SEC Form 4 · accession 0000899243-18-008336
HIGHLAND OPPORTUNITIES & INCOME FUND · HFRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dustin David Norris
Officer — Secretary · Director
Period of report
Mar 21, 2018
Accepted (ET)
Mar 22, 2018 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001710680
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares of Beneficial InterestF1,F2,F3 | Mar 21, 2018 | P | 312 | $16.02 | D | 359 | I | See footnote |
| Common Shares of Beneficial InterestF3 | holding | — | — | — | 117 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired in connection with issuer's dividend reinvestment plan. Under operation of the plan, monthly purchases are conducted by the plan administrator evenly over the course of approximately the first 20 days of the month.
- F2Includes shares acquired under the issuer's dividend reinvestment plan.
- F3These shares are held pursuant to an employee benefit plan.