0001718133-24-000003.txt : 20240523 0001718133-24-000003.hdr.sgml : 20240523 20240523163708 ACCESSION NUMBER: 0001718133-24-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240521 FILED AS OF DATE: 20240523 DATE AS OF CHANGE: 20240523 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: 24978946 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 2024-05-21 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 Adviser Personnel 0 Common Shares of Beneficial Ownership 2024-05-21 4 G 0 6000 0 D 531763.098 D Common Shares of Beneficial Ownership 27400.74 I XMS Holdings LLC Common Shares of Beneficial Ownership 10250 I XA Investments LLC Common Shares of Beneficial Ownership 716.794 I By Spouse John Yogi Spence 2024-05-23