Brombach Theodore J 4
4 · XAI Octagon Floating Rate & Alternative Income Trust · Filed Jan 16, 2025
Insider Transaction Report
Form 4
Brombach Theodore J
DirectorPresident & CEO
Transactions
- Other
Common Shares of Beneficial Ownership
2024-12-18−6,052→ 20,733.94 total(indirect: By LLC)
Holdings
- 506,421.513
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 includes 1,288.18 shares received through the XFLT Dividend Reinvestment Plan. Mr. Brombach may be deemed to beneficially own shares owned by XMS Holdings, LLC due to his control of XMS Holdings, LLC.
- [F2]Shares beneficially owned include 13,052.404 shares received through the XFLT Dividend Reinvestment Plan
- [F3]Mr. Brombach may be deemed to beneficially own shares owned by XA Investments, LLC due to his control of XA Investments, LLC.