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Resources

LITERATURE

Education Guides & Thought Papers

A Look at MLPs: Opportunity in an Orphaned Asset Class

A Passion for Alternatives

Argentina Election Update: Positive Momentum Ahead of Midterms

Highland Code of Ethics

MSCI Upgrades Argentina to Emerging Markets Status

Vistra Energy: A Misunderstood Reorg Equity

Manager Commentary

Long Short Equity Preliminary Commentary Q3 2018: Commentary

Long Short Healthcare Commentary Q3 2018: Commentary

Fact Sheets

Highland Energy MLP Fund Q4 2018: Fact Sheet

Highland Fixed Income Fund Q4 2018: Fact Sheet

Highland Floating Rate Fund Q4 2018: Fact Sheet

Highland Global Allocation Fund Q4 2018: Fact Sheet

Highland Long Short Equity Fund Q4 2018: Fact Sheet

Highland Long Short Healthcare Fund Q4 2018: Fact Sheet

Highland Merger Arbitrage Fund Q4 2018: Fact Sheet

Highland Opportunistic Credit Fund Q4 2018: Fact Sheet

Highland Premier Growth Fund Q4 2018: Fact Sheet

Highland Small-Cap Equity Fund Q4 2018: Fact Sheet

Highland SNLN Fund Q4 2018: Fact Sheet

Highland Tax Exempt Fund Q4 2018: Fact Sheet

Highland Total Return Fund Q4 2018: Fact Sheet

Annual Reports & Prospectus

Highland Funds I

Highland Funds I Semi-Annual Report dated 12.31.18: Semi-Annual Report

Highland Funds I SAI: Highland Funds I SAI

Highland Funds I - Opportunistic Credit Summary Prospectus: Highland Funds I – Opportunistic Credit Summary Prospectus

Highland Funds I Statutory Prospectus: Highland Funds I Statutory Prospectus

Highland Funds I Annual Report: Annual Report

Highland Funds I - Form N-Q: Form N-Q

Highland Funds I - Long/Short Equity Summary Prospectus: Highland Funds I – Long/Short Equity Summary Prospectus

Highland Funds I - Merger Arbitrage Summary Prospectus: Highland Funds I – Merger Arbitrage Summary Prospectus

Appendix A

Highland Funds I - SNLN

Highland iBoxx Senior Loan ETF Semi-Annual Report dated 12.31.18: Semi-Annual Report

Highland Funds I - SNLN Summary Prospectus: Highland Funds I – SNLN Summary Prospectus

Highland Funds I SNLN Prospectus: Highland Funds I – SNLN Statutory Prospectus

Highland Funds I - SNLN SAI

Highland Funds I SNLN Annual Report: Annual Report

Highland Funds II

Highland Funds II - Form N-Q: N-Q

Highland Funds II - Premier Growth Equity Prospectus: Summary Prospectus

Highland Funds II SAI: SAI

Highland Funds II Statutory Prospectus: Statutory Prospectus

Highland Funds II - Tax-Exempt Prospectus: Summary Prospectus

Highland Funds II - Annual Report: Annual Report

Highland Energy MLP - Annual Report: Annual Report

Highland Funds II Semi-Annual Report: Semi-Annual Report

Highland Funds II - Total Return Prospectus: Summary Prospectus

Highland Funds II - Energy MLP Prospectus: Summary Prospectus

Highland Funds II - Fixed Income Prospectus: Summary Prospectus

Highland Funds II - Highland Income Fund Prospectus

Highland Funds II - Small-Cap Equity Prospectus: Summary Prospectus

Highland Funds II Energy MLP Fund Semi-Annual Report: Semi-Annual Report

Appendix A

Highland Global Allocation Fund

Highland Capital Management Provides Updates on Global Allocation Fund Portfolio Ahead of Fund Conversion (Press Release): Highland Capital Management Provides Updates on Global Allocation Fund Portfolio Ahead of Fund Conversion (Press Release)

Highland Global Allocation Fund Provides Conversion Ratios in Connection with Conversion to Closed-End Fund (Press Release): Highland Global Allocation Fund Provides Conversion Ratios in Connection with Conversion to Closed-End Fund (Press Release)

Highland Global Allocation Fund Completes Conversion from Open-End Fund to Closed-End Fund (Press Release): Highland Global Allocation Fund Completes Conversion from Open-End Fund to Closed-End Fund (Press Release)

Highland Global Allocation Fund Form N-2 Registration Statement

Floating Rate Opportunities Fund

Highland Floating Rate Opportunities Fund Semi-Annual Report

Highland Floating Rate Opportunities Fund Announces Name Change to Highland Income Fund (Press Release)

Floating Rate Opportunities Form N-2 Registration Statement: Floating Rate Opportunities Form N-2 Registration Statement

Floating Rate Opportunities Fund Annual Report: Annual Report

Floating Rate Opportunities Fund Form N-Q: Highland Floating Rate Opportunities Form N-Q

XBRL

XBRL Highland Funds II Statutory Prospectus: Statutory Prospectus XBRL Files

XBRL Highland Funds II - Small Cap Equity Fund: Prospectus Supplement XBRL Files

XBRL Highland Funds II Summary Prospectus - Global Allocation Fund

XBRL Highland Funds II Prospectus Supplement dated 10.19.2016

XBRL Highland Funds I Statutory Prospectus: Annual Prospectus XBRL Files

XRBL Highland Funds II Annual Report

XRBL Highland Funds I Prospectus Form 497

XRBL Highland Funds II Prospectus Form 497

XBRL Highland Funds I - Merger Arbitrage Prospectus

XBRL SNLN Prospectus Form 497

XRBL FRO II Version 2: XRBL FRO II Version 2

XRBL FRO II Version 1

XBRL Floating Rate Opportunities Fund Prospectus Form 497

XBRL Floating Rate Opportunities 485b

XBRL Highland Funds I 485b

XBRL Highland Funds II Prospectus

XBRL Highland Funds II Global Allocation Fund Form 497

Other Links

Shareholder Loyalty Plan - Plan Document: Shareholder Loyalty Plan – Plan Document

FORMS

Investor

Account Options Form

General Wiring Instructions

Letter of Instruction Form

Retail New Account Application: Forms

403(b)

403(b) Custodial Account Agreement

403(b) Distribution Instructions and Forms

IRA/403(b)(7) Account Application

IRA

Beneficiary Change Form

IRA Distribution Request Form

IRA/403(b)(7) Account Application

Recharacterization Form

Required Minimum Distribution Form

Roth IRA Conversion Form

Traditional, Roth and SEP IRA Custodial Agreement

Transfer Of Assets Form

UMB Privacy Notice

College Planning

Highland Coverdell Application

Non-Retirement

Transfer on Death (TOD) Registration Request Form

TAX FORMS

Global Allocations - 19(a)-1 Source of Distribution Notice 3.31.19: 19(a)-1 Source of Distribution Notice 3.31.19

Highland Floating Rate Opportunities Fund - 19(a)-1 Source of Distribution Notice 3.31.19

Highland Funds Shareholder Secondary Tax Reporting - 2018

2018 Energy MLP fund - Form 8937 Year End

Capital Gains Estimates for 2018

Energy MLP Fund - 19(a) - Source of Distribution Notice 11.06.18: Energy MLP Fund – 19(a) – Source of Distribution Notice 11.06.18

Energy MLP - August distribution - Form 8937

Floating Rate Opportunities Fund - Form 8937

Opportunistic Credit Fund - Form 8937

SNLN - August 2018 Distribution - Form 8937: SNLN – August 2018 Distribution – Form 8937

Form 8937 Highland Energy MLP May 2018 Distribution

2018 Energy MLP Fund - Form 8937 - Feb Posting

2017 Energy MLP Fund - Form 8937 - Year End

Fixed Income Form 8937 2017

Global Allocation Form 8937 2017

Floating Rate Opportunities Form 8937

Notification of Distribution Sources 11.7.17

Form 8937 Highland iBoxx Senior Loan ETF Distribution: Form 8937 Highland iBoxx Senior Loan ETF Distribution

2017 Energy MLP Fund - Form 8937- August

Energy MLP Fund - Form 8937- May

Energy MLP Fund - 19(a)-1 Source of Distribution Notice 5.5.17: Tax Forms

2017 Energy MLP Fund - Form 8937- February: Tax Forms

MLP Fund - 19(a)-1 Source of Distribution Notice

Fixed Income - 2016 Year End Form 8937 Signed: Tax Form

Global Allocation - 2016 Year End Form 8937 Signed: Tax Form

Dividend Equity - 2016 Year End Form 8937 Signed: Tax Form

Form 8937 - Highland Energy MLP Fund Distribution - November 2016

Energy MLP Fund - 19(a)-1 Source of Distribution Notice 11.8.16

Form 8937 - Highland Energy MLP Fund Distribution - August 2016

Form 8937 - Highland Energy MLP Fund Distribution - May 2016

Form 8937 - Highland Energy MLP Fund Distribution - February 2016

Calendar Year 2015 Energy MLP Fund - Form 8937

Dividend Equity Fund - 19(a)-1 Source of Distribution Notice 1.22.16