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Home > Insider Trading > Filing (0001209191-23-058455)

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

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 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

Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees.
Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC.
Includes 22,522.086 shares acquired under the XFLT dividend reinvestment plan for John Yogi Spence.
Includes 91.842 shares acquired under the XFLT dividend reinvestment plan for the spouse of John Yogi Spence.