Filing Details

Accession Number:
0001718218-22-000004
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2022-11-09 20:39:01
Reporting Period:
2022-11-08
Accepted Time:
2022-11-09 20:39:01
Original Submission Date:
2022-11-09
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 60054
President & Ceo No Yes No No
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 Ownership Acquisiton 2022-11-08 100 $6.38 4,100 No 4 P Indirect XMS Holdings LLC
Common Shares Of Beneficial Ownership Acquisiton 2022-11-08 2,100 $6.49 6,200 No 4 P Indirect XMS Holdings LLC
Common Shares Of Beneficial Ownership Acquisiton 2022-11-08 1,800 $6.50 8,000 No 4 P Indirect XMS Holdings LLC
Common Shares Of Beneficial Ownership Acquisiton 2022-11-09 1,082 $6.53 9,082 No 4 P Indirect XMS Holdings LLC
Common Shares Of Beneficial Ownership Acquisiton 2022-11-09 918 $6.56 10,000 No 4 P Indirect XMS Holdings LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect XMS Holdings LLC
No 4 P Indirect XMS Holdings LLC
No 4 P Indirect XMS Holdings LLC
No 4 P Indirect XMS Holdings LLC
No 4 P Indirect XMS Holdings LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares Of Beneficial Ownership 10,205 Indirect XA Investments LLC
Common Shares Of Beneficial Ownership 484,646 Direct