Spence John Yogi 4
4 · XAI Octagon Floating Rate & Alternative Income Trust · Filed Jan 13, 2025
Insider Transaction Report
Form 4
Spence John Yogi
Vice President
Transactions
- Other
Common Shares of Beneficial Ownership
2024-12-18−6,052→ 20,733.94 total(indirect: By LLC)
Holdings
- 546,806.094
Common Shares of Beneficial Ownership
- 791.18(indirect: By Spouse)
Common Shares of Beneficial Ownership
- 10,250(indirect: By LLC)
Common Shares of Beneficial Ownership
Footnotes (3)
- [F1]Shares were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. Shares beneficially owned reflect 1,288.18 received through the XFLT Dividend Reinvestment Plan. Mr. Spence may be deemed to beneficially own shares owned by XMS Holdings, LLC due to his control of XMS Holdings, LLC.
- [F2]Mr. Spence may be deemed to beneficially own shares owned by XA Investments, LLC due to his control of XA Investments, LLC.
- [F3]Shares owned by spouse include 9.124 shares received through the XFLT Dividend Reinvestment Plan.