0001209191-23-058454.txt : 20231213 0001209191-23-058454.hdr.sgml : 20231213 20231213130138 ACCESSION NUMBER: 0001209191-23-058454 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231211 FILED AS OF DATE: 20231213 DATE AS OF CHANGE: 20231213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brombach Theodore J CENTRAL INDEX KEY: 0001718218 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23247 FILM NUMBER: 231483529 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 doc4.xml FORM 4 SUBMISSION X0508 4 2023-12-11 0 0001703079 XAI Octagon Floating Rate & Alternative Income Term Trust XFLT 0001718218 Brombach Theodore J 321 NORTH CLARK STREET SUITE 2430 CHICAGO IL 60054 0 1 0 0 President & CEO 0 Common Shares of Beneficial Ownership 2023-12-11 4 J 0 5409 0.00 D 18501.57 I XMS Holdings LLC Common Shares of Beneficial Ownership 2023-12-12 4 P 0 825 7.05 A 19326.57 I XMS Holdings LLC Common Shares of Beneficial Ownership 484646 D Common Shares of Beneficial Ownership 10250 I XA Investments LLC Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. /s/ Theodore Brombach 2023-12-13