Eagle Point Credit Management LLC - Sep 9, 2021 Form 3 Insider Report for XAI Octagon Floating Rate & Alternative Income Term Trust (XFLT)

Role
10%+ Owner
Signature
/s/ Thomas P. Majewski, Chief Executive Officer of each of Eagle Point Credit Management LLC, Eagle Point DIF GP I LLC, Eagle Point CIF GP I LLC, Eagle Point Defensive Income Fund US LP, EP DIF Cayman I LP, and Eagle Point Core Income Fund LP
Stock symbol
XFLT
Transactions as of
Sep 9, 2021
Transactions value $
$0
Form type
3
Date filed
9/20/2021, 08:25 PM
Previous filing
Jun 29, 2021
Next filing
Dec 13, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding XFLT 6.50% Series 2026 Term Preferred Shares 348K Sep 9, 2021 See footnotes F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Eagle Point Defensive Income Fund US LP ("DIF US") directly holds 165,317 shares; EP DIF Cayman I LP ("DIF Cayman") directly holds 62,986 shares; and Eagle Point Core Income Fund LP directly holds 120,000 shares.
F2 The 6.50% Series 2026 Term Preferred Shares Liquidation Preference $25.00 described herein are directly held by DIF US, DIF Cayman and Core LP (collectively, the "Funds"), each of which is a private investment fund that is managed by Eagle Point Credit Management ("EPCM") pursuant to an investment advisory agreement between such Fund and EPCM. Eagle Point DIF GP I LLC ("DIF GP") serves as general partner to DIF US and DIF Cayman and Eagle Point CIF GP I LLC ("Core GP") serves as general partner to Core LP (DIF GP and Core GP are collectively referred to as the "General Partners").
F3 Each Fund could be deemed to have a direct pecuniary interest in the securities that it holds. EPCM and each of the General Partners could be deemed to have an indirect pecuniary interest in the securities held by the relevant Funds.

Remarks:

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