0001718218-22-000004.txt : 20221109 0001718218-22-000004.hdr.sgml : 20221109 20221109203901 ACCESSION NUMBER: 0001718218-22-000004 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221108 FILED AS OF DATE: 20221109 DATE AS OF CHANGE: 20221109 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: 221374559 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 2022-11-08 2022-11-09 0 0001703079 XAI Octagon Floating Rate & Alternative Income Term Trust XFLT 0001718218 Brombach Theodore J 321 N. CLARK STREET CHICAGO IL 60054 0 1 0 0 President & CEO Common Shares of Beneficial Ownership 2022-11-08 4 P 0 100 6.38 A 4100 I XMS Holdings LLC Common Shares of Beneficial Ownership 2022-11-08 4 P 0 2100 6.49 A 6200 I XMS Holdings LLC Common Shares of Beneficial Ownership 2022-11-08 4 P 0 1800 6.5 A 8000 I XMS Holdings LLC Common Shares of Beneficial Ownership 2022-11-09 4 P 0 1082 6.53 A 9082 I XMS Holdings LLC Common Shares of Beneficial Ownership 2022-11-09 4 P 0 918 6.56 A 10000 I XMS Holdings LLC Common Shares of Beneficial Ownership 10205 I XA Investments LLC Common Shares of Beneficial Ownership 484646 D XA Investments is a subsidiary of XMS Holdings LLC. /s/ Theodore Brombach 2022-11-09