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Home > Insider Trading > Filing (0001718218-18-000015)

Filing Details

Accession Number:: 0001718218-18-000015
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-09-18 11:52:14
Reporting Period:: 2018-09-17

Accepted Time:: 2018-09-18 11:52:14
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

Show Other Fields >>

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	2018-09-17	200	$9.82	423,600	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
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.