John Yogi Spence - 11 Dec 2023 Form 4 Insider Report for XAI Octagon Floating Rate & Alternative Income Term Trust (XFLT)

Role
Adviser Personnel
Signature
/s/ John Yogi Spence
Issuer symbol
XFLT
Transactions as of
11 Dec 2023
Net transactions value
+$5,816
Form type
4
Filing time
13 Dec 2023, 13:02:53 UTC
Previous filing
06 Dec 2023
Next filing
26 Feb 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 -5,409 -23% $0.000000 18,502 11 Dec 2023 XMS Holdings LLC F1, F2
transaction XFLT Common Shares of Beneficial Ownership Purchase $5,816 +825 +4.5% $7.05 19,327 12 Dec 2023 XMS Holdings LLC F2
holding XFLT Common Shares of Beneficial Ownership 534,019 11 Dec 2023 Direct F3
holding XFLT Common Shares of Beneficial Ownership 10,250 11 Dec 2023 XA Investments LLC
holding XFLT Common Shares of Beneficial Ownership 675 11 Dec 2023 By Spouse F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees.
F2 Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC.
F3 Includes 22,522.086 shares acquired under the XFLT dividend reinvestment plan for John Yogi Spence.
F4 Includes 91.842 shares acquired under the XFLT dividend reinvestment plan for the spouse of John Yogi Spence.