SEC Form 3/A · accession 0001140361-15-016891
NexPoint Capital, Inc.
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owner
James D Dondero
Officer — President · 10% Owner
Period of report
Aug 18, 2014
Accepted (ET)
Apr 29, 2015 · 7:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001588272
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1,F2 | holding | — | — | — | 21,739 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Amendment to the Initial Statement of Beneficial Ownership of Securities on Form 3, filed with the Securities and Exchange Commission on August 18 2014, is being filed to correct the number of shares purchased by NexPoint Advisors, L.P. The correct number of shares was disclosed in the prospectus supplement of the Issuer prior to any of the shares of the Issuer being sold to investors unaffiliated with NexPoint Advisors, L.P.
- F2Mr. Dondero is the president and sole member of NexPoint Advisors GP, LLC, the general partner of NexPoint Advisors, L.P. Due to his control of, and ownership interest in, NexPoint Advisors GP, LLC, Mr. Dondero may be viewed as having investment power over all of the shares of the Issuer owned by NexPoint Advisors, L.P. Mr. Dondero disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.