SEC Form 4 · accession 0001209191-15-037095
NEXPOINT DIVERSIFIED REAL ESTATE TRUST · NXDT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James D Dondero
Other
Period of report
Apr 23, 2015
Accepted (ET)
Apr 29, 2015 · 6:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001356115
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 23, 2015 | J | 125 | $7.94 | A | 54,384 | I | By Employee benefit plan |
| Common StockF2,F3 | Apr 27, 2015 | J | 139,471 | $7.8716 | A | 5,092,501 | I | By trust |
| Common Stock | holding | — | — | — | 14,034 | D | ||
| Common StockF3,F4 | holding | — | — | — | 2,296,347 | I | By Highland Capital Management, L.P. | |
| Common StockF3 | holding | — | — | — | 138,732 | I | By trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired pursuant to an employee benefit plan.
- F2Shares acquired pursuant to an employee purchase plan held in trust.
- F3Includes shares acquired under the issuer's dividend reinvestment plan.
- F4These shares are held by Highland Capital Management, L.P. ("HCMLP") both directly and indirectly through advised accounts. Mr. Dondero is the President and the director of Strand Advisors, Inc., HCMLP's general partner, and may be deemed to be an indirect beneficial owner of shares held by HCMLP. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.