Filing Details
- Accession Number:
- 0001398344-21-019238
- Form Type:
- 13D Filing
- Publication Date:
- 2021-09-27 20:00:00
- Filed By:
- Goldstein Phillip
- Company:
- Highland Income Fund
- Filing Date:
- 2021-09-28
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Phillip Goldstein | Less than 5% |
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: 09/27/2021
1. NAME OF REPORTING PERSON
Phillip Goldstein
| 2. | CHECK THE BOX IF MEMBER OF A GROUP | a[] |
| b[] |
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
7. SOLE VOTING POWER
Less than 5%
8. SHARED VOTING POWER
Less than 5%
9. SOLE DISPOSITIVE POWER
Less than 5%
10. SHARED DISPOSITIVE POWER
Less than 5%
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
Less than 5%
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES: []
13. PERCENT OF CLASS REPRESENTED BY ROW 11
Less than 5%
14. TYPE OF REPORTING PERSON
IN
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #2 to the schedule 13D filed August 10, 2021. Except as specifically set forth herein, the Schedule 13D remains unmodified.
ITEM 4. PURPOSE OF TRANSACTION
The filing person sent the letter in exhibit A to stockholders of the issuer.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
c) Since the last filing the following shares of HFRO were Bought.
| Date | Shares | Price | |
| 9/24/21 | 10,566 | $10.7398 | |
| 9/24/21 | 25,000 | $10.7500 | |
| 9/23/21 | 26,761 | $10.7692 | |
| 9/22/21 | 94,010 | $10.8109 | |
| 9/22/21 | 93,254 | $10.7996 | |
| 9/21/21 | 46,309 | $10.8019 | |
| 9/21/21 | 7,000 | $10.7728 |
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Exhibit A
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: 9/27/21
| By: | /S/ Phillip Goldstein | |
| Name: | Phillip Goldstein |