Highland Income Fundma

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Highland Income Fundma
TickerHFRO
CIK #0001710680
CUSIP43010E404
Sector -
Address300 Crescent Court Suite 700, Dallas, TX 75201
Source [EDGAR]
CIK Filing 2011 - 2026
[0001710680] 3
[0001710680] 4
[0001710680] 8-K
[0001710680] SC 13D
[0001710680] SC 13G
Form 13D/13G Filer Form 13D/13G Subject Filed % Owned
Thomas J Herzfeld Advisors Inc Highland Opportunities & Income Fund [2025-10-29] 0.0
Saba Capital Management LP Highland Opportunities & Income Fund [2025-08-04] 0.0
Morgan Stanley Highland Opportunities & Income Fund [2025-05-06] 0.0
Raymond James & Associates Highland Opportunities & Income Fund [2025-01-31] 0.0
Goldstein Phillip Highland Income Fund Ma [2021-08-10] 11.0
Morgan Stanley Highland Floating Rate Opportunities Fund [2017-12-11] 14.6
Form 3/4/5 Filer 2011 - 2026
Highland Opportunities & Income Fund
Saba Capital Management LP
Froehlich Robert J
Waterhouse Frank George
Norris Dustin David
Vitiello Stephanie
McWhorter Dorri
Corrie Pamela B
Post Robert Jason
Mitts Brian
Ross James Bradley
Ward Bryan A
Parker Lee Blackwell III
Powell Ethan
Stoops Clifford
Honis John
Hui Timothy K
Insider Transaction (Form 3/4/5) Date Action Shares Price Value ($)
Froehlich Robert J
Common Stock
2022-12-05 Sell 767 $11.21 8,598
Waterhouse Frank George
Contingent Bonus Award · derivative
2022-06-02 Grant 16,949.15
Norris Dustin David
Contingent Bonus Award · derivative
2022-06-02 Grant 42,372.88
Vitiello Stephanie
Contingent Bonus Award · derivative
2022-06-02 Grant 2,295.19
Post Robert Jason
Contingent Bonus Award · derivative
2021-11-12 Other 1,548.27 $0.00
Waterhouse Frank George
Contingent Bonus Award · derivative
2021-07-21 Other 39,758.60 $0.00
Norris Dustin David
Contingent Bonus Award · derivative
2021-06-15 Other 27,322.40 $0.00
Post Robert Jason
Contingent Bonus Award · derivative
2021-06-15 Other 1,548.27 $0.00
Waterhouse Frank George
Contingent Bonus Award · derivative
2021-06-15 Other 12,522.77 $0.00
Froehlich Robert J
Common Stock
2020-10-13 Buy 697 $8.47 5,904
Froehlich Robert J
Common Stock
2020-02-25 Buy 130 $12.89 1,676
Norris Dustin David
Common Shares of Beneficial Interest
2018-03-21 Buy 312.03 $16.02 4,999
Ross James Bradley
Common Shares of Beneficial Interest
2017-12-01 Sell 9,431 $15.34 144,672
13F Ownership Over TimeHoldersShares Held
2026-03-31 95 29,188,685
2025-12-31 105 28,529,618
2025-09-30 94 26,125,422
2025-06-30 91 26,299,624
2025-03-31 95 25,001,193
2024-12-31 112 27,758,361
2024-09-30 102 27,508,042
2024-06-30 101 27,941,052
2024-03-31 107 33,703,103
2023-12-31 105 28,026,484
2023-09-30 106 21,660,743
2023-06-30 98 22,038,606
Form 13F Holdings
Firm Period DFND Voting Shares
Camelot Portfolios LLC [2026-06-30] SOLE 310,043 310,043
Aegon USA Investment Management LLC [2026-06-30] DFND 47,619 47,619
Financial Solutions Advisory Group Inc [2026-06-30] SOLE 44,734 44,734
Integrated Capital Management Inc [2026-06-30] SOLE 0 29,285
Independent Financial Group LLC [2026-06-30] SOLE 0 28,881
B Riley Wealth Advisors Inc [2026-06-30] SOLE 25,815 25,815
One Charles Private Wealth Services LLC [2026-06-30] SOLE 0 17,248
Post Resch Tallon Group Inc [2026-06-30] SOLE 0 10,485
IFP Advisors LLC [2026-06-30] SOLE 3,845 3,845
Byrne Asset Management LLC [2026-06-30] SOLE 1,800 1,800
Spire Wealth Management [2026-06-30] SOLE 0 500
Highline Wealth Partners LLC [2026-06-30] SOLE 414 414
Park Avenue Securities LLC [2026-06-30] SOLE 0 176
Cedar Mountain Advisors LLC [2026-06-30] SOLE 0 82
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