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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dugaboy Investment Trust 300 CRESCENT COURT, SUITE 700 DALLAS, TX 75201 |
X | |||
DONDERO NANCY MARIE 1010 CRESCENT BEACH ROAD VERO BEACH, FL 32963 |
X | |||
DONDERO JAMES D 300 CRESCENT COURT, SUITE 700 DALLAS, TX 75201 |
X | Affiliated Person |
/s/ Nancy Marie Dondero, Trustee | 12/29/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Dugaboy Investment Trust (the "Trust") sold a majority of its pecuniary, non-voting, non-control interest in Highland Capital Management, L.P. ("HCMLP") to another trust in a private transaction. Mr. Dondero has an indirect interest in such transaction as a beneficiary of the Trust. However, neither HCMLP nor the Trust sold any NHF shares and therefore there is no change in the number of NHF shares held. Mr. Dondero continues to have a reportable interest in the shares held by HCMLP through his indirect limited partner interest (through the Trust) and general partner interest (through Strand Advisors, Inc. ("Strand")) in HCMLP, and in the shares held by the Trust as a beneficiary of the Trust. |
(2) | These shares are held by HCMLP both directly and indirectly through advised accounts. Mr. Dondero is the President and the director of Strand, 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. |
(3) | These shares are held pursuant to an employee benefit plan. |
(4) | These shares are held by the Trust pursuant to an employee purchase plan. Ms. Dondero is the trustee of the Trust. Ms. Dondero and Mr. Dondero disclaim beneficial ownership of such shares. |
(5) | These shares are held directly by Mr. Dondero. |