0001718133-18-000027.txt : 20181009 0001718133-18-000027.hdr.sgml : 20181009 20181009104503 ACCESSION NUMBER: 0001718133-18-000027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181005 FILED AS OF DATE: 20181009 DATE AS OF CHANGE: 20181009 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: 181112699 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 2018-10-05 0 0001703079 XAI Octagon Floating Rate & Alternative Income Term Trust XFLT 0001718133 Spence John Yogi 321 N. CLARK STREET CHICAGO IL 60654 0 1 0 0 CFO & Treasurer Common Shares of Beneficial Interest 2018-10-05 4 S 0 100 9.8 D 422896 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. Spence may be deemed to indirectly beneficially own Common Shares owned by XAI, by virtue of his control of XAI. /s/ John Yogi Spence 2018-10-09