Insider Transactions Reported by 15 Insiders of XAI Octagon Floating Rate & Alternative Income Trust

Symbol
XFLT on NYSE
Location
Chicago, IL

Insiders trading volume in the past year

XAI Octagon Floating Rate & Alternative Income Trust executives and other stock owners filed with the SEC include:

Name Relationship Holdings Value Past Year Net Change Change % Report Date
Theodore J. Brombach President & CEO, Director $3,493,136 01 Oct 2025
John Yogi Spence Vice President $2,395,323 +$19,500 +0.82% 19 Feb 2026
Philip G. Franklin Trustee $466,195 30 Sep 2021
John P. McGarrity Officer of XAI $302,100 08 Dec 2021
Kimberly Ann Flynn Vice President $280,826 24 Dec 2025
Lauren Kristen Law Sub-Adviser Inv Comm Member $100,140 +$100,140 24 Oct 2025
Benjamin McCulloch Secretary & CLO $46,351 01 Oct 2025
Meyers William T. Director $18,636 30 Sep 2025
Scott C. Jones Trustee $0 -$73,119 -100% 11 Sep 2025
Randi Jean Roessler Chief Compliance Officer 02 Oct 2023
Eagle Point Credit Management LLC 10%+ Owner 09 Sep 2021
Theodore Uhl Chief Compliance Officer 30 Sep 2023
Andrew David Gordon Sub-Adviser Senior Adviser 30 Sep 2025
Lisa Woo Assistant Treasurer 26 Feb 2025
Madeline Arment Assistant Treasurer 26 Feb 2025

Recent Insider Transactions by Companies or Individuals for XAI Octagon Floating Rate & Alternative Income Trust

Insider Symbol Class Transaction % Value $ * Price $ Shares Shares Owned Date Ownership
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 0.9% $19,500 $3.90 5,000 561,792 19 Feb 2026 Direct
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Gift -32.7% -7,811 16,104 24 Dec 2025 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Gift -32.7% -7,811 16,104 24 Dec 2025 XMS Holdings LLC
Kimberly Ann Flynn XFLT Common Shares of Beneficial Interest Other 8.11% 3,504 46,708 24 Dec 2025 Direct
Benjamin McCulloch XFLT Common Shares of Beneficial Interest Other 41.8% 3,389 11,491 24 Dec 2025 Direct
Lauren Kristen Law XFLT Common shares Purchase $100,140 $5.01 20,000 20,000 24 Oct 2025 Direct
Scott C. Jones XFLT Common shares of beneficial ownership Sale -100% $73,119 $5.62 -13,009 0 11 Sep 2025 Direct
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 0.36% $12,760 $6.38 2,000 551,806 21 Feb 2025 Direct
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 0.55% $19,229 $6.41 3,000 549,806 19 Feb 2025 Direct
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 0.37% $13,000 $6.50 2,000 546,806 19 Dec 2024 Direct
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Other -22.6% -6,052 20,734 18 Dec 2024 XMS Holdings, LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Other -22.6% -6,052 20,734 18 Dec 2024 XMS Holdings, LLC
Benjamin McCulloch XFLT Common Shares of Beneficial Ownership Other 66.8% 2,857 7,131 18 Dec 2024 Direct
Kimberly Ann Flynn XFLT Common Shares of Beneficial Ownership Other 7.47% 3,004 43,204 18 Dec 2024 Direct
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase -3.16% -831 25,498 17 Jul 2024 XMS Holdings LLC
Theodore J. Brombach XFLT Common shares of beneficial ownership Other -3.16% -831 25,498 17 Jul 2024 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Other -8.57% -2,390 25,498 10 Jul 2024 XMS Holdings LLC
Theodore J. Brombach XFLT Common shares of beneficial ownership Other -8.57% -2,390 25,498 10 Jul 2024 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Gift -1.12% -6,000 531,763 21 May 2024 Direct
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 14.4% $24,598 $7.13 3,450 27,401 10 May 2024 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 14.4% $24,598 $7.13 3,450 27,401 10 May 2024 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 16.6% $24,363 $7.13 3,417 23,951 09 May 2024 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 16.6% $24,363 $7.13 3,417 23,951 09 May 2024 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 4.46% $5,816 $7.05 825 19,327 12 Dec 2023 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 4.46% $5,816 $7.05 825 19,327 12 Dec 2023 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Other -22.6% -5,409 18,502 11 Dec 2023 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Other -22.6% -5,409 18,502 11 Dec 2023 XMS Holdings LLC
Benjamin McCulloch XFLT Common Shares of Beneficial Interest Other 152.1% 2,209 3,661 11 Dec 2023 Direct
Kimberly Ann Flynn XFLT Common Shares of Beneficial Interest Other 6.35% 2,400 40,200 11 Dec 2023 Direct
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 33.9% $41,340 $6.89 6,000 23,684 05 Dec 2023 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 33.9% $41,340 $6.89 6,000 23,684 05 Dec 2023 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 1.66% $2,046 $7.08 289 17,684 13 Nov 2023 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 1.66% $2,046 $7.08 289 17,684 13 Nov 2023 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Gift -0.76% -4,000 520,285 24 Jul 2023 Direct
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 0.1% $3,165 $6.33 500 515,997 22 Dec 2022 Direct
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 25.4% $20,344 $6.67 3,050 15,050 11 Nov 2022 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 25.4% $20,344 $6.67 3,050 15,050 11 Nov 2022 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 20% $13,275 $6.64 2,000 12,000 10 Nov 2022 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 20% $13,275 $6.64 2,000 12,000 10 Nov 2022 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 25% $13,088 $6.54 2,000 10,000 09 Nov 2022 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 25% $13,088 $6.54 2,000 10,000 09 Nov 2022 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 25% $13,088 $6.54 2,000 10,000 09 Nov 2022 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 25% $13,088 $6.54 2,000 10,000 09 Nov 2022 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 100% $25,967 $6.49 4,000 8,000 08 Nov 2022 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 100% $25,967 $6.49 4,000 8,000 08 Nov 2022 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 100% $25,967 $6.49 4,000 8,000 08 Nov 2022 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 100% $25,967 $6.49 4,000 8,000 08 Nov 2022 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase 870.9% $22,927 $6.39 3,588 4,000 04 Nov 2022 XMS Holdings LLC
John Yogi Spence XFLT Common Shares of Beneficial Ownership Purchase 870.9% $22,927 $6.39 3,588 4,000 04 Nov 2022 XMS Holdings LLC
Theodore J. Brombach XFLT Common Shares of Beneficial Ownership Purchase $2,616 $6.35 412 412 03 Nov 2022 XMS Holdings LLC
* An asterisk sign (*) next to the price indicates that the price is likely invalid.