Form 4 for XFLT XAI Floating Rate & Alternative Income Trust
Accepted 2023-12-13 00:00:00 ET · period of report 2023-12-11 · accession 0001209191-23-058455 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2023-12-13 | 2023-12-11 | XFLT | Spence John Yogi | Adviser Personnel | J - Other | $0.00 | -5,409 | 18.5K | -23% | $0 |
| I | 2023-12-13 | 2023-12-12 | XFLT | Spence John Yogi | Adviser Personnel | P - Purchase | $7.05 | +825 | 19.3K | +4% | +$5,816 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Shares of Beneficial Ownership | 2023-12-11 | J | D | 5,409 | $0.00 | 18,501.57 | I XMS Holdings LLC | — | — | (F2) Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. |
| 2 | Common | Common Shares of Beneficial Ownership | 2023-12-12 | P | A | 825 | $7.05 | 19,326.57 | I XMS Holdings LLC | — | — | (F2) Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. |