Filing Details

Accession Number:
0001718218-18-000003
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2018-03-22 12:35:02
Reporting Period:
2018-03-20
Accepted Time:
2018-03-22 12:35:02
Original Submission Date:
2018-03-21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1703079 Xai Octagon Floating Rate & Alternative Income Term Trust XFLT () 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1718218 J Theodore Brombach 321 N. Clark Street
Chicago IL 60654
President & Ceo No Yes No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares Of Beneficial Interest Acquisiton 2018-03-20 300 $9.57 441,550 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares Of Beneficial Interest 10,205 Indirect XA Investments LLC
Footnotes
  1. Common Shares acquired by XA Investments LLC ("XAI"), the Trust's investment manager, to provide the Trust with required seed capital. Mr. Brombach may be deemed to indirectly beneficially own Common Shares owned by XAI, by virtue of his control of XAI.