# EDGAR Filing Document

**Accession Number:** 0001469877
**File Stem:** 0001172661-23-001315
**Filing Date:** 2023-2
**Character Count:** 18375
**Document Hash:** 93abc3e175c319a5c2895eb0975be8ca
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001172661-23-001315.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001172661-23-001315

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NEXPOINT ASSET MANAGEMENT, L.P.
- **CENTRAL INDEX KEY:** 0001469877
- **IRS NUMBER:** 264245035
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-16918
- **FILM NUMBER:** 23629266

**BUSINESS ADDRESS:**
- **STREET 1:** 300 CRESCENT COURT
- **STREET 2:** SUITE 700
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201
- **BUSINESS PHONE:** 214-276-6300

**MAIL ADDRESS:**
- **STREET 1:** 300 CRESCENT COURT
- **STREET 2:** SUITE 700
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.
- **DATE OF NAME CHANGE:** 20140505

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Pyxis Capital, L.P. /DE
- **DATE OF NAME CHANGE:** 20120406

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Highland Funds Asset Management, L.P.
- **DATE OF NAME CHANGE:** 20090806

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** NEXPOINT ASSET MANAGEMENT L.P.<br>**Address:** 300 Crescent Court<br>Suite 700<br>Dallas, TX 75201

**Form 13F File Number:** 028-16918

**CRD Number (if applicable):** 000149653

**SEC File Number (if applicable):** 801-69968

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Frank Waterhouse<br>**Title:** Treasurer<br>**Phone:** 1-214-276-6300

**Signature, Place, and Date of Signing:**

/s/  Frank Waterhouse  Dallas, TX  02-14-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 136

**Form 13F Information Table Value Total:** $1284764969

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 1LIFE HEALTHCARE INC | COM | 68269G107 |  | 23277030 | 1393000 | SH |  | SOLE |  | 1393000 | 0 | 0 |
| ADVANCED DRAIN SYS INC DEL | COM | 00790R104 |  | 245910 | 3000 | SH |  | SOLE |  | 3000 | 0 | 0 |
| AFC GAMMA INC | COM | 00109K105 |  | 516872 | 32859 | SH |  | DFND |  | 32859 | 0 | 0 |
| AGROFRESH SOLUTIONS INC | COM | 00856G109 |  | 1821599 | 615405 | SH |  | SOLE |  | 615405 | 0 | 0 |
| AIR PRODS  CHEMS INC | COM | 009158106 |  | 770650 | 2500 | SH | Put | SOLE |  | 2500 | 0 | 0 |
| ALEXANDRIA REAL ESTATE EQ IN | COM | 015271109 |  | 8157520 | 56000 | SH |  | SOLE |  | 56000 | 0 | 0 |
| ALTENERGY ACQUISITION CORP | COM CL A | 02157M108 |  | 250635 | 24500 | SH |  | SOLE |  | 24500 | 0 | 0 |
| ALTENERGY ACQUISITION CORP | *W EXP 10/29/202 | 02157M116 |  | 1288 | 12500 | SH |  | SOLE |  | 12500 | 0 | 0 |
| ALTUS POWER INC | COM CL A | 02217A102 |  | 260800 | 40000 | SH |  | SOLE |  | 40000 | 0 | 0 |
| APOLLO ENDOSURGERY INC | COM | 03767D108 |  | 138583 | 13900 | SH |  | SOLE |  | 13900 | 0 | 0 |
| APPRECIATE HOLDINGS INC | *W EXP 11/29/202 | 03832J114 |  | 380 | 12612 | SH |  | SOLE |  | 12612 | 0 | 0 |
| ARBOR RAPHA CAP BIOHLDS CORP | UNIT 10/31/2028 | 03881F203 |  | 267500 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| ASCENDANT DIGITAL ACQ CORP I | UNIT 99/99/9999 | G05157121 |  | 103000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| ASPEN AEROGELS INC | COM | 04523Y105 |  | 201020 | 17050 | SH |  | SOLE |  | 17050 | 0 | 0 |
| ATHENA CONSUMER ACQ CORP | *W EXP 07/31/202 | 04684M114 |  | 14546 | 125076 | SH |  | SOLE |  | 125076 | 0 | 0 |
| ATLAS AIR WORLDWIDE HLDGS IN | COM NEW | 049164205 |  | 72650390 | 720738 | SH |  | SOLE |  | 720738 | 0 | 0 |
| ATLAS CORP | SHARES | Y0436Q109 |  | 20522312 | 1337830 | SH |  | SOLE |  | 1337830 | 0 | 0 |
| AVAYA HLDGS CORP | COM | 05351X101 |  | 9139 | 46630 | SH |  | SOLE |  | 46630 | 0 | 0 |
| AVEO PHARMACEUTICALS INC | COM NEW | 053588307 |  | 21898865 | 1464807 | SH |  | SOLE |  | 1464807 | 0 | 0 |
| BANNER ACQUISITION CORP | CLASS A COM | 06654K101 |  | 524946 | 52078 | SH |  | SOLE |  | 52078 | 0 | 0 |
| BENEFITFOCUS INC | COM | 08180D106 |  | 11588676 | 1107904 | SH |  | SOLE |  | 1107904 | 0 | 0 |
| BIOHAVEN LTD | COM | G1110E107 |  | 1165920 | 84000 | SH |  | SOLE |  | 84000 | 0 | 0 |
| BLOCKCHAIN COINVSTRS ACQ CRP | UNIT 09/01/2026 | G11765123 |  | 102700 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| BLOOM ENERGY CORP | COM CL A | 093712107 |  | 240912 | 12600 | SH |  | SOLE |  | 12600 | 0 | 0 |
| BRAEMAR HOTELS  RESORTS INC | 5.5 CUM CV PFD B | 10482B200 |  | 8820043 | 565750 | SH |  | SOLE |  | 565750 | 0 | 0 |
| CARNEY TECHNOLOGY ACQU CORP | CL A COMMON STK | 143636108 |  | 738396 | 72109 | SH |  | SOLE |  | 72109 | 0 | 0 |
| CENTRAL PUERTO S A | SPONSORED ADR | 155038201 |  | 1946835 | 327750 | SH |  | DFND |  | 327750 | 0 | 0 |
| CENTRAL PUERTO S A | SPONSORED ADR | 155038201 |  | 1201365 | 202250 | SH |  | SOLE |  | 202250 | 0 | 0 |
| CHARGEPOINT HOLDINGS INC | COM CL A | 15961R105 |  | 210613 | 22100 | SH |  | SOLE |  | 22100 | 0 | 0 |
| CHART INDS INC | COM | 16115Q308 |  | 760518 | 6600 | SH |  | SOLE |  | 6600 | 0 | 0 |
| CLEAN ENERGY FUELS CORP | COM | 184499101 |  | 141440 | 27200 | SH |  | SOLE |  | 27200 | 0 | 0 |
| CORNER GROWTH ACQUISITION CO | CL A SHS | G2425N105 |  | 1021983 | 103335 | SH |  | SOLE |  | 103335 | 0 | 0 |
| COUPA SOFTWARE INC | COM | 22266L106 |  | 32980084 | 416573 | SH |  | SOLE |  | 416573 | 0 | 0 |
| COWEN INC | CL A NEW | 223622606 |  | 52422556 | 1357394 | SH |  | SOLE |  | 1357394 | 0 | 0 |
| CRESUD S A C I F Y A | SPONSORED ADR | 226406106 |  | 1098157 | 164149 | SH |  | DFND |  | 164149 | 0 | 0 |
| DARLING INGREDIENTS INC | COM | 237266101 |  | 375540 | 6000 | SH |  | SOLE |  | 6000 | 0 | 0 |
| DIREXION SHS ETF TR | DRX S | 25459W862 |  | 9026446 | 145330 | SH |  | SOLE |  | 145330 | 0 | 0 |
| DTRT HEALTH ACQUISITION CORP | *W EXP 08/31/202 | 23344T111 |  | 7408 | 24700 | SH |  | SOLE |  | 24700 | 0 | 0 |
| ECOVYST INC | COM | 27923Q109 |  | 177200 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| ELME COMMUNITIES | SH BEN INT | 939653101 |  | 5715117 | 321074 | SH |  | DFND |  | 321074 | 0 | 0 |
| ELME COMMUNITIES | SH BEN INT | 939653101 |  | 16412864 | 922071 | SH |  | SOLE |  | 922071 | 0 | 0 |
| ENERGEM CORP | UNIT 11/15/2026 | G30449113 |  | 2432250 | 225000 | SH |  | SOLE |  | 225000 | 0 | 0 |
| ENERGY TRANSFER L P | COM UT LTD PTN | 29273V100 |  | 19165444 | 1614612 | SH |  | SOLE |  | 1614612 | 0 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 |  | 1896580 | 78631 | SH |  | SOLE |  | 78631 | 0 | 0 |
| EVEREST CONSOLIDATOR ACQ COR | UNIT 99/99/9999 | 29978K201 |  | 622065 | 60927 | SH |  | SOLE |  | 60927 | 0 | 0 |
| EVO PMTS INC | CL A COM | 26927E104 |  | 72887096 | 2153874 | SH |  | SOLE |  | 2153874 | 0 | 0 |
| FAT PROJECTS ACQUISITION COR | *W EXP 08/31/202 | G3400W110 |  | 3750 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| FIRST HORIZON CORPORATION | COM | 320517105 |  | 43882832 | 1791136 | SH |  | SOLE |  | 1791136 | 0 | 0 |
| FORUM MERGER IV CORP | CLASS A COM | 349875104 |  | 1507761 | 150026 | SH |  | SOLE |  | 150026 | 0 | 0 |
| GOGREEN INVESTMENTS CORP | *W EXP 05/31/202 | G9461B119 |  | 60044 | 181950 | SH |  | SOLE |  | 181950 | 0 | 0 |
| GREEN VISOR FIN TEC ACQ CORP | UNIT 11/08/2026 | G4166K118 |  | 1504542 | 145507 | SH |  | SOLE |  | 145507 | 0 | 0 |
| GRUPO SUPERVIELLE S.A. | SPONSORED ADR | 40054A108 |  | 52488 | 24300 | SH |  | SOLE |  | 24300 | 0 | 0 |
| HEALTHCARE RLTY TR | CL A COM | 42226K105 |  | 15890716 | 824635 | SH |  | SOLE |  | 824635 | 0 | 0 |
| HERON THERAPEUTICS INC | COM | 427746102 |  | 640453 | 256181 | SH |  | SOLE |  | 256181 | 0 | 0 |
| HERON THERAPEUTICS INC | COM | 427746102 |  | 607375 | 242950 | SH |  | DFND |  | 242950 | 0 | 0 |
| HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 |  | 812437 | 86246 | SH |  | SOLE |  | 86246 | 0 | 0 |
| HIGHLAND INCOME FD | HIGHLAND INCOME | 43010E404 |  | 3440252 | 334005 | SH |  | SOLE |  | 334005 | 0 | 0 |
| HIGHLAND INCOME FD | HIGHLAND INCOME | 43010E404 |  | 4058633 | 394042 | SH |  | DFND |  | 394042 | 0 | 0 |
| HORIZON THERAPEUTICS PUB L | SHS | G46188101 |  | 58299512 | 512298 | SH |  | SOLE |  | 512298 | 0 | 0 |
| IMAGO BIOSCIENCES INC | COM | 45250K107 |  | 11269498 | 313477 | SH |  | SOLE |  | 313477 | 0 | 0 |
| INDEPENDENCE RLTY TR INC | COM | 45378A106 |  | 1644760 | 97554 | SH |  | SOLE |  | 97554 | 0 | 0 |
| INTEGRATED RAIL AND RES ACQ | UNIT 99/99/9999 | 45827R205 |  | 3010935 | 294324 | SH |  | SOLE |  | 294324 | 0 | 0 |
| INTELLIGENT MEDI ACQSITN COR | *W EXP 11/05/202 | 45828D114 |  | 1338 | 125000 | SH |  | SOLE |  | 125000 | 0 | 0 |
| IROBOT CORP | COM | 462726100 |  | 6699022 | 139186 | SH |  | SOLE |  | 139186 | 0 | 0 |
| ITRON INC | COM | 465741106 |  | 209894 | 4144 | SH |  | SOLE |  | 4144 | 0 | 0 |
| JACK CREEK INVESTMENT CORP | CL A SHS | G4989X115 |  | 129583 | 12792 | SH |  | SOLE |  | 12792 | 0 | 0 |
| KNOWBE4 INC | CL A | 49926T104 |  | 101673183 | 4103034 | SH |  | SOLE |  | 4103034 | 0 | 0 |
| LIONHEART III CORP | *W EXP 11/09/202 | 536262116 |  | 5420 | 113155 | SH |  | SOLE |  | 113155 | 0 | 0 |
| LIONHEART III CORP | CLASS A COM | 536262108 |  | 2495623 | 244909 | SH |  | SOLE |  | 244909 | 0 | 0 |
| LOMA NEGRA C I A S A MTN 14 | SPONSORED ADS | 54150E104 |  | 438400 | 64000 | SH |  | DFND |  | 64000 | 0 | 0 |
| MAXAR TECHNOLOGIES INC | COM | 57778K105 |  | 12715157 | 245751 | SH |  | SOLE |  | 245751 | 0 | 0 |
| MAXPRO CAPITAL ACQUISITN COR | CLASS A COM | 57778T106 |  | 738563 | 71084 | SH |  | SOLE |  | 71084 | 0 | 0 |
| MAXPRO CAPITAL ACQUISITN COR | *W EXP 09/27/202 | 57778T114 |  | 3910 | 71084 | SH |  | SOLE |  | 71084 | 0 | 0 |
| MCLAREN TECHNOLOGY ACQ CORP | *W EXP 11/01/202 | 58176U117 |  | 2304 | 92147 | SH |  | SOLE |  | 92147 | 0 | 0 |
| MCLAREN TECHNOLOGY ACQ CORP | CLASS A COM | 58176U109 |  | 918900 | 90000 | SH |  | SOLE |  | 90000 | 0 | 0 |
| MERCADOLIBRE INC | COM | 58733R102 |  | 2538720 | 3000 | SH |  | SOLE |  | 3000 | 0 | 0 |
| MERCURY ECOM ACQUISITION COR | CLASS A COM | 589381102 |  | 997713 | 100172 | SH |  | SOLE |  | 100172 | 0 | 0 |
| MERIDIAN BIOSCIENCE INC | COM | 589584101 |  | 64396681 | 1939075 | SH |  | SOLE |  | 1939075 | 0 | 0 |
| MFA FINL INC | COM | 55272X607 |  | 221625 | 22500 | SH |  | DFND |  | 22500 | 0 | 0 |
| MINERALS TECHNOLOGIES INC | COM | 603158106 |  | 340032 | 5600 | SH |  | SOLE |  | 5600 | 0 | 0 |
| MONEYGRAM INTL INC | COM NEW | 60935Y208 |  | 51272712 | 4708238 | SH |  | SOLE |  | 4708238 | 0 | 0 |
| MP MATERIALS CORP | COM CL A | 553368101 |  | 223376 | 9200 | SH |  | SOLE |  | 9200 | 0 | 0 |
| MYOVANT SCIENCES LTD | COM | G637AM102 |  | 36073289 | 1338030 | SH |  | SOLE |  | 1338030 | 0 | 0 |
| NEW FORTRESS ENERGY INC | COM CL A | 644393100 |  | 661752 | 15600 | SH |  | SOLE |  | 15600 | 0 | 0 |
| NEXPOINT DIVERSIFIED REL ET | COM NEW | 65340G205 |  | 20463620 | 1825479 | SH |  | SOLE |  | 1825479 | 0 | 0 |
| NEXPOINT REAL ESTATE FIN INC | COM | 65342V101 |  | 90488322 | 5694671 | SH |  | SOLE |  | 5694671 | 0 | 0 |
| NEXPOINT REAL ESTATE FIN INC | COM | 65342V101 |  | 12132651 | 763540 | SH |  | DFND |  | 763540 | 0 | 0 |
| NEXPOINT RESIDENTIAL TR INC | COM | 65341D102 |  | 15525804 | 356751 | SH |  | SOLE |  | 356751 | 0 | 0 |
| NEXPOINT RESIDENTIAL TR INC | COM | 65341D102 |  | 6482870 | 148963 | SH |  | DFND |  | 148963 | 0 | 0 |
| NEXTDECADE CORP | COM | 65342K105 |  | 1501760 | 304000 | SH |  | DFND |  | 304000 | 0 | 0 |
| NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 65341B106 |  | 392504 | 5600 | SH |  | SOLE |  | 5600 | 0 | 0 |
| PAMPA ENERGIA S A | SPONS ADR LVL I | 697660207 |  | 2162338 | 67700 | SH |  | SOLE |  | 67700 | 0 | 0 |
| PARATEK PHARMACEUTICALS INC | COM | 699374302 |  | 93500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| PARATEK PHARMACEUTICALS INC | COM | 699374302 |  | 121120 | 64770 | SH |  | SOLE |  | 64770 | 0 | 0 |
| PATTERSON COS INC | COM | 703395103 |  | 482116 | 17200 | SH |  | SOLE |  | 17200 | 0 | 0 |
| PCSB FINL CORP | COM | 69324R104 |  | 590240 | 31000 | SH |  | SOLE |  | 31000 | 0 | 0 |
| PERCEPTION CAPITAL CORP II | *W EXP 10/25/202 | G7007D110 |  | 3922 | 198080 | SH |  | SOLE |  | 198080 | 0 | 0 |
| PHOENIX BIOTECH ACQUISITION | CLASS A COM | 71902K105 |  | 2240065 | 217482 | SH |  | SOLE |  | 217482 | 0 | 0 |
| PHOENIX BIOTECH ACQUISITION | *W EXP 09/01/202 | 71902K113 |  | 4687 | 108741 | SH |  | SOLE |  | 108741 | 0 | 0 |
| PIVOTAL INVESTMENT CORP III | COM CL A | 72582M106 |  | 144751 | 14302 | SH |  | SOLE |  | 14302 | 0 | 0 |
| PLANET LABS PBC | COM CL A | 72703X106 |  | 87000 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| POSHMARK INC | COM CL A | 73739W104 |  | 28240334 | 1579437 | SH |  | SOLE |  | 1579437 | 0 | 0 |
| PRIMO WATER CORPORATION | COM | 74167P108 |  | 503496 | 32400 | SH |  | SOLE |  | 32400 | 0 | 0 |
| PRIVETERRA ACQUISITION CORP | CL A | 74275N102 |  | 400109 | 39792 | SH |  | SOLE |  | 39792 | 0 | 0 |
| PROFESSIONAL HLDG CORP | CL A COM | 743139107 |  | 7910921 | 285181 | SH |  | SOLE |  | 285181 | 0 | 0 |
| PROSHARES TR | ULTRAPRO QQQ | 74347X831 |  | 6735755 | 389350 | SH |  | SOLE |  | 389350 | 0 | 0 |
| PROSHARES TR II | ULTRA VIX SHORT | 74347Y839 |  | 379358 | 55300 | SH |  | SOLE |  | 55300 | 0 | 0 |
| RENESOLA LTD | SPONSORED ADS | 75971T301 |  | 359340 | 79500 | SH |  | SOLE |  | 79500 | 0 | 0 |
| SAFEHOLD INC | COM | 78645L100 |  | 1066267 | 37256 | SH |  | DFND |  | 37256 | 0 | 0 |
| SALESFORCE INC | COM | 79466L302 |  | 6604175 | 49809 | SH |  | SOLE |  | 49809 | 0 | 0 |
| SEAPORT GLOBAL ACQUISITION I | *W EXP 11/17/202 | 81221H113 |  | 212 | 21237 | SH |  | SOLE |  | 21237 | 0 | 0 |
| SEAPORT GLOBAL ACQUISITION I | CLASS A COM | 81221H105 |  | 562020 | 55100 | SH |  | SOLE |  | 55100 | 0 | 0 |
| SEASPINE HLDGS CORP | COM | 81255T108 |  | 344137 | 41214 | SH |  | SOLE |  | 41214 | 0 | 0 |
| SOCIAL LEVERAGE ACQUISN CORP | CL A COM | 83363K102 |  | 426000 | 42600 | SH |  | SOLE |  | 42600 | 0 | 0 |
| SOLAREDGE TECHNOLOGIES INC | COM | 83417M104 |  | 433403 | 1530 | SH |  | SOLE |  | 1530 | 0 | 0 |
| STEM INC | COM | 85859N102 |  | 286080 | 32000 | SH |  | SOLE |  | 32000 | 0 | 0 |
| STORE CAP CORP | COM | 862121100 |  | 101614811 | 3169520 | SH |  | SOLE |  | 3169520 | 0 | 0 |
| SUNNOVA ENERGY INTL INC. | COM | 86745K104 |  | 232689 | 12920 | SH |  | SOLE |  | 12920 | 0 | 0 |
| SUNRUN INC | COM | 86771W105 |  | 302652 | 12600 | SH |  | SOLE |  | 12600 | 0 | 0 |
| TALON 1 ACQUISITION CORP | UNIT 11/02/2026 | G86656124 |  | 400981 | 38968 | SH |  | SOLE |  | 38968 | 0 | 0 |
| TARGA RES CORP | COM | 87612G101 |  | 9672600 | 131600 | SH |  | SOLE |  | 131600 | 0 | 0 |
| TELESAT CORP | CL A  CL B SHS | 879512309 |  | 353250 | 47100 | SH |  | DFND |  | 47100 | 0 | 0 |
| TELESAT CORP | CL A  CL B SHS | 879512309 |  | 4078673 | 543823 | SH |  | SOLE |  | 543823 | 0 | 0 |
| TEUCRIUM COMMODITY TR | CORN FD SHS | 88166A102 |  | 5570471 | 206850 | SH |  | SOLE |  | 206850 | 0 | 0 |
| THRIVE ACQUISITION CORPORATI | CLASS A ORD | G7158C101 |  | 3360335 | 324984 | SH |  | SOLE |  | 324984 | 0 | 0 |
| THRIVE ACQUISITION CORPORATI | *W EXP 10/31/202 | G7158C119 |  | 1641 | 162492 | SH |  | SOLE |  | 162492 | 0 | 0 |
| TREAN INS GROUP INC | COM | 89457R101 |  | 7545684 | 1257614 | SH |  | SOLE |  | 1257614 | 0 | 0 |
| UMPQUA HLDGS CORP | COM | 904214103 |  | 35679633 | 1998859 | SH |  | SOLE |  | 1998859 | 0 | 0 |
| USERTESTING INC | COM | 91734E101 |  | 15193751 | 2023136 | SH |  | SOLE |  | 2023136 | 0 | 0 |
| VISTRA CORP | COM | 92840M102 |  | 3085600 | 133000 | SH |  | SOLE |  | 133000 | 0 | 0 |
| VIVINT SMART HOME INC | COM CL A | 928542109 |  | 42495935 | 3571087 | SH |  | SOLE |  | 3571087 | 0 | 0 |
| WESTERN MIDSTREAM PARTNERS L | COM UNIT LP INT | 958669103 |  | 7466985 | 278100 | SH |  | SOLE |  | 278100 | 0 | 0 |
| WHEELER REAL ESTATE INVT TR | CV PFD SER B | 963025309 |  | 125098 | 82301 | SH |  | SOLE |  | 82301 | 0 | 0 |
| WHEELER REAL ESTATE INVT TR | PFD CNV SER D | 963025606 |  | 607332 | 47300 | SH |  | SOLE |  | 47300 | 0 | 0 |
| WHITESTONE REIT | COM | 966084204 |  | 8437458 | 875255 | SH |  | SOLE |  | 875255 | 0 | 0 |
| WHITESTONE REIT | COM | 966084204 |  | 7136135 | 740263 | SH |  | DFND |  | 740263 | 0 | 0 |

---