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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 | |
DONDERO JAMES D 13455 NOEL ROAD, SUITE 800 DALLAS, TX 75240 |
CEO and President |
/s/ James Dondero | 04/12/2007 | |
**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) | Shares purchased by the Highland Capital Management LP Retirement Plan and Trust (the "Retirement Plan and Trust"). |
(2) | Includes (i) approximately 6,903 shares held by Highland Capital Management Services, Inc.("HCMS"), (ii) 32,343 shares held by the Highland 401(k) Plan (the "401(k) Plan") and (iii) 34,625 shares held by the Retirement Plan and Trust. |
(3) | Highland Capital Management, LP ("HCMLP") is the investment advisor for Highland Credit Strategies Fund. HCMLP maintains the 401(k) Plan and Retirement Plan and Trust for the benefit of its employees. Mr. Dondero is the trustee of the 401(k) Plan and Retirement Plan and Trust, as well as a participant in the 401(k) Plan and Retirement Plan and Trust, and he owns interests in HCMS. The 401(k) Plan, Retirement Plan and Trust and HCMLP expressly disclaim beneficial ownership of the securities reported herein. Each of HCMS and Mr. Dondero expressly disclaims beneficial ownership of the securities reported herein, except to the extent of its or his pecuniary interest therein. |