0001718218-20-000002.txt : 20200114
0001718218-20-000002.hdr.sgml : 20200114
20200114094451
ACCESSION NUMBER: 0001718218-20-000002
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200109
FILED AS OF DATE: 20200114
DATE AS OF CHANGE: 20200114
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brombach Theodore J
CENTRAL INDEX KEY: 0001718218
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-23247
FILM NUMBER: 20525125
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/A
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4/A
2020-01-09
2020-01-13
0
0001703079
XAI Octagon Floating Rate & Alternative Income Term Trust
XFLT
0001718218
Brombach Theodore J
321 N. CLARK STREET
CHICAGO
IL
60654
0
1
0
0
President&CEO
Common Shares of Beneficial Interest
2020-01-09
4
P
0
609
8.2
A
418764
D
Common Shares of Beneficial Interest
2020-01-10
4
P
0
612
8.17
A
419376
D
Common Shares of Beneficial Interest
10205
I
XA Investments LLC
Common Shares acquired by XA Investments LLC ("XAI"), the Trust's investment manager, to provide the Trust with required seed capital. Mr. Brombach may be deemed to indirectly beneficially own Common Shares owned by XAI, by virtue of his control of XAI.
Theodore J Brombach
2020-01-14