0001718133-22-000010.txt : 20221115 0001718133-22-000010.hdr.sgml : 20221115 20221115131849 ACCESSION NUMBER: 0001718133-22-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221111 FILED AS OF DATE: 20221115 DATE AS OF CHANGE: 20221115 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: 221390345 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2022-11-11 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 Common Shares of Beneficial Ownership 2022-11-11 4 P 0 3050 6.67 A 15050 I XMS Holdings LLC Common Shares of Beneficial Ownership 10205 I XA Investments LLC Common Shares of Beneficial Ownership 515496.797 D Common Shares of Beneficial Ownership 594.884 I By Spouse XA Investments is a subsidiary of XMS Holdings LLC. /s/ John Yogi Spence 2022-11-15