0001718218-17-000001.txt : 20170928 0001718218-17-000001.hdr.sgml : 20170928 20170928135241 ACCESSION NUMBER: 0001718218-17-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170927 FILED AS OF DATE: 20170928 DATE AS OF CHANGE: 20170928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brombach Theodore J CENTRAL INDEX KEY: 0001718218 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23247 FILM NUMBER: 171106821 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 3 1 primary_doc.xml PRIMARY DOCUMENT X0206 3 2017-09-27 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 1 President & CEO Interested Trustee Common Shares of Beneficial Interest 441250 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. /s/ Theodore J. Brombach 2017-09-28