Charter) 1-877-665-1287 ( |
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| January 15, 2021 |
HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 January 15, 2021 VIA EDGAR Division of Investment Management U. |
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| January 15, 2021 |
Powers of Attorney are filed herein. HIGHLAND FUNDS I POWER OF ATTORNEY Highland Funds I and the undersigned Trustee constitutes and appoints each of Frank Waterhouse, Dave Klos, Dustin Norris and Lauren Thedford (with full power to any one of them to act) as attorney-in-fact and agent, in all capacities, to execute and to file any of the documents that said attorneys and agents may deem necessary or advisable to enable the Trust to comply with or register any security issued by the Trust under the Securities Act of 1933, as amended, and/or the Investment Company Act of 1940, as amended, and any rules, regulations, orders or other requirements of the U. |
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| January 15, 2021 |
Consent of Former Independent Registered Public Accounting Firm is filed herein. EX-99.(14)(B) 5 d34534dex9914b.htm CONSENT OF FORMER INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF FORMER INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of Highland Funds I, of our report dated November 27, 2019, relating to the financial statements and financial highlights of Highland Sociall |
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| January 15, 2021 |
January 15, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| January 15, 2021 |
HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 January 15, 2021 VIA EDGAR Division of Investment Management U. |
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| January 15, 2021 |
Opinion and consent of counsel January 15, 2021 Highland Funds I 300 Crescent Court Suite 700 Dallas, TX 75201 Ladies and Gentlemen: We have acted as counsel to Highland Funds I, a Delaware statutory trust (in this capacity, the “Acquiring Fund Registrant”), on behalf of its series, NexPoint Merger Arbitrage Fund (the “Acquiring Fund”), in connection with the filing with the Securities and Exchang |
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| January 15, 2021 |
Form of Opinion of counsel regarding tax consequences of the Reorganization is filed herein. Form of Opinion of counsel FORM OF TAX OPINION [ ], 2020 Highland Funds I 300 Crescent Court, Suite 700 Dallas, TX 75201 Re: Reorganization of a Series of a Delaware Statutory Trust and a Series of a Massachusetts Business Trust Ladies and Gentlemen: Highland Funds I, a Delaware statutory trust (in this capacity, “Acquiring Fund Registrant”), on behalf of its series, NexPoint Merger Arbitrage Fund |
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| January 12, 2021 |
CORRESP 1 filename1.htm HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 January 12, 2021 VIA EDGAR Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-4720 Attn: Ryan Sutcliffe Re: Highland Funds I (File No. 333-249778) Pre-Effective Amendment No. 1 to Registration Statement on Form N-14 Dear Mr. Sutcliffe: Pursuant |
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| January 12, 2021 |
January 12, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| January 12, 2021 |
N-14/A 1 d34534dn14a.htm HIGHLAND FUNDS I Table of Contents File No. 333-249778 As filed with the SEC on January 12, 2021 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 1 Post-Effective Amendment No. (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in |
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| January 12, 2021 |
Powers of Attorney are filed herein. Powers of Attorney HIGHLAND FUNDS I POWER OF ATTORNEY Highland Funds I and the undersigned Trustee constitutes and appoints each of Frank Waterhouse, Dave Klos, Dustin Norris and Lauren Thedford (with full power to any one of them to act) as attorney-in-fact and agent, in all capacities, to execute and to file any of the documents that said attorneys and agents may deem necessary or advisable to enable the Trust to comply with or register any security issued by the Trust under the Securities Act of 1933, as amended, and/or the Investment Company Act of 1940, as amended, and any rules, regulations, orders or other requirements of the U. |
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| January 12, 2021 |
Consent of Independent Registered Public Accounting Firm is filed herein. 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-14 of our reports dated August 31, 2020 and November 30, 2020, relating to the financial statements and financial highlights of NexPoint Merger Arbitrage Fund (formerly Highland Merger Arbitrage Fund) and Highland Socially Responsible Equity Fund for the years ended June 30, 2020 and September 30, 2020, respectively, and to the reference to our firm under the heading “Financial Highlights” in the Proxy Statement/Prospectus. |
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| January 12, 2021 |
EX-99.(11) 2 d34534dex9911.htm OPINION AND CONSENT OF COUNSEL January 12, 2021 Highland Funds I 300 Crescent Court Suite 700 Dallas, TX 75201 Ladies and Gentlemen: We have acted as counsel to Highland Funds I, a Delaware statutory trust (in this capacity, the “Acquiring Fund Registrant”), on behalf of its series, NexPoint Merger Arbitrage Fund (the “Acquiring Fund”), in connection with the filing |
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| January 12, 2021 |
Form of Opinion of counsel regarding tax consequences of the Reorganization is filed herein. Form of Opinion of counsel FORM OF TAX OPINION [ ], 2020 Highland Funds I 300 Crescent Court, Suite 700 Dallas, TX 75201 Re: Reorganization of a Series of a Delaware Statutory Trust and a Series of a Massachusetts Business Trust Ladies and Gentlemen: Highland Funds I, a Delaware statutory trust (in this capacity, “Acquiring Fund Registrant”), on behalf of its series, NexPoint Merger Arbitrage Fund |
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| January 8, 2021 |
January 8, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, DC 20549 Attention: Ryan Sutcliffe Re: Highland Funds I N-14 (File No. 333-249778) Mr. Sutcliffe: This letter responds to additional comments provided by Mr. Sutcliffe to K&L Gates LLP, fund counsel to Highland Funds I (?HFI? or the ?Regis |
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| December 29, 2020 |
December 29, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, DC 20549 Attention: Lauren Hamilton and Ryan Sutcliffe Re: Highland Funds I N-14 (File No. 333-249778) Ms. Hamilton and Mr. Sutcliffe: This letter responds to comments provided by Mr. Sandoval and Mr. Sutcliffe to K&L Gates LLP, fund cou |
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| December 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| December 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 20)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) November 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| November 30, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2020 Highland Healthcare Opportunities Fund Shares Value ($) Common Stocks — 98. |
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| November 30, 2020 |
Foreign Domiciled Senior Loans Industry Concentration Table: (% of Net Assets) HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2020 Highland/iBoxx Senior Loan ETF Principal Amount ($) Value ($) US Senior Loans (a) — 84. |
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| November 30, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2020 Highland Healthcare Opportunities Fund Shares Value ($) Common Stocks — 98. |
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| November 30, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2020 Highland Healthcare Opportunities Fund Shares Value ($) Common Stocks — 98. |
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| November 27, 2020 |
Highland Funds I HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 November 27, 2020 VIA EDGAR U. |
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| October 30, 2020 |
SEC Cover Letter October 30, 2020 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| October 30, 2020 |
Powers of Attorney are filed herein. Powers of Attorney HIGHLAND FUNDS I POWER OF ATTORNEY Highland Funds I and the undersigned Trustee constitutes and appoints each of Frank Waterhouse, Dave Klos, Dustin Norris and Lauren Thedford (with full power to any one of them to act) as attorney-in-fact and agent, in all capacities, to execute and to file any of the documents that said attorneys and agents may deem necessary or advisable to enable the Trust to comply with or register any security issued by the Trust under the Securities Act of 1933, as amended, and/or the Investment Company Act of 1940, as amended, and any rules, regulations, orders or other requirements of the U. |
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| October 30, 2020 |
Form of Opinion of counsel regarding tax consequences of the Reorganization is filed herein. Form of Opinion of counsel FORM OF TAX OPINION [ ], 2020 Highland Funds I 300 Crescent Court, Suite 700 Dallas, TX 75201 Re: Reorganization of a Series of a Delaware Statutory Trust and a Series of a Massachusetts Business Trust Ladies and Gentlemen: Highland Funds I, a Delaware statutory trust (in this capacity, “Acquiring Fund Registrant”), on behalf of its series, NexPoint Merger Arbitrage Fund |
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| October 30, 2020 |
Highland Funds I Table of Contents File No. As filed with the SEC on October 30, 2020 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. ☐ Post-Effective Amendment No. ☐ (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in Charter) 1-877-665-1287 (Area Code |
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| October 30, 2020 |
Consent of Independent Registered Public Accounting Firm is filed herein. 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-14 of our report dated August 31, 2020, relating to the financial statements and financial highlights of NexPoint Merger Arbitrage Fund (formerly Highland Merger Arbitrage Fund), for the year ended June 30, 2020, and to the reference to our firm under the heading “Financial Highlights” in the Proxy Statement/Prospectus. |
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| October 30, 2020 |
Opinion and consent of counsel October 30, 2020 Highland Funds I 300 Crescent Court Suite 700 Dallas, TX 75201 Ladies and Gentlemen: We have acted as counsel to Highland Funds I, a Delaware statutory trust (in this capacity, the “Acquiring Fund Registrant”), on behalf of its series, NexPoint Merger Arbitrage Fund (the “Acquiring Fund”), in connection with the filing with the Securities and Exchang |
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| October 6, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| October 6, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 19)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) September 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
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| September 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| September 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 18)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) August 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| August 7, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 17)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) July 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| August 7, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| June 15, 2020 |
Highland Funds I HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 June 15, 2020 VIA EDGAR Division of Investment Management U. |
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| June 12, 2020 |
Highland Funds I June 12, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, DC 20549 Attention: Lauren Hamilton and Ryan Sutcliffe Re: Highland Funds I N-14/A (File No. 333-235285) Ms. Hamilton and Mr. Sutcliffe: This letter responds to comments given by you to K&L Gates LLP, fund counsel to Highlan |
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| June 10, 2020 |
Highland Funds I June 10, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, DC 20549 Attention: Lauren Hamilton and Ryan Sutcliffe Re: Highland Funds I N-14/A (File No. 333-235285) Ms. Hamilton and Mr. Sutcliffe: This letter responds to comments given by you to K&L Gates LLP, fund counsel to Highlan |
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| June 10, 2020 |
Highland Funds I HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 June 10, 2020 VIA EDGAR U. |
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| June 5, 2020 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 16)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) May 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate |
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| June 5, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| June 1, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2020 Highland Opportunistic Credit Fund Principal Amount ($) Value ($) U. |
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| June 1, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2020 Highland Long/Short Equity Fund Shares Value ($) Common Stocks — 83. |
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| June 1, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2020 Highland Merger Arbitrage Fund Shares Value ($) Common Stocks — 81. |
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| June 1, 2020 |
Foreign Domiciled Senior Loans Industry Concentration Table: (% of Net Assets) HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2020 Highland/iBoxx Senior Loan ETF Principal Amount ($) Value ($) US Senior Loans (a) — 68. |
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| June 1, 2020 |
HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2020 Highland Healthcare Opportunities Fund Shares Value ($) Common Stocks — 90. |
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| May 21, 2020 |
Highland Funds I May 21, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, DC 20549 Attention: Lauren Hamilton and Ryan Sutcliffe Re: Highland Funds I N-14/A (File No. 333-235285) Ms. Hamilton and Mr. Sutcliffe: This letter responds to comments given by you to K&L Gates LLP, fund counsel to Highland |
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| May 21, 2020 |
SEC Cover Letter May 21, 2020 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| May 21, 2020 |
Consent of Independent Registered Public Accounting Firm is filed herein. 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-14 of Highland Funds I, of our report dated August 30, 2019, relating to the financial statements and financial highlights of Highland Merger Arbitrage Fund and the financial statements and financial highlights of Highland Long/Short Equity Fund, which appears in the Highland Funds I Annual Report on Form N-CSR for the year ended June 30, 2019. |
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| May 21, 2020 |
Form N-14/A Table of Contents File No. 333-235285 As filed with the SEC on May 21, 2020 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 3 Post-Effective Amendment No. (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in Charter) 1-877-665-1287 (Area Code |
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| May 1, 2020 |
May 1, 2020 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. Lauren Hamilton Re: Highland Funds I (File No. 811-21866) Ms. Hamilton: This letter responds to comments given by you to K&L Gates LLP, fund counsel to Highland Funds I (the "Trust") in telephone conversations |
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| March 13, 2020 |
SNLN / Highland/iBoxx Senior Loan ETF DEL AM - - HIGHLAND FUNDS I HIGHLAND FUNDS I HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 March 13, 2020 VIA EDGAR U. |
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| March 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| March 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 15)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) February 29, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 21, 2020 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 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-14 of Highland Funds I, of our report dated August 30, 2019, relating to the financial statements and financial highlights of Highland Merger Arbitrage Fund and the financial statements and financial highlights of Highland Long/Short Equity Fund, which appears in the Highland Funds I Annual Report on Form N-CSR for the year ended June 30, 2019. |
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| February 21, 2020 |
Form of Opinion of counsel FORM OF TAX OPINION [], 2020 Highland Funds I 300 Crescent Court, Suite 700 Dallas, TX 75201 Re: Reorganization of a Series of a Delaware Statutory Trust and a Series of the Same Delaware Statutory Trust Ladies and Gentlemen: Highland Funds I, a Delaware statutory trust (in this capacity, “Acquiring Fund Registrant”), on behalf of its series, Highland Merger Arbitrage Fu |
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| February 21, 2020 |
Opinion and consent of counsel February 21, 2020 Highland Funds I 300 Crescent Court Suite 700 Dallas, TX 75201 Ladies and Gentlemen: We have acted as counsel to Highland Funds I, a Delaware statutory trust (in this capacity, the “Acquiring Fund Registrant”), on behalf of its series, Highland Merger Arbitrage Fund (the “Acquiring Fund”), in connection with the filing with the Securities and Exchan |
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| February 21, 2020 |
Form N-14/A Table of Contents File No. 333-235285 As filed with the SEC on February 21, 2020 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 2 Post-Effective Amendment No. (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in Charter) 1-877-665-1287 (Area |
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| February 21, 2020 |
Highland Funds I February 21, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street, NE Washington, DC 20549 Attention: Lauren Hamilton and Ryan Sutcliffe Re: Highland Funds I N-14 (File No. 333-235285) Ms. Hamilton and Mr. Sutcliffe: This letter responds to comments given by you to SEI Investments Global Funds Service |
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| February 21, 2020 |
February 21, 2020 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| January 21, 2020 |
SNLN / Highland/iBoxx Senior Loan ETF DEL AM - - HIGHLAND FUNDS I HIGHLAND FUNDS I HIGHLAND FUNDS I 300 Crescent Court, Suite 700 Dallas, Texas 75201 January 21, 2020 VIA EDGAR U. |
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| January 8, 2020 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 14)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the approp |
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| January 8, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| December 23, 2019 |
SEC Cover Letter December 23, 2019 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| December 23, 2019 |
EX-99.(12) 3 d849125dex9912.htm FORM OF OPINION FORM OF TAX OPINION [ ], 2020 Highland Funds I 300 Crescent Court, Suite 700 Dallas, TX 75201 Re: Reorganization of a Series of a Delaware Statutory Trust and a Series of the Same Delaware Statutory Trust Ladies and Gentlemen: Highland Funds I, a Delaware statutory trust (in this capacity, “Acquiring Fund Registrant”), on behalf of its series, Highla |
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| December 23, 2019 |
Opinion and consent of counsel December 23, 2019 Highland Funds I 300 Crescent Court Suite 700 Dallas, TX 75201 Ladies and Gentlemen: We have acted as counsel to Highland Funds I, a Delaware statutory trust (in this capacity, the “Acquiring Fund Registrant”), on behalf of its series, Highland Merger Arbitrage Fund (the “Acquiring Fund”), in connection with the filing with the Securities and Exchan |
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| December 23, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 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-14 of Highland Funds I, of our report dated August 30, 2019, relating to the financial statements and financial highlights of Highland Merger Arbitrage Fund and the financial statements and financial highlights of Highland Long/Short Equity Fund, which appears in the Highland Funds I Annual Report on Form N-CSR for the year ended June 30, 2019. |
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| December 23, 2019 |
Form N-14/A Table of Contents File No. 333-235285 As filed with the SEC on December 23, 2019 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 1 ☐ Post-Effective Amendment No. ☐ (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in Charter) 1-877-665-1287 ( |
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| December 23, 2019 |
HIGHLAND FUNDS I Action by Written Consent of the Board of Trustees Powers of Attorney HIGHLAND FUNDS I Action by Written Consent of the Board of Trustees The undersigned trustees of Highland Funds I (the “Trust”) hereby appoint Frank Waterhouse, Clifford Stoops, Dustin Norris and Lauren Thedford (with full power to any one of them to act) as attorney-in-fact and agent, in all capacities, to execute and to file any of the documents that said attorneys and agents may deem necessary or advisable to enable the Trust to comply with or register any security issued by the Trust under the Securities Act of 1933, as amended, and/or the Investment Company Act of 1940, as amended, and any rules, regulations, orders or other requirements of the U. |
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| November 27, 2019 |
November 26, 2019 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| November 27, 2019 |
SNLN / Highland/iBoxx Senior Loan ETF NPORT-EX - - SCHEDULE F HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2019 Highland/iBoxx Senior Loan ETF Principal Amount ($) Value ($) US Senior Loans (a) — 83. |
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| November 27, 2019 |
HMEAX / Highland Merger Arbitrage Fund NPORT-EX - - SCHEDULE F HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2019 Highland Opportunistic Credit Fund Principal Amount ($) Value ($) U. |
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| November 27, 2019 |
HIGHLAND FUNDS I File No. As filed with the SEC on November 26, 2019 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. ☐ Post-Effective Amendment No. ☐ (Check appropriate box or boxes) HIGHLAND FUNDS I (Exact Name of Registrant as Specified in Charter) 1-877-665-1287 (Area Code and Telephone Nu |
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| November 27, 2019 |
EX-99.(12) 3 d837301dex9912.htm FORM OF OPINION OF COUNSEL FORM OF TAX OPINION [ ], 2020 Highland Funds I 300 Crescent Court, Suite 700 Dallas, TX 75201 Re: Reorganization of a Series of a Delaware Statutory Trust and a Series of the Same Delaware Statutory Trust Ladies and Gentlemen: Highland Funds I, a Delaware statutory trust (in this capacity, “Acquiring Fund Registrant”), on behalf of its ser |
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| November 27, 2019 |
HNRAX / Highland Opportunistic Credit Fund NPORT-EX - - SCHEDULE F HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2019 Highland Opportunistic Credit Fund Principal Amount ($) Value ($) U. |
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| November 27, 2019 |
HHCAX / Highland Long/Short Healthcare Fund NPORT-EX - - SCHEDULE F HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2019 Highland Long/Short Healthcare Fund Shares Value ($) Common Stocks — 73. |
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| November 27, 2019 |
Opinion and consent of counsel November 26, 2019 Highland Funds I 300 Crescent Court Suite 700 Dallas, TX 75201 Ladies and Gentlemen: We have acted as counsel to Highland Funds I, a Delaware statutory trust (in this capacity, the “Acquiring Fund Registrant”), on behalf of its series, Highland Merger Arbitrage Fund (the “Acquiring Fund”), in connection with the filing with the Securities and Exchan |
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| November 27, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of Highland Funds I, of our report dated August 30, 2019, relating to the financial statements and financial highlights of Highland Merger Arbitrage Fund and the financial statements and financial highlights of Highland Long/Short Equity Fund, which appears in the Highland Funds I Annual Report on Form N-CSR for the year ended June 30, 2019. |
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| November 27, 2019 |
HEOZX / Highland Long/Short Equity Fund NPORT-EX - - SCHEDULE F HTML INVESTMENT PORTFOLIO (unaudited) As of September 30, 2019 Highland Long/Short Equity Fund Shares Value ($) Common Stocks — 121. |
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| October 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| October 10, 2019 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 13)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) September 30, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appro |
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| September 10, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) August 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| September 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| August 9, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) July 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| August 9, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| June 10, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) May 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| June 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| May 30, 2019 |
Highland Funds I NPORT-EX - - PART F HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2019 Highland Opportunistic Credit Fund Principal Amount ($) Value ($) U. |
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| May 30, 2019 |
Highland Funds I NPORT-EX - - PART F HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2019 Highland Merger Arbitrage Shares Value ($) Common Stocks — 111. |
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| May 30, 2019 |
Highland Funds I NPORT-EX - - PART F HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2019 Highland Long/Short Equity Fund Shares Value ($) Common Stocks — 120. |
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| May 30, 2019 |
Highland Funds I NPORT-EX - - NOTES HTML NOTES TO INVESTMENT PORTFOLIO (unaudited) As of March 31, 2019 Highland Funds I Organization Highland Funds I (the “Trust”) was organized as a Delaware statutory trust on February 28, 2006. |
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| May 30, 2019 |
Highland Funds I NPORT-EX - - PART F HTML INVESTMENT PORTFOLIO (unaudited) As of March 31, 2019 Highland/iBoxx Senior Loan ETF Principal Amount ($) Value ($) US Senior Loans (a) — 69. |
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| May 10, 2019 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) April 30, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriat |
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| May 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| March 8, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| March 8, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) February 28, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| January 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 10, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| November 28, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Frank Waterhouse, certify that: 1. |
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| November 28, 2018 |
Highland Funds I FORM N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 d651863dnq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)( |
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| September 13, 2018 |
Form NT-NCEN UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 811-21866 CUSIP NUMBER 430070201 430070300 430070409 430101808 430101881 430101873 430101667 430101659 430101642 430101766 430101758 430101741 430101774 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☒ Form N-CEN ☐ Form N-CSR For Per |
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| September 10, 2018 |
Form NT-NCSR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 811-21866 CUSIP NUMBER 430070201 430070300 430070409 430101808 430101881 430101873 430101667 430101659 430101642 430101766 430101758 430101741 430101774 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☒ Form N-CSR For Per |
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| May 29, 2018 |
Highland Funds I FORM N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 d573972dnq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)( |
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| May 29, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Frank Waterhouse, certify that: 1. |
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| January 16, 2018 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 16, 2018 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2017 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| December 4, 2017 |
SEC Transmittal Letter December 4, 2017 Kathleen Nichols T +1 617 854 2418 Kathleen. |
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| November 28, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Brad Ross, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| November 28, 2017 |
N-Q 1 d490619dnq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)( |
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| September 25, 2017 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM September 25, 2017 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Highland Funds I (the ?Registrant?) Post-Effective Amendment No. 83 to Registration Statement on Form N-1A (File Nos. 333-132400 and 811-21866) Ladies and Gentlemen: Transmitted herewith for filing by |
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| August 29, 2017 |
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT This Amended and Restated Investment Advisory Agreement (the Agreement) made June 5, 2017, by and between Highland CapitalManagement Fund Advisors, L. |
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| August 29, 2017 |
Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Highland Funds I: In planning and performing our audits of the financial statements of Highland Long/Short Equity Fund, Highland Long/Short Healthcare Fund, Highland Floating Rate Opportunities Fund, Highland Merger Arbitrage Fund, and Highland Opportunistic Credit Fund (collectively, the Funds), e |
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| August 29, 2017 |
EXHIBIT 77C: Submission of Proposals to a Vote of Shareholders A special meeting of shareholders of Highland Opportunistic Credit Fund (the Selling Fund), a series of Highland Funds I (HFI) was held on February 7, 2017. |
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| May 24, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Brad Ross, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| May 24, 2017 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| May 24, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Brad Ross, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| May 24, 2017 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| January 13, 2017 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 13, 2017 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2016 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| November 22, 2016 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| November 22, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Brad Ross, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| November 10, 2016 |
November 10, 2016 VIA EDGAR CORRESPONDENCE Mr. David Manion Staff Accountant U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Highland Funds I (the ?Trust?) (Registration Nos. 333-132400 and 811-21866) Certified Shareholder Reports on Form N-CSR Filed on September 1, 2016 (Accession No. 0001193125-16-699271), Pursuant to Rule 30b2-1 under the Investment Company A |
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| September 27, 2016 |
Form 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. 001-35709 Highland Funds I NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 200 Crescent Court, Suite 700, Dall |
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| September 27, 2016 |
Form 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Highland Funds I (Exact name of registrant as specified in its charter) State of Delaware listed below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Id |
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| May 27, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Brad Ross, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
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| May 27, 2016 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| May 12, 2016 |
SEC Letter ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| April 18, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on April 29, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 18, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on April 29, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 18, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on April 29, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| January 14, 2016 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2015 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| January 14, 2016 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 24, 2015 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| November 24, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| May 29, 2015 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| May 29, 2015 |
Form 8-A12B UNITED STATES 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 Funds I (Exact Name of Registrant as Specified in Its Charter) Delaware (See Below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 200 Crescent |
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| May 29, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| May 27, 2015 | ||
| May 1, 2015 | ||
| April 10, 2015 |
1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| March 2, 2015 |
March 2, 2015 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review and Accounting Attention: Jeff Long, Staff Accountant 100 F Street, N.E. Washington, DC 20549 Re: Highland Special Situations Fund (File No. 811-21769) Highland Funds I (File Nos. 333-132400 and 811-21866) Highland Funds II (File Nos. 033-51308 and 811-07142) Dear Mr. Long: On behal |
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| February 3, 2015 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 3, 2015 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| January 20, 2015 |
SEC Letter 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| November 28, 2014 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| November 28, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| October 10, 2014 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| October 10, 2014 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) September 30, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| June 26, 2014 |
SEC Letter June 26, 2014 VIA EDGAR CORRESPONDENCE Mr. Larry Greene Securities and Exchange Commission Division of Investment Management 100 F. Street, N.E. Washington, DC 20549 Re: Highland Funds I (“Registrant”) (File Nos. 333-132400 and 811-21866) Dear Mr. Greene: By letter dated June 9, 2014, the Registrant responded to comments of the staff (the “Staff”) of the Securities and Exchange Commissi |
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| June 9, 2014 |
SEC LETTER June 9, 2014 VIA EDGAR CORRESPONDENCE Mr. Larry Greene Securities and Exchange Commission Division of Investment Management 100 F. Street, N.E. Washington, DC 20549 Re: Highland Funds I (“Registrant”) (File Nos. 333-132400 and 811-21866) Dear Mr. Greene: On May 5, 2014, Larry Greene of the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) provided oral comments t |
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| May 30, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| May 30, 2014 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Ca |
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| March 21, 2014 |
SEC Transmittal Letter March 21, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, N. |
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| March 3, 2014 |
HIGHLAND FUNDS I HIGHLAND FUNDS II NEXPOINT CREDIT STRATEGIES FUND RESULTS OF SHAREHOLDER PROXY Rule 30e-1 under the Investment Company Act of 1940, as amended, titled "Reports to Stockholders of Management Companies," requires registered management companies to report on all subject matters put to the vote of shareholders and provide final results. |
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| February 13, 2014 |
EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of common stock, of Highlands Fund 1, is being filed, and all amendments thereto will be filed, on behalf of each of the |
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| February 13, 2014 |
SNLN / Highland/iBoxx Senior Loan ETF / TD ASSET MANAGEMENT INC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Highland Funds 1 (Name of Issuer) Common Stock (Title of Class of Securities) 430101774 (CUSIP Number) December 31st, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 10, 2014 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 10, 2014 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) January 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| January 8, 2014 |
SNLN / Highland/iBoxx Senior Loan ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Highland/iBoxx Senior Loan ETF - (Name of Issuer) Common - (Title of Class of Securities) 430101774 - (CUSIP Number) December 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| January 8, 2014 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 29, 2013 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Zip code) Highland Capital Man |
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| November 29, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| November 8, 2013 |
- DEFINITIVE PROXY STATEMENT - HIGHLAND FUNDS I Definitive Proxy Statement - Highland Funds I 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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| May 29, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I (formerly, Pyxis Funds I); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statem |
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| May 29, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q N-Q 1 d542123dnq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices) (Zip |
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| May 29, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21866 HIGHLAND FUNDS I (formerly Pyxis Funds I) (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices)(Z |
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| May 29, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
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| April 16, 2013 |
SNLN / Highland/iBoxx Senior Loan ETF / TD ASSET MANAGEMENT INC - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Highland Funds I (Name of Issuer) Common Stock (Title of Class of Securities) 430101774 (CUSIP Number) April 10th, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| November 28, 2012 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Ethan Powell, certify that: 1. I have reviewed this report on Form N-Q of Pyxis Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| November 28, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q PYXIS FUNDS I N-Q Pyxis Funds I UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21866 Pyxis Funds I (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices) (Zip code) Pyxis |
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| October 19, 2012 |
Form 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Pyxis Funds I (Exact Name of Registrant as Specified in Its Charter) Delaware See Below (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 200 Crescent Court, |
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| October 18, 2012 |
Correspondence Letter ROPES & GRAY LLP 1211 AVENUE OF THE AMERICAS NEW YORK, NY 10036-8704 WWW. |
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| October 15, 2012 |
Response Letter ROPES & GRAY LLP 1211 AVENUE OF THE AMERICAS NEW YORK, NY 10036-8704 WWW. |
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| September 21, 2012 |
Correspondence Letter ROPES & GRAY LLP 1211 AVENUE OF THE AMERICAS NEW YORK, NY 10036-8704 WWW. |
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| July 3, 2012 |
Transmittal Letter ROPES & GRAY LLP ONE METRO CENTER 700 12TH STREET, NW, SUITE 900 WASHINGTON, DC 20005-3948 WWW. |
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| May 30, 2012 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, R. |
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| May 30, 2012 |
Quarterly Schedule of Portfolio Holdings - PYXIS FUNDS I UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21866 Pyxis Funds I (formerly, Highland Funds I) (Exact name of registrant as specified in charter) 200 Crescent Court Suite 700 Dallas, Texas 75201 (Address of principal executive offices) (Zip |
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| May 18, 2012 |
begin 644 filename1.pdf M)5!$1BTQ+C4-)>+CS],-"C$Q,R`P(&]B:@T\/"],:6YE87)I>F5D(#$O3"`Y M,C`V-2]/(#$Q-2]%(#$V,3,V+TX@,C4O5"`Y,38Q,"]((%L@-#8T(#(W,5T^ M/@UE;F1O8FH-("`@("`@("`@("`@("`@#0HQ,C`@,"!O8FH-/#PO1&5C;V1E M4&%R;7,\/"]#;VQU;6YS(#0O4')E9&EC=&]R(#$R/CXO1FEL=&5R+T9L871E M1&5C;V1E+TE$6SPR-T(R-3(S,#$P0C5&-D8X13%LQ,3,@ M,31=+TEN9F\@,3$R(#`@4B],96YG=&@@-34O4')E=B`Y,38Q,2]2;V]T(#$Q M-"`P(%(O4VEZ92`Q,C |
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| November 23, 2011 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act exv99wcert Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, R. Joseph Dougherty, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in |
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| November 23, 2011 |
nvq UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21866 Highland Funds I (Exact name of registrant as specified in charter) NexBank Tower 13455 Noel Road, Suite 800 Dallas, Texas 75240 (Address of principal executive offices) (Zip code) R. J |
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| November 2, 2011 | ||
| October 3, 2011 | ||
| August 15, 2011 |
corresp August 15, 2011 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549-4720 Attention: Jean E. Minarick, Esq. Re: Highland Capital Management, L.P., Highland Funds Asset Management, L.P., Highland Funds I, and Highland Funds II (the “Applicants”) File No. 812-13890 Dear Ms. Minarick: On behalf of the Applicants, we are fi |
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| July 27, 2011 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM cover ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| June 13, 2011 |
corresp June 13, 2011 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| May 26, 2011 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act exv99wcert Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, R. Joseph Dougherty, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in |
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| May 26, 2011 |
nvq UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21866 Highland Funds I (Exact name of registrant as specified in charter) NexBank Tower 13455 Noel Road, Suite 800 Dallas, Texas 75240 (Address of principal executive offices) (Zip code) R. J |
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| May 12, 2011 |
defa14a SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement þ Definitive Additional Materials o Soliciting Material Under Rule 14a-12 Highland Funds I (Name of Registrant as Specified in Its Charter) (Name of Person(s) Filing Proxy Statement, if Other Than the Registrant) Payment of Filing Fee (Check the appropriate box): þ No fee required. |
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| May 12, 2011 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement þ Definitive Additional Materials o Soliciting Material Under Rule 14a-12 Highland Funds I (Name of Registrant as Specified in Its Charter) (Name of Person(s) Filing Proxy Statement, if Other Than the Registrant) Payment of Filing Fee (Check the appropriate box): þ No fee required. |
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| April 15, 2011 |
April 15, 2011 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| April 15, 2011 |
Sincerely, /s/ Jessica Reece Jessica Reece, Esq. cover April 15, 2011 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Dominic Minore and Kevin Rupert Re: Registration Statement on Form N-14 of Highland Funds I (the “Registrant”) (file no. |
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| March 4, 2011 |
exv99w16 Exhibit 16 POWER OF ATTORNEY HIGHLAND FUNDS I, a Delaware statutory trust (the “Trust”), and each of its undersigned officers and trustees hereby nominates, constitutes and appoints R. |
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| March 4, 2011 |
exv99w17wd Exhibit 17(d) Statement of Additional Information Dated October 31, 2010 HIGHLAND FLOATING RATE FUND Class A, Class B, Class C and Class Z Shares NexBank Tower, 13455 Noel Road, Suite 800, Dallas, Texas 75240 (877) 665-1287 This Statement of Additional Information (“SAI”) is not a prospectus but provides additional information that should be read in conjunction with the Fund’s Class A, Class B and Class C Shares Prospectus and Class Z Shares Prospectus, each dated October 31, 2010, and any supplements thereto. |
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| March 4, 2011 |
exv99w17wc Exhibit 17(c) Statement of Additional Information Dated October 31, 2010 HIGHLAND FLOATING RATE ADVANTAGE FUND Class A, Class B, Class C and Class Z Shares NexBank Tower, 13455 Noel Road, Suite 800, Dallas, Texas 75240 (877) 665-1287 This Statement of Additional Information (“SAI”) is not a prospectus but provides additional information that should be read in conjunction with the Fund’s Class A, Class B and Class C Shares Prospectus and Class Z Shares Prospectus, each dated October 31, 2010, and any supplements thereto. |
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| March 4, 2011 |
exv99w13wb Exhibit 13(b) FORM OF EXHIBIT A THIS REVISED EXHIBIT A, dated as of [ ], 2011, is Exhibit A to that certain Accounting Services Agreement dated as of December 4, 2006 between PNC Global Investment Servicing (U. |
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| March 4, 2011 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM exv99w14wb Exhibit 14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-14 of our report dated August 26, 2010, relating to the financial statements and financial highlights of Highland Floating Rate Fund, which appear in such Registration Statement. |
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| March 4, 2011 |
ROPES & GRAY LLP ONE INTERNATIONAL PLACE BOSTON, MA 02110-2624 WWW.ROPESGRAY.COM exv99w11 Exhibit (11) ROPES & GRAY LLP ONE INTERNATIONAL PLACE BOSTON, MA 02110-2624 WWW. |
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| March 4, 2011 |
Exhibit 7(b) FORM OF EXHIBIT A THIS REVISED EXHIBIT A, dated as of [ ], 2011, is Exhibit A to that certain Underwriting Services Agreement dated as of December 4, 2006 between PFPC Distributors, Inc. |
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| March 4, 2011 |
Sincerely, /s/ Adam Collicelli Adam Collicelli cover March 4, 2011 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Dominic Minore Re: Registration Statement on Form N-14 of Highland Funds I (the “Registrant”) Dear Mr. |
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| March 4, 2011 |
Table of Contents Exhibit 17(a) HIGHLAND FLOATING RATE ADVANTAGE FUND Supplement dated March 2, 2011 To Class A, B and C Shares Prospectus and Class Z Shares Prospectus, each dated October 31, 2010 Management?Portfolio Managers The section ?Management?Portfolio Managers? on pages 27-28 of the Class A, B and C Shares Prospectus and pages 23-24 of the Class Z Shares Prospectus is amended and restated as follows: Portfolio Manager The Fund?s portfolio is managed by Greg Stuecheli. |
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| March 4, 2011 |
exv99w17wf Exhibit (17)(f) Item 1. Reports to Stockholders. The Report to Shareholders is attached herewith. Highland Floating Rate Fund Annual Report June 30,2010 Highland Floating Rate Fund TABLE OF CONTENTS Portfolio Managers’ Letter 1 Fund Profile 3 Financial Statements 4 Investment Portfolio 5 Statement of Assets and Liabilities 12 Statement of Operations 13 Statements of Changes in Net Asset |
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| March 4, 2011 |
Exhibit 17(e) Item 1. Reports to Stockholders. The Report to Shareholders is attached herewith. Highland Floating Rate Advantage Fund TABLE OF CONTENTS Portfolio Managers? Letter 1 Fund Profile 3 Financial Statements 4 Investment Portfolio 5 Statement of Assets and Liabilities 12 Statement of Operations 13 Statements of Changes in Net Assets 14 Statement of Cash Flows 16 Financial Highlights 17 No |
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| March 4, 2011 |
exv99w13we Exhibit 13(e) FORM OF EXHIBIT A Portfolio Administration Fee Highland Long/Short Equity Fund 0. |
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| March 4, 2011 |
HIGHLAND FUNDS I CLASS A SHARES, CLASS B AND CLASS C SHARES FORM OF RULE 12b-1 DISTRIBUTION PLAN Exhibit 10(d) HIGHLAND FUNDS I CLASS A SHARES, CLASS B AND CLASS C SHARES FORM OF RULE 12b-1 DISTRIBUTION PLAN Highland Funds I, a Delaware statutory trust (the ?Trust?) that engages in business as an open-end management investment company and is registered as such under the Investment Company Act of 1940, as amended (the ?Act?), on behalf of its series listed on Exhibit A attached hereto and made |
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| March 4, 2011 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-14 of our report dated August 26, 2010, relating to the financial statements and financial highlights of Highland Floating Rate Advantage Fund, which appear in such Registration Statement. |
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| March 4, 2011 |
Exhibit 13(k) FORM OF EXHIBIT A THIS REVISED EXHIBIT A, dated as of [ ], 2011, is Exhibit A to that certain Transfer Agency Services Agreement dated as of December 4, 2006 between PNC Global Investment Servicing (U. |
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| March 4, 2011 |
exv99w9wb Exhibit 9(b) FORM OF EXHIBIT A THIS REVISED EXHIBIT A, dated as of [ ], 2011, is Exhibit A to that certain Custodian Services Agreement dated as of November 17, 2006 between PFPC Trust Company and Highland Funds I, as amended March 30, 2010. |
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| March 4, 2011 |
exv99w17wb Table of Contents Exhibit 17(b) HIGHLAND FLOATING RATE FUND Supplement dated March 2, 2011 To Class A, B and C Shares Prospectus and Class Z Share Prospectus, each dated October 31, 2010 Management—Portfolio Managers The section “Management—Portfolio Managers” on page 27 of the Class A, B and C Shares Prospectus and page 23 of the Class Z Shares Prospectus is amended and restated as follows: Portfolio Manager The Fund’s portfolio is managed by Greg Stuecheli. |
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| March 4, 2011 |
As filed with the Securities and Exchange Commission on March 4, 2011 nv14 Table of Contents As filed with the Securities and Exchange Commission on March 4, 2011 Registration No. |
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| March 4, 2011 |
HIGHLAND FUNDS I FORM OF RULE 18f-3 MULTI-CLASS PLAN exv99w10wh Exhibit 10(h) HIGHLAND FUNDS I FORM OF RULE 18f-3 MULTI-CLASS PLAN This Rule 18f-3 Multi-Class Plan (the “Multi-Class Plan”) is adopted pursuant to Rule 18f-3 under the Act to provide for the issuance and distribution of multiple classes of shares by the Trust on behalf its series listed on Exhibit A attached hereto and made a part hereof, as such Exhibit A may be amended from time to time, (each a “Fund”) in accordance with the terms, procedures and conditions set forth below. |
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| March 4, 2011 |
FORM OF INVESTMENT ADVISORY AGREEMENT exv99w6wg Exhibit (6)(g) FORM OF INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of [ ], 2011, by and between Highland Capital Management, L. |
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| March 4, 2011 |
Exhibit 13(g) FORM OF EXHIBIT A THIS REVISED EXHIBIT A, dated as of [ ], 2011, is Exhibit A to that certain Sub-Administration Services Agreement dated as of December 4, 2006 between PFPC Inc. |
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| February 25, 2011 |
February 24, 2011 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Highland Funds I (the “Registrant”) Post-Effective Amendment No. |
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| February 25, 2011 |
SUB-ITEM 77Q1 (E) INVESTMENT ADVISORY AGREEMENT AGREEMENT made as of May 6, 2010, by and between Highland Capital Management, L. |
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| November 19, 2010 |
nvq UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21866 Highland Funds I (Exact name of registrant as specified in charter) NexBank Tower 13455 Noel Road, Suite 800 Dallas, Texas 75240 (Address of principal executive offices) (Zip code) R. J |
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| November 19, 2010 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act exv99wcert Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, R. Joseph Dougherty, certify that: 1. I have reviewed this report on Form N-Q of Highland Funds I; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in |
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| October 29, 2010 |
cover Ropes & Gray LLP Prudential Tower 800 Boylston Street Boston, MA 02199 T: 617-951-7000 F: 617-951-7050 October 29, 2010 Sarah Clinton 617-951-7375 sarah. |
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| October 29, 2010 |
corresp October 29, 2010 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| October 28, 2010 | ||
| October 28, 2010 |
corresp October 28, 2010 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| October 4, 2010 | ||
| August 27, 2010 |
cover ROPES & GRAY LLP ONE INTERNATIONAL PLACE BOSTON, MASSACHUSETTS 02110 August 27, 2010 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Highland Funds I (File Nos. |
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| July 27, 2010 |
nvq UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21866 Highland Funds I (Exact name of registrant as specified in charter) NexBank Tower 13455 Noel Road, Suite 800 Dallas, Texas 75240 (Address of principal executive offices) (Zip code) R. J |
