UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): December 30, 2021 (December 21, 2021)

HIGHLAND GLOBAL ALLOCATION FUND

(Exact Name of Registrant as Specified in Charter)

MASSACHUSETTS

811-23369

91-6361402

(State or Other Jurisdiction

of Incorporation)

(Commission

File Number)

(IRS Employer

Identification No.)

300 Crescent Court

Suite 700

Dallas, Texas 75201

(Address of principal executive offices, including zip code)

(877) 665-1287

(Registrant’s telephone number, including area code)

N/A

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of Each Class

Trading

Symbol

Name of Each Exchange

on Which Registered

Common Shares of Beneficial Interest

HGLB

New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 7.01. Regulation FD Disclosure.

On December 21, 2021, the Board of Trustees (the “Board”) of Highland Global Allocation Fund (the “Fund”) adopted an amendment (the “DOT Amendment”) to the Fund’s Amended and Restated Agreement and Declaration of Trust, dated August 17, 2017, and amended and restated in its entirety the bylaws of the Fund (the “Amended and Restated Bylaws”). The DOT Amendment and the Amended and Restated Bylaws were deemed effective December 21, 2021. Copies of the DOT Amendment and the Amended and Restated Bylaws are included as Exhibit 3.1 and Exhibit 3.2 to this report and incorporated by reference herein.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.


Exhibit Number		Description

3.1		Fifth Amendment to the Amended and Restated Agreement and Declaration of Trust of Highland Global Allocation Fund, effective as of December 21, 2021

3.2		Second Amended and Restated Bylaws of Highland Global Allocation Fund, effective as of December 21, 2021

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


HIGHLAND GLOBAL ALLOCATION FUND

By:		/s/ Stephanie Vitiello
Name:		Stephanie Vitiello
Title:		Secretary

DATE: December 30, 2021

HIGHLAND GLOBAL ALLOCATION FUND 8-K