Insider holders · CIK 0001703079
XAI Octagon Floating Rate & Alternative Income Term Trust · XFLT
Every insider with a reported Table I holding at this company, ranked by their last-reported share count. A balance is only as fresh as its filing — the report date sits next to every row on purpose. ← Back to activity
| Insider | Direct shares | Indirect shares | Total reported | Last report (ET) | From |
|---|---|---|---|---|---|
| John Yogi SpenceCFO & Treasurer | 424,889 | 10,205 | 435,094 | Dec 21, 2018 · 5:34 pm EST | Form 4 |
| Theodore J BrombachPresident & CEO | 418,155 | 10,205 | 428,360 | Oct 12, 2018 · 3:27 pm EDT | Form 4 |
| Octagon Credit Investors, LLCrelationship not stated | 300,000 | — | 300,000 | Sep 27, 2017 · 6:54 pm EDT | Form 3 |
| John P McGarrityChief Legal & Secretary | 51,431 | — | 51,431 | Mar 20, 2018 · 6:16 pm EDT | Form 4 |
| Philip G Franklinrelationship not stated | 43,206 | — | 43,206 | Oct 30, 2018 · 1:49 pm EDT | Form 4 |
| Kimberly Ann FlynnVice President | 37,800 | — | 37,800 | Sep 28, 2017 · 1:28 pm EDT | Form 3 |
| Danielle Cuppsrelationship not stated | 30,000 | — | 30,000 | Sep 13, 2018 · 3:59 pm EDT | Form 4 |
| Gregory Dingensrelationship not stated | 27,000 | — | 27,000 | Nov 6, 2018 · 1:45 pm EST | Form 4 |
| Lauren Michelle Basmadjianrelationship not stated | 17,500 | — | 17,500 | Jan 15, 2019 · 11:59 am EST | Form 4 |
| XA Investments LLCrelationship not stated | 10,205 | — | 10,205 | Sep 29, 2017 · 11:20 am EDT | Form 3 |
| Scott C Jonesrelationship not stated | 5,971 | — | 5,971 | Jan 18, 2019 · 3:20 pm EST | Form 4 |
| Lauren Kristen Lawrelationship not stated | 0 | — | 0 | Jan 17, 2018 · 5:07 pm EST | Form 3 |
| Sungho Matthew Leerelationship not stated | 0 | — | 0 | Jan 17, 2018 · 5:09 pm EST | Form 3 |
| Andrew David Gordonrelationship not stated | 0 | — | 0 | Sep 27, 2017 · 6:55 pm EDT | Form 3 |
| Gretchen Mae Mohrrelationship not stated | 0 | — | 0 | Sep 27, 2017 · 6:59 pm EDT | Form 3 |
| Michael Bennett Nechamkinrelationship not stated | 0 | — | 0 | Sep 27, 2017 · 6:58 pm EDT | Form 3 |
Balances come from each insider’s most recent filing that reports a Table I holding; an insider who left the company years ago still appears with their last-known figure and its date. Indirect totals collapse multiple vehicles (trusts, LLCs) into one number — open the filing for the breakdown. Shares as filed, not split-adjusted.