Filing Details
- Accession Number:
- 0001718218-18-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-30 17:22:50
- Reporting Period:
- 2018-08-28
- Accepted Time:
- 2018-08-30 17:22:50
- 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 | Disposition | 2018-08-28 | 1,600 | $9.95 | 439,950 | No | 4 | S | Direct | |
| Common Shares Of Beneficial Interest | Disposition | 2018-08-29 | 1,760 | $9.99 | 438,190 | No | 4 | S | Direct | |
| Common Shares Of Beneficial Interest | Disposition | 2018-08-30 | 3,690 | $10.02 | 434,500 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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
- 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.
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