SEC Form 4 · accession 0000894579-19-000010
XAI Octagon Floating Rate & Alternative Income Term Trust · XFLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Jan 11, 2019
Accepted (ET)
Jan 15, 2019 · 11:59 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001703079
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Jan 11, 2019 | P | 4,434 | $8.08 | A | 9,434 | D | |
| Common SharesF2 | Jan 14, 2019 | P | 8,066 | $7.99 | A | 17,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.06 to $8.10, inclusive. The reporting person undertakes to provide to XAI Octagon Floating Rate & Alternative Income Term Trust, any security holder of XAI Octagon Floating Rate & Alternative Income Term Trust, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.97 to $8.10, inclusive.