Insider · CIK 0001718133

John Yogi Spence

Files at: Evanston Multi-Alpha Fund, Octagon XAI CLO Income Fund, XFLT. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market buys & salesbuys $135k · 5sales $231k · 26net −$96k

Reported trades — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Sep 1, 2026 PForm 4 →	Sep 3, 1:02 pm EDT	Evanston Multi-Alpha Fundno symbol	10,388	$9.63	$100,001	10,388	—
Jun 1, 2026 PForm 4 →	Jun 10, 8:28 pm EDT	Octagon XAI CLO Income Fundno symbol	300,000	—	—	1,000,000	—	late
Dec 21, 2018 PForm 4 →	Dec 21, 5:34 pm EST	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	2,500	$7.37	$18,425	424,889	+0.59%	plan?
Oct 11, 2018 SForm 4 →	Oct 12, 3:01 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	100	$9.88	$988	422,389	−0.02%	plan?
Oct 10, 2018 SForm 4 →	Oct 11, 2:15 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	400	$9.88	$3,950	422,489	−0.09%	plan?
Oct 8, 2018 SForm 4 →	Oct 9, 11:02 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	7	$9.80	$69	422,889	−0.00%	plan?
Oct 5, 2018 SForm 4 →	Oct 9, 10:45 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	100	$9.80	$980	422,896	−0.02%	plan?
Oct 4, 2018 SForm 4 →	Oct 5, 3:54 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	100	$9.83	$983	422,996	−0.02%	plan?
Oct 3, 2018 SForm 4 →	Oct 4, 4:12 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	1,080	$9.85	$10,642	423,096	−0.25%	plan?
Oct 2, 2018 SForm 4 →	Oct 3, 1:40 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	511	$9.81	$5,015	424,176	−0.12%	plan?
Oct 1, 2018 SForm 4 →	Oct 2, 11:07 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	1,200	$9.82	$11,784	424,687	−0.28%	plan?
Sep 27, 2018 SForm 4 →	Sep 28, 1:29 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	700	$9.82	$6,874	426,287	−0.16%	plan?
Sep 26, 2018 SForm 4 →	Oct 1, 5:12 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	400	$9.80	$3,920	425,887	−0.09%	plan? late
Sep 25, 2018 SForm 4 →	Sep 26, 1:45 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	200	$9.82	$1,964	426,987	−0.05%	plan?
Sep 20, 2018 SForm 4 →	Sep 21, 12:13 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	200	$9.81	$1,961	427,187	−0.05%	plan?
Sep 19, 2018 SForm 4 →	Sep 20, 2:13 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	400	$9.82	$3,929	427,387	−0.09%	plan?
Sep 18, 2018 SForm 4 →	Sep 19, 11:38 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	300	$9.83	$2,949	427,787	−0.07%	plan?
Sep 17, 2018 SForm 4 →	Sep 18, 11:40 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	200	$9.82	$1,963	428,087	−0.05%	plan?
Sep 14, 2018 SForm 4 →	Sep 17, 12:56 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	1,000	$9.87	$9,868	428,287	−0.23%	plan?
Sep 13, 2018 SForm 4 →	Sep 14, 12:11 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	2,820	$9.87	$27,827	429,287	−0.65%	plan?
Sep 12, 2018 SForm 4 →	Sep 13, 11:15 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	1,100	$9.83	$10,815	432,107	−0.25%	plan?
Sep 11, 2018 SForm 4 →	Sep 12, 1:35 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	300	$9.87	$2,961	433,207	−0.07%	plan?
Sep 10, 2018 SForm 4 →	Sep 11, 11:38 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	300	$9.87	$2,961	433,507	−0.07%	plan?
Sep 7, 2018 SForm 4 →	Sep 10, 2:43 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	300	$9.85	$2,956	433,807	−0.07%	plan?
Sep 6, 2018 SForm 4 →	Sep 7, 12:35 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	1,000	$9.89	$9,894	434,107	−0.23%	plan?
Sep 5, 2018 SForm 4 →	Sep 6, 11:48 am EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	300	$9.87	$2,960	435,107	−0.07%	plan?
Sep 4, 2018 SForm 4 →	Sep 5, 6:41 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	2,400	$9.89	$23,729	435,407	−0.55%	plan?
Aug 31, 2018 SForm 4 →	Sep 4, 12:14 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	1,198	$9.96	$11,929	437,807	−0.27%	plan?
Aug 28, 2018 SForm 4 →	Aug 30, 5:05 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	6,680	$9.99	$66,735	439,005	−1.50%	plan?
Mar 20, 2018 PForm 4 →	Mar 20, 6:23 pm EDT	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	270	$9.58	$2,587	445,685	+0.06%	plan?
Feb 7, 2018 PForm 4 →	Feb 8, 4:59 pm EST	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	265	$9.75	$2,584	445,415	+0.06%	plan?
Dec 22, 2017 PForm 4 →	Jan 2, 2018, 6:24 pm EST	XAI Octagon Floating Rate & Alternative Income Term TrustXFLT	1,200	$9.44	$11,328	445,150	+0.27%	plan? late

Reported trades — derivatives (options, RSUs, warrants)

No reported derivative activity in this period.