0001209191-23-055461.txt : 20231116
0001209191-23-055461.hdr.sgml : 20231116
20231116120530
ACCESSION NUMBER: 0001209191-23-055461
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231113
FILED AS OF DATE: 20231116
DATE AS OF CHANGE: 20231116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Spence John Yogi
CENTRAL INDEX KEY: 0001718133
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-23247
FILM NUMBER: 231413326
MAIL ADDRESS:
STREET 1: 321 N. CLARK STREET
CITY: CHICAGO
STATE: IL
ZIP: 60054
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0508
4
2023-11-13
0
0001703079
XAI Octagon Floating Rate & Alternative Income Term Trust
XFLT
0001718133
Spence John Yogi
321 N. CLARK STREET
CHICAGO
IL
60054
0
0
0
1
Adviser Personnel
0
Common Shares of Beneficial Ownership
2023-11-13
4
P
0
289
7.08
A
17683.85
I
XMS Holdings LLC
Common Shares of Beneficial Ownership
533260.099
D
Common Shares of Beneficial Ownership
10250
I
XA Investments LLC
Common Shares of Beneficial Ownership
666.112
I
By Spouse
XMS Holdings LLC purchased the shares in connection with planned employee compensation awards. Includes 2,633.85 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. Includes 21,763.299 shares acquired under the XFLT dividend reinvestment plan for John Yogi Spence. Also includes 83.302 shares acquired under the XFLT dividend reinvestment plan for his spouse.
/s/ John Yogi Spence
2023-11-16