Theodore Brombach - Dec 18, 2024 Form 4 Insider Report for XAI Octagon Floating Rate & Alternative Income Trust (XFLT)

Role
President & CEO, Director
Signature
/s/Theodore Brombach
Stock symbol
XFLT
Transactions as of
Dec 18, 2024
Transactions value $
$0
Form type
4
Date filed
1/16/2025, 05:54 PM
Previous filing
Dec 2, 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction XFLT Common Shares of Beneficial Ownership Other $0 -6.05K -22.59% $0.00 20.7K Dec 18, 2024 XMS Holdings, LLC F1
holding XFLT Common Shares of Beneficial Ownership 506K Dec 18, 2024 Direct F2
holding XFLT Common Shares of Beneficial Ownership 10.3K Dec 18, 2024 XA Investments, LLC F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. Shares beneficially owned includes 1,288.18 shares received through the XFLT Dividend Reinvestment Plan. Mr. Brombach may be deemed to beneficially own shares owned by XMS Holdings, LLC due to his control of XMS Holdings, LLC.
F2 Shares beneficially owned include 13,052.404 shares received through the XFLT Dividend Reinvestment Plan
F3 Mr. Brombach may be deemed to beneficially own shares owned by XA Investments, LLC due to his control of XA Investments, LLC.