0001209191-23-058455.txt : 20231213 0001209191-23-058455.hdr.sgml : 20231213 20231213130253 ACCESSION NUMBER: 0001209191-23-058455 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231211 FILED AS OF DATE: 20231213 DATE AS OF CHANGE: 20231213 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: 231483531 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 2023-12-11 0 0001703079 XAI Octagon Floating Rate & Alternative Income Term Trust XFLT 0001718133 Spence John Yogi 321 NORTH CLARK STREET SUITE 2430 CHICAGO IL 60054 0 0 0 1 Adviser Personnel 0 Common Shares of Beneficial Ownership 2023-12-11 4 J 0 5409 0.00 D 18501.57 I XMS Holdings LLC Common Shares of Beneficial Ownership 2023-12-12 4 P 0 825 7.05 A 19326.57 I XMS Holdings LLC Common Shares of Beneficial Ownership 534018.886 D Common Shares of Beneficial Ownership 10250 I XA Investments LLC Common Shares of Beneficial Ownership 674.652 I By Spouse Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. Includes 22,522.086 shares acquired under the XFLT dividend reinvestment plan for John Yogi Spence. Includes 91.842 shares acquired under the XFLT dividend reinvestment plan for the spouse of John Yogi Spence. /s/ John Yogi Spence 2023-12-13