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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 300 CRESCENT COURT, SUITE 700 DALLAS, TX 75201 |
Affiliated Person |
/s/ James D. Dondero | 10/24/2014 | |
**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). |
(16) | To correct certain acquisitions made in error by the administrator of the Reporting Person's 401(k) plan (the "Administrator"), the Administrator disposed of the securities reflected herein. The sale of NHF common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, (i) to the extent of 95.98 shares, with the Reporting Person's purchase of 95.98 shares of NHF common stock on September 17, 2013, (ii) to the extent of 92.98 shares, with the Reporting Person's purchase of 92.98 shares of NHF common stock on October 2, 2013, (iii) to the extent of 92.99 shares, with the Reporting Person's purchase of 92.99 shares of NHF common stock on October 17, 2013, and (iv) to the extent of 39.84 shares, with the Reporting Person's purchase of 39.84 shares on November 8, 2013. |
(17) | (Continued from footnote 16) The Reporting Person has paid to NHF $1,125.60, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs. Includes 65.2690 shares acquired on February 28, 2014 under the issuer's dividend reinvestment plan. |
(18) | Includes 60.29 shares acquired on March 10, 2014 under the issuer's dividend reinvestment plan. |
Remarks: Form 2 of 2 |