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