Filing Details

Accession Number:
0001209191-23-058455
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-12-13 13:02:53
Reporting Period:
2023-12-11
Accepted Time:
2023-12-13 13:02:53
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
1718133 Yogi John Spence 321 North Clark Street
Suite 2430
Chicago IL 60054
No No 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 Ownership Disposition 2023-12-11 5,409 $0.00 18,502 No 4 J Indirect XMS Holdings LLC
Common Shares Of Beneficial Ownership Acquisiton 2023-12-12 825 $7.05 19,327 No 4 P Indirect XMS Holdings LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J 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 534,019 Direct
Common Shares Of Beneficial Ownership 10,250 Indirect XA Investments LLC
Common Shares Of Beneficial Ownership 675 Indirect By Spouse
Footnotes
  1. Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees.
  2. Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC.
  3. Includes 22,522.086 shares acquired under the XFLT dividend reinvestment plan for John Yogi Spence.
  4. Includes 91.842 shares acquired under the XFLT dividend reinvestment plan for the spouse of John Yogi Spence.