SEC Form 4 · accession 0001718218-18-000004
XAI Octagon Floating Rate & Alternative Income Term Trust · XFLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore J Brombach
Officer — President & CEO · Other
Period of report
Aug 28, 2018
Accepted (ET)
Aug 30, 2018 · 5:22 pm EDT
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 Shares of Beneficial Interest | Aug 28, 2018 | S | 1,600 | $9.9463 | D | 439,950 | D | |
| Common Shares of Beneficial Interest | Aug 29, 2018 | S | 1,760 | $9.9876 | D | 438,190 | D | |
| Common Shares of Beneficial Interest | Aug 30, 2018 | S | 3,690 | $10.018 | D | 434,500 | D | |
| Common Shares of Beneficial InterestF1 | holding | — | — | — | 10,205 | I | XA Investments LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Common 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.