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