0001718133-21-000001.txt : 20210721 0001718133-21-000001.hdr.sgml : 20210721 20210721163057 ACCESSION NUMBER: 0001718133-21-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210721 FILED AS OF DATE: 20210721 DATE AS OF CHANGE: 20210721 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: 211104815 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 2021-07-21 0 0001703079 XAI Octagon Floating Rate & Alternative Income Term Trust XFLT 0001718133 Spence John Yogi 321 N. CLARK STREET CHICAGO IL 60054 0 0 0 1 Adviser Personnel Common Shares of Beneficial Interest 2021-07-21 4 P 0 127 8.4946 A 457597.492 D Common Shares of Beneficial Interest 2021-07-21 4 P 0 600 8.495 A 458197.492 D Common Shares of Beneficial Interest 2021-07-21 4 P 0 1500 8.5 A 459697.492 D Common Shares of Beneficial Interest 2021-07-21 4 P 0 2873 8.5 A 462570.492 D Common Shares of Beneficial Interest 2021-07-21 4 P 0 4400 8.5 A 466970.492 D Common Shares of Beneficial Interest 474222.534 D Common Shares of Beneficial Interest 2021-07-21 4 P 0 500 8.5 A 500 I By Spouse Common Shares of Beneficial Interest 10205 I XA Investments LLC Includes 7,252.042 shares acquired under the XFLT dividend reinvestment plan Includes 7,252.042 shares acquired under the XFLT dividend reinvestment plan John Yogi Spence 2021-07-21