0001718133-24-000002.txt : 20240510 0001718133-24-000002.hdr.sgml : 20240510 20240510163725 ACCESSION NUMBER: 0001718133-24-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240509 FILED AS OF DATE: 20240510 DATE AS OF CHANGE: 20240510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spence John Yogi CENTRAL INDEX KEY: 0001718133 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23247 FILM NUMBER: 24935566 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 Trust CENTRAL INDEX KEY: 0001703079 ORGANIZATION NAME: 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: 20170901 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 X0508 4 2024-05-09 0 0001703079 XAI Octagon Floating Rate & Alternative Income Trust XFLT 0001718133 Spence John Yogi 321 N. CLARK STREET CHICAGO IL 60054 0 0 0 1 Advisor Personnel 0 Common Shares of Beneficial Ownership 2024-05-09 4 P 0 3417 7.13 A 23950.74 I XMS Holdings LLC Common Shares of Beneficial Ownership 2024-05-10 4 P 0 3450 7.13 A 27400.74 I XMS Holdings LLC Common Shares of Beneficial Ownership 537763.098 D Common Shares of Beneficial Ownership 716.794 I By Spouse Common Shares of Beneficial Ownership 10250 I XA Investments LLC Includes 1,207.18 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC Includes 3,744.21 shares acquired under the XFLT dividend reinvestment plan for John Yogi Spence Includes 42.141 shares acquired under the XFLT dividend reinvestment plan for spouse of John Yogi Spence /s/ John Yogi Spence 2024-05-10