Theodore J. Brombach - 16 Feb 2024 Form 3 Insider Report for Octagon XAI CLO Income Fund

Reporting relationship: President & CEO, Interested Trustee
Issuer ticker: N/A
Reported as of: 16 Feb 2024
Net transaction value: $0
SEC form: 3
Accepted by SEC: 26 Feb 2024, 16:40:59 UTC
Prior SEC filing: 13 Dec 2023
Next SEC filing: 20 Mar 2024
Source filing: View source filing
Reporting owner signature: /s/ Theodore J. Brombach

Key filing fact

Theodore J. Brombach filed Form 3 for Octagon XAI CLO Income Fund on 26 Feb 2024.

Key facts

This page summarizes Theodore J. Brombach's Form 3 filing for Octagon XAI CLO Income Fund.
0 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 26 Feb 2024, 16:40.

Change

Previous filing in this sequence was filed on 13 Dec 2023.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Official SEC source

Ownership activity is grounded in SEC Form 3 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

No ticker holding

Common Shares of Beneficial Ownership

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 4,000
Date: 16 Feb 2024
Ownership: XA Investments LLC
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 1 footnote

Footnote F1

Common Shares acquired by XA Investments LLC ("XAI"), the Trust's investment manager, to provide the Trust with required seed capital. Mr. Brombach may be deemed to indirectly beneficially own Common Shares owned by XAI, by virtue of his control of XAI.