NEXPOINT DIVERSIFIED REL ET

Ticker: NXDT CUSIP: 65340G205 Class: COM NEW

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
NEXPOINT ASSET MANAGEMENT, L.P.5,028,935$19,261
BlackRock, Inc.3,030,215$11,606
MORGAN STANLEY2,679,829$10,264
VANGUARD GROUP INC2,184,062$8,365
WEDBUSH SECURITIES INC1,939,041$7
RAYMOND JAMES FINANCIAL INC993,745$3,806
GEODE CAPITAL MANAGEMENT, LLC901,019$3,452
Matisse Capital861,609$3,300
STATE STREET CORP827,560$3,170
TCW GROUP INC734,487$2,813
Cambridge Investment Research Advisors, Inc.476,455$2
CHARLES SCHWAB INVESTMENT MANAGEMENT INC372,444$1,426
GatePass Capital, LLC362,043$1,387
OPPENHEIMER & CO INC350,777$1,343
Camelot Portfolios, LLC306,509$1,174
Concorde Asset Management, LLC301,289$1,154
Bulldog Investors, LLP293,119$1,123
NORTHERN TRUST CORP270,491$1,036
MADDEN SECURITIES Corp221,569$849
NATIONS FINANCIAL GROUP INC, /IA/ /ADV165,425$634
Nuveen, LLC162,274$622
Bank of New York Mellon Corp146,542$561
UBS Group AG118,047$452
JANE STREET GROUP, LLC109,289$419
GOLDMAN SACHS GROUP INC102,686$393
HRT FINANCIAL LP96,317$0
FULLER & THALER ASSET MANAGEMENT, INC.89,910$344
MidWestOne Financial Group, Inc.84,999$326
Legacy Wealth Managment, LLC/ID76,955$295
BTG Pactual Asset Management US LLC66,111$277
Asset Management One Co., Ltd.65,180$247
BARCLAYS PLC63,639$244
SMH CAPITAL ADVISORS INC58,419$224
NOMURA ASSET MANAGEMENT CO LTD53,264$204
Point72 Asset Management, L.P.52,464$201
MILLENNIUM MANAGEMENT LLC50,457$193
WELLS FARGO & COMPANY/MN46,515$178
BANK OF AMERICA CORP /DE/42,291$162
ALLIANCEBERNSTEIN L.P.41,553$159
AQR CAPITAL MANAGEMENT LLC40,564$155
Odyssean, LLC39,389$151
DEUTSCHE BANK AG\38,348$147
Sumitomo Mitsui Trust Holdings, Inc.37,642$144
Invesco Ltd.36,958$142
JPMORGAN CHASE & CO36,925$141
RHUMBLINE ADVISERS34,943$134
Mitsubishi UFJ Kokusai Asset Management Co., Ltd.34,395$125
Catalyst Capital Advisors LLC33,630$129
Cetera Investment Advisers30,204$116
SUSQUEHANNA INTERNATIONAL GROUP, LLP26,973$103
Sovereign Financial Group, Inc.23,449$90
ENVESTNET ASSET MANAGEMENT INC23,372$90
Burford Brothers, Inc.22,286$85
SEI INVESTMENTS CO19,678$75
CALDWELL SUTTER CAPITAL, INC.19,416$74
PRICE T ROWE ASSOCIATES INC /MD/19,155$0
State of Alaska, Department of Revenue17,342$0
INTECH INVESTMENT MANAGEMENT LLC16,414$63
MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.16,179$62
Resona Asset Management Co.,Ltd.15,570$59
Capital Investment Advisors, LLC15,511$59
Daiwa Securities Group Inc.15,385$0
Quantinno Capital Management LP13,443$51
COMMONWEALTH EQUITY SERVICES, LLC13,359$51
NEUBERGER BERMAN GROUP LLC13,265$51
Russell Investments Group, Ltd.12,904$49
Police & Firemen's Retirement System of New Jersey12,503$48
PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO12,313$47
IHT Wealth Management, LLC11,493$44
Claro Advisors Inc.11,377$44
MANUFACTURERS LIFE INSURANCE COMPANY, THE11,332$43
FMR LLC9,563$37
BNP PARIBAS ARBITRAGE, SA8,754$34
STRS OHIO7,469$29
OSAIC HOLDINGS, INC.6,694$26
NISA INVESTMENT ADVISORS, LLC6,436$25
NEW YORK STATE COMMON RETIREMENT FUND5,431$21
IFP Advisors, Inc4,486$17
Oakum Bay Capital LLC4,000$8
Legal & General Group Plc3,108$12
Ameritas Investment Partners, Inc.3,014$12
Tower Research Capital LLC (TRC)2,996$11
CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM2,177$8
CWM, LLC2,123$0
Sterling Capital Management LLC2,040$8
PNC Financial Services Group, Inc.1,750$7
Avion Wealth1,537$0
ROYAL BANK OF CANADA1,458$6
Pinnacle Wealth Planning Services, Inc.1,258$5
MetLife Investment Management, LLC1,176$5
Garner Asset Management Corp1,151$4
AMALGAMATED BANK1,143$0
Rockefeller Capital Management L.P.953$4
CITIGROUP INC876$3
Financial Gravity Asset Management, Inc.669$3
Anfield Capital Management, LLC622$2
NewEdge Advisors, LLC594$2
Optiver Holding B.V.482$2
Sound Income Strategies, LLC301$1
Thomas J. Herzfeld Advisors, Inc.276$1
20 other institutions1,198$4
Total (120 institutions)24,636,987$84,539