0001186522-20-000004.txt : 20201202 0001186522-20-000004.hdr.sgml : 20201202 20201202122956 ACCESSION NUMBER: 0001186522-20-000004 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201202 DATE AS OF CHANGE: 20201202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANKLIN PHILIP G CENTRAL INDEX KEY: 0001186522 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23247 FILM NUMBER: 201363010 MAIL ADDRESS: STREET 1: C/O XA INVESTMENTS STREET 2: 1290 BROADWAY STE 1100 CITY: DENVER STATE: CO ZIP: 80203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: XAI Octagon Floating Rate & Alternative Income Term Trust CENTRAL INDEX KEY: 0001703079 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 321 NORTH CLARK STREET #2430 CITY: CHICAGO STATE: IL ZIP: 60654 BUSINESS PHONE: (312) 374-6930 MAIL ADDRESS: STREET 1: 321 NORTH CLARK STREET #2430 CITY: CHICAGO STATE: IL ZIP: 60654 FORMER COMPANY: FORMER CONFORMED NAME: XAI Octagon Floating Rate Alternative Income Term Trust DATE OF NAME CHANGE: 20170714 FORMER COMPANY: FORMER CONFORMED NAME: XAI Octagon Floating Rate Income & Credit Alternative Trust DATE OF NAME CHANGE: 20170406 5 1 primary_doc.xml PRIMARY DOCUMENT X0306 5 2020-09-30 0 0 0 0001703079 XAI Octagon Floating Rate & Alternative Income Term Trust XFLT 0001186522 FRANKLIN PHILIP G C/O XA INVESTMENTS 1290 BROADWAY STE 1100 DENVER CO 80203 0 0 0 1 Trustee Common Shares of Beneficial Interest 60637 D Includes 4,395 shares acquired under the XFLT dividend reinvestment plan Philip G. Franklin 2020-12-02