person · Reporting owner

Spence John Yogi

Disclosed activity across 5 companies

Tapewire entity: 1410
SEC CIK: 0001718133

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Evanston Multi-Alpha FundNONE · Entity 1409	Vice President	September 01, 2026	September 03, 2026
Octagon XAI CLO Income FundNONE · Entity 39721	Adviser Personnel	June 01, 2026	June 11, 2026
XAI Floating Rate & Alternative Income TrustXFLT · Entity 5990	Vice President	February 19, 2026	February 19, 2026
XAI Madison Equity Premium Income FundMCN · Entity 6653	Adviser Personnel	September 30, 2025	November 14, 2025

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Evanston Multi-Alpha Fund

Report date September 01, 2026 · Filed September 03, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class I Shares of Beneficial OwnershipSEC Table I · non-derivative	Direct	10,388.315	Reported balance After 2026-09-01 transaction · row 1 1 source row Row 1 · 2026-09-01 · Purchase · Acquired 10,388.315 · Balance 10,388.315 F1: Class I Shares of Beneficial Ownership were acquired at net asset value pursuant to the Fund's continuous offering. The Fund is a non-traded, closed-end fund that does not list its shares on any securities exchange, and shares are issued at the per-share net asset value as of the date on which the subscription is accepted.

Filing footnotes · ownership attribution and instrument terms

F1: Class I Shares of Beneficial Ownership were acquired at net asset value pursuant to the Fund's continuous offering. The Fund is a non-traded, closed-end fund that does not list its shares on any securities exchange, and shares are issued at the per-share net asset value as of the date on which the subscription is accepted.

Octagon XAI CLO Income Fund

Report date June 01, 2026 · Filed June 11, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
5.75% Series 2027 Term Preferred SharesSEC Table I · non-derivative	IndirectXMS Holdings LLC	2,000,000	Reported balance After 2026-06-01 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2026-06-01 · Purchase · Acquired 200,000 · Balance 2,000,000 F3: 5.75% Series 2027 Term Preferred Shares owned by XMS Holdings ("XMS"), an affiliate of the Trust's investment manager may be deemed to be indirectly beneficially owned by Mr. Spence by virtue of his control of XMS.
5.75% Series 2027 Term Preferred SharesSEC Table I · non-derivative	Direct	1,000,000	Reported balance After 2026-06-01 transaction · row 4 1 source row Row 4 · 2026-06-01 · Purchase · Acquired 100,000 · Balance 1,000,000
Class I SharesSEC Table I · non-derivative	IndirectXA Investments LLC	4,000	Reported balance Holding disclosure · report date 2026-06-01 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 4,000 F1: Class I Shares owned by XA Investments LLC ("XAI"), the Trust's investment manager may be deemed to be indirectly beneficially owned by Mr. Spence by virtue of his control of XAI.
Class I SharesSEC Table I · non-derivative	Direct	1,606.53	Reported balance Holding disclosure · report date 2026-06-01 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,606.53 F2: Shares beneficially owned reflect 556.88 received through the OCTIX Dividend Reinvestment Plan.

Filing footnotes · ownership attribution and instrument terms

F1: Class I Shares owned by XA Investments LLC ("XAI"), the Trust's investment manager may be deemed to be indirectly beneficially owned by Mr. Spence by virtue of his control of XAI.

F2: Shares beneficially owned reflect 556.88 received through the OCTIX Dividend Reinvestment Plan.

F3: 5.75% Series 2027 Term Preferred Shares owned by XMS Holdings ("XMS"), an affiliate of the Trust's investment manager may be deemed to be indirectly beneficially owned by Mr. Spence by virtue of his control of XMS.

XAI Floating Rate & Alternative Income Trust

Report date February 19, 2026 · Filed February 19, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Shares of Beneficial OwnershipSEC Table I · non-derivative	Direct	561,791.828	Reported balance After 2026-02-19 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2026-02-19 · Purchase · Acquired 5,000 · Balance 561,791.828 F1: Shares beneficially owned reflect 3,932.59 received through the XFLT Dividend Reinvestment Plan
Common Shares of Beneficial OwnershipSEC Table I · non-derivative	IndirectXA Investments LLC	10,250	Reported balance Holding disclosure · report date 2026-02-19 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 10,250
Common Shares of Beneficial OwnershipSEC Table I · non-derivative	IndirectBy Spouse	10,591.613	Reported balance Holding disclosure · report date 2026-02-19 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 10,591.613 F2: Shares beneficially owned reflect 138.189 received through the XFLT Dividend Reinvestment Plan
Common Shares of Beneficial OwnershipSEC Table I · non-derivative	IndirectXMS Holdings LLC	16,678.31	Reported balance Holding disclosure · report date 2026-02-19 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 16,678.31 F3: Shares beneficially owned reflect 217.60 received through the XFLT Dividend Reinvestment Plan

Filing footnotes · ownership attribution and instrument terms

F1: Shares beneficially owned reflect 3,932.59 received through the XFLT Dividend Reinvestment Plan

F2: Shares beneficially owned reflect 138.189 received through the XFLT Dividend Reinvestment Plan

F3: Shares beneficially owned reflect 217.60 received through the XFLT Dividend Reinvestment Plan

XAI Madison Equity Premium Income Fund

Report date September 30, 2025 · Filed November 14, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Shares of Beneficial OwnershipSEC Table I · non-derivative	Direct	2,573.791	Reported balance Holding disclosure · report date 2025-09-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,573.791 F1: Shares beneficially owned reflect 73.791 received through the MCN Dividend Reinvestment Plan

Filing footnotes · ownership attribution and instrument terms

F1: Shares beneficially owned reflect 73.791 received through the MCN Dividend Reinvestment Plan

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AirJoule Technologies Corp.

Report date September 18, 2024 · Filed October 22, 2024

Section 16 reporting ended · disclosed 2024-10-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	814,242	Ending reported balance After 2024-10-17 transaction · row 4 3 source rows · reconciled sequence Row 1 · 2024-09-18 · Purchase · Acquired 11,765 · Balance 61,666 Row 2 · 2024-09-19 · Purchase · Acquired 5,882 · Balance 67,548 Row 4 · 2024-10-17 · Other · Acquired 746,694 · Balance 814,242 F2: Represent securities acquired in the Distribution. F3: The reported securities include 163,031 shares subject to vesting pursuant to that certain Sponsor Support Agreement, dated as of June 5, 2023 (the "Sponsor Support Agreement").
Class A Common StockSEC Table I · non-derivative	IndirectBy XMS XPDI Sponsor II Holdings LLC	0	Reported balance After 2024-10-17 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2024-10-17 · Other · Disposed 3,481,337 · Balance 0 F1: Reflects a pro-rata distribution in-kind by XMS XPDI Sponsor II Holdings LLC ("XMS XPDI Holdings") to its members for no consideration (the "Distribution"). F5: Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by XMS XPDI Holdings may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein.
Class A Common StockSEC Table I · non-derivative	IndirectBy XMS Holdings LLC	153,626	Reported balance After 2024-10-17 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2024-10-17 · Other · Acquired 153,626 · Balance 153,626 F2: Represent securities acquired in the Distribution. F4: The reported securities include 33,542 shares subject to vesting pursuant to the Sponsor Support Agreement. F6: Theodore J. Brombach and John Yogi Spence are each 50% owners and the managing members of XMS Holdings LLC. As a result, all of the shares held by XMS Holdings LLC may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein.
Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2029-03-14	IndirectBy XMS XPDI Sponsor II Holdings LLC	0	Reported balance After 2024-10-17 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2024-10-17 · Other · Disposed 2,725,000 · Balance 0 F1: Reflects a pro-rata distribution in-kind by XMS XPDI Sponsor II Holdings LLC ("XMS XPDI Holdings") to its members for no consideration (the "Distribution"). F5: Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by XMS XPDI Holdings may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein.
Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2029-03-14	Direct	584,470	Reported balance After 2024-10-17 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2024-10-17 · Other · Acquired 584,470 · Balance 584,470 F2: Represent securities acquired in the Distribution.
Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2029-03-14	IndirectBy XMS Holdings LLC	120,250	Reported balance After 2024-10-17 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2024-10-17 · Other · Acquired 120,250 · Balance 120,250 F2: Represent securities acquired in the Distribution. F6: Theodore J. Brombach and John Yogi Spence are each 50% owners and the managing members of XMS Holdings LLC. As a result, all of the shares held by XMS Holdings LLC may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects a pro-rata distribution in-kind by XMS XPDI Sponsor II Holdings LLC ("XMS XPDI Holdings") to its members for no consideration (the "Distribution").

F2: Represent securities acquired in the Distribution.

F3: The reported securities include 163,031 shares subject to vesting pursuant to that certain Sponsor Support Agreement, dated as of June 5, 2023 (the "Sponsor Support Agreement").

F4: The reported securities include 33,542 shares subject to vesting pursuant to the Sponsor Support Agreement.

F5: Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by XMS XPDI Holdings may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein.

F6: Theodore J. Brombach and John Yogi Spence are each 50% owners and the managing members of XMS Holdings LLC. As a result, all of the shares held by XMS Holdings LLC may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 01, 2026 Filed Sep 3, 2026 17:02 UTC	Evanston Multi-Alpha Fund NONE · Entity 1409	PurchaseClass I Shares of Beneficial Ownership	10,388.315	$9.63	$100,001.04	Disclosure SEC source: 0001718133-26-000004 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,388.315 F1 · price: Class I Shares of Beneficial Ownership were acquired at net asset value pursuant to the Fund's continuous offering. The Fund is a non-traded, closed-end fund that does not list its shares on any securities exchange, and shares are issued at the per-share net asset value as of the date on which the subscription is accepted. Read SEC document
June 01, 2026 Filed Jun 11, 2026 00:28 UTC	Octagon XAI CLO Income Fund NONE · Entity 39721	Purchase5.75% Series 2027 Term Preferred Shares	100,000	$0.00	$0.00	Disclosure SEC source: 0001718133-26-000002 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,000,000 Read SEC document
June 01, 2026 Filed Jun 11, 2026 00:28 UTC	Octagon XAI CLO Income Fund NONE · Entity 39721	Purchase5.75% Series 2027 Term Preferred Shares	200,000	$0.00	$0.00	Disclosure SEC source: 0001718133-26-000002 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 2,000,000 F3 · ownership.direct: 5.75% Series 2027 Term Preferred Shares owned by XMS Holdings ("XMS"), an affiliate of the Trust's investment manager may be deemed to be indirectly beneficially owned by Mr. Spence by virtue of his control of XMS. Read SEC document
February 19, 2026 Filed Feb 19, 2026 20:39 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	5,000	$3.90	$19,500.00	Disclosure SEC source: 0001718133-26-000001 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 561,791.828 F1 · balance_after: Shares beneficially owned reflect 3,932.59 received through the XFLT Dividend Reinvestment Plan Read SEC document
December 24, 2025 Filed Dec 30, 2025 19:35 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	GiftCommon Shares of Beneficial Ownership	7,811	$0.00	$0.00	Disclosure SEC source: 0001718133-25-000011 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Vice President 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 16,104.24 Read SEC document
February 21, 2025 Filed Feb 22, 2025 00:23 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	2,000	$6.38	$12,760.00	Disclosure SEC source: 0001718133-25-000006 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 551,806.094 Read SEC document
February 19, 2025 Filed Feb 20, 2025 00:57 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	3,000	$6.41	$19,229.10	Disclosure SEC source: 0001718133-25-000005 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 549,806.094 Read SEC document
December 31, 2024 Filed Jan 3, 2025 23:08 UTC	Octagon XAI CLO Income Fund OCTIX · Entity 39721	PurchaseClass A Shares	967.118	$25.85	$25,000.00	Disclosure SEC source: 0001718133-25-000001 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,026.313 Read SEC document
December 31, 2024 Filed Jan 3, 2025 23:08 UTC	Octagon XAI CLO Income Fund OCTIX · Entity 39721	PurchaseClass I Shares	59.195	$25.34	$1,500.00	Disclosure SEC source: 0001718133-25-000001 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,059.195 Read SEC document
December 31, 2024 Filed Jan 7, 2025 15:35 UTC Amendment	Octagon XAI CLO Income Fund OCTIX · Entity 39721	PurchaseClass A Shares	967.118	$25.85	$25,000.00	Disclosure SEC source: 0001718133-25-000002 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 967.118 Read SEC document
December 31, 2024 Filed Jan 7, 2025 15:35 UTC Amendment	Octagon XAI CLO Income Fund OCTIX · Entity 39721	PurchaseClass I Shares	59.195	$25.34	$1,500.00	Disclosure SEC source: 0001718133-25-000002 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59.195 Read SEC document
December 19, 2024 Filed Dec 20, 2024 00:28 UTC	XAI Madison Equity Premium Income Fund MCN · Entity 6653	PurchaseCommon Shares of Beneficial Ownership	500	$6.60	$3,300.00	Disclosure SEC source: 0001718133-24-000006 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,500 Read SEC document
December 19, 2024 Filed Dec 20, 2024 00:28 UTC	XAI Madison Equity Premium Income Fund MCN · Entity 6653	PurchaseCommon Shares of Beneficial Ownership	2,000	$6.63	$13,260.00	Disclosure SEC source: 0001718133-24-000006 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,000 Read SEC document
December 19, 2024 Filed Dec 20, 2024 19:52 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	2,000	$6.50	$13,000.00	Disclosure SEC source: 0001718133-24-000007 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 546,806.094 Read SEC document
December 18, 2024 Filed Jan 13, 2025 21:55 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	OtherCommon Shares of Beneficial Ownership	6,052	$0.00	$0.00	Disclosure SEC source: 0001718133-25-000004 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Vice President 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings, LLC Disclosed balance after: 20,733.94 F1 · ownership.nature: 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. Read SEC document
October 17, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherPrivate Placement Warrants · Derivative	120,250	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · derivative · entry 8 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By XMS Holdings LLC Disclosed balance after: 120,250 Underlying: Class A Common Stock · 120,250 shares Expires 2029-03-14 F2 · kind: Represent securities acquired in the Distribution. F2 · price: Represent securities acquired in the Distribution. F6 · ownership.nature: Theodore J. Brombach and John Yogi Spence are each 50% owners and the managing members of XMS Holdings LLC. As a result, all of the shares held by XMS Holdings LLC may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein. Read SEC document
October 17, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherPrivate Placement Warrants · Derivative	584,470	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · derivative · entry 7 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 584,470 Underlying: Class A Common Stock · 584,470 shares Expires 2029-03-14 F2 · kind: Represent securities acquired in the Distribution. F2 · price: Represent securities acquired in the Distribution. Read SEC document
October 17, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherPrivate Placement Warrants · Derivative	2,725,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · derivative · entry 6 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By XMS XPDI Sponsor II Holdings LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 2,725,000 shares Expires 2029-03-14 F1 · kind: Reflects a pro-rata distribution in-kind by XMS XPDI Sponsor II Holdings LLC ("XMS XPDI Holdings") to its members for no consideration (the "Distribution"). F1 · price: Reflects a pro-rata distribution in-kind by XMS XPDI Sponsor II Holdings LLC ("XMS XPDI Holdings") to its members for no consideration (the "Distribution"). F5 · ownership.nature: Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by XMS XPDI Holdings may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein. Read SEC document
October 17, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherClass A Common Stock	153,626	$0.00	$0.00	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · nonDerivative · entry 5 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By XMS Holdings LLC Disclosed balance after: 153,626 F2 · kind: Represent securities acquired in the Distribution. F4 · shares: The reported securities include 33,542 shares subject to vesting pursuant to the Sponsor Support Agreement. F6 · ownership.nature: Theodore J. Brombach and John Yogi Spence are each 50% owners and the managing members of XMS Holdings LLC. As a result, all of the shares held by XMS Holdings LLC may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein. Read SEC document
October 17, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherClass A Common Stock	746,694	$0.00	$0.00	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 814,242 F2 · kind: Represent securities acquired in the Distribution. F3 · shares: The reported securities include 163,031 shares subject to vesting pursuant to that certain Sponsor Support Agreement, dated as of June 5, 2023 (the "Sponsor Support Agreement"). Read SEC document
October 17, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherClass A Common Stock	3,481,337	$0.00	$0.00	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By XMS XPDI Sponsor II Holdings LLC Disclosed balance after: 0 F1 · kind: Reflects a pro-rata distribution in-kind by XMS XPDI Sponsor II Holdings LLC ("XMS XPDI Holdings") to its members for no consideration (the "Distribution"). F5 · ownership.nature: Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by XMS XPDI Holdings may be deemed to be beneficially owned by each of the foregoing individuals. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein. Read SEC document
September 19, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	PurchaseClass A Common Stock	5,882	$8.50	$49,997.00	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,548 Read SEC document
September 18, 2024 Filed Oct 22, 2024 01:36 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	PurchaseClass A Common Stock	11,765	$8.50	$100,002.50	Disclosure SEC source: 0001213900-24-089409 · ownership.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,666 Read SEC document
September 16, 2024 Filed Sep 19, 2024 01:43 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherWarrants · Derivative	8,900,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001213900-24-080014 · ownership.xml · derivative · entry 5 Brombach Theodore J · CIK 0001718218 · 10% owner Spence John Yogi · CIK 0001718133 · 10% owner XMS XPDI Sponsor II Holdings LLC · CIK 0001899267 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: XPDI Sponsor II LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 8,900,000 shares Expires 2029-03-14 F1 · kind: Represents a pro rata distribution in-kind by XPDI Sponsor II LLC to its members for no consideration (the "Distribution"). F1 · price: Represents a pro rata distribution in-kind by XPDI Sponsor II LLC to its members for no consideration (the "Distribution"). F2 · ownership.nature: XPDI Sponsor II LLC (the "Sponsor") is controlled by its managing members, Transition Equity Partners, LLC ("TEP") and XMS XPDI Sponsor II Holdings, LLC ("XMS XPDI Holdings"). Patrick C. Eilers is the managing member of TEP, and Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Read SEC document
September 16, 2024 Filed Sep 19, 2024 01:43 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherClass A Common Stock	6,827,969	$0.00	$0.00	Disclosure SEC source: 0001213900-24-080014 · ownership.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · 10% owner Spence John Yogi · CIK 0001718133 · 10% owner XMS XPDI Sponsor II Holdings LLC · CIK 0001899267 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: XPDI Sponsor II LLC Disclosed balance after: 0 F1 · kind: Represents a pro rata distribution in-kind by XPDI Sponsor II LLC to its members for no consideration (the "Distribution"). F2 · ownership.nature: XPDI Sponsor II LLC (the "Sponsor") is controlled by its managing members, Transition Equity Partners, LLC ("TEP") and XMS XPDI Sponsor II Holdings, LLC ("XMS XPDI Holdings"). Patrick C. Eilers is the managing member of TEP, and Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Read SEC document
July 24, 2024 Filed Jul 27, 2024 01:50 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	OtherClass A Common Stock	162,059	$0.00	$0.00	Disclosure SEC source: 0001013762-24-001762 · ownership.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · 10% owner Spence John Yogi · CIK 0001718133 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By XMS MT Holdings LLC Disclosed balance after: 0 F1 · kind: Reflects a pro-rata distribution in-kind by XMS MT Holdings LLC to its members for no consideration. F2 · ownership.nature: The reporting persons are the managing members of XMS MT Holdings LLC. As a result, each of the reporting persons may be deemed to share beneficial ownership over the securities held by XMS MT Holdings LLC, but disclaims beneficial ownership of these securities, except to the extent, if any, of his pecuniary interest therein. Read SEC document
July 17, 2024 Filed Nov 15, 2024 22:34 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	831	$0.00	$0.00	Disclosure SEC source: 0001718133-24-000004 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 25,497.761 F2 · shares: Shares disposed on 07/17/2024 were transferred from XMS Holdings, LLC pursuant to compensatory shares transferred to employee upon separation from the firm Read SEC document
July 10, 2024 Filed Nov 15, 2024 22:34 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	OtherCommon Shares of Beneficial Ownership	2,390	$0.00	$0.00	Disclosure SEC source: 0001718133-24-000004 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 25,497.761 F1 · shares: Shares disposed on 07/10/2024 were transferred from XMS Holdings, LLC pursuant to compensatory shares transferred to employee upon separation from the firm Read SEC document
May 21, 2024 Filed May 23, 2024 20:37 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	GiftCommon Shares of Beneficial Ownership	6,000	$0.00	$0.00	Disclosure SEC source: 0001718133-24-000003 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 531,763.098 Read SEC document
May 10, 2024 Filed May 10, 2024 20:37 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	3,450	$7.13	$24,598.50	Disclosure SEC source: 0001718133-24-000002 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 27,400.74 F1 · balance_after: Includes 1,207.18 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC Read SEC document
May 09, 2024 Filed May 10, 2024 20:37 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	3,417	$7.13	$24,363.21	Disclosure SEC source: 0001718133-24-000002 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 23,950.74 F1 · balance_after: Includes 1,207.18 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC Read SEC document
March 14, 2024 Filed Mar 21, 2024 01:53 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	Exercise / conversionClass B Common Stock · Derivative	6,827,969	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-24-024486 · ownership.xml · derivative · entry 4 Brombach Theodore J · CIK 0001718218 · Director · 10% owner Spence John Yogi · CIK 0001718133 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By XPDI Sponsor II LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 6,827,969 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F1 · price: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F1 · derivative.exercise_date: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F1 · derivative.expiration_date: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F2 · ownership.nature: XPDI Sponsor II LLC (the "Sponsor") is controlled by its managing members, Transition Equity Partners, LLC ("TEP") and XMS XPDI Sponsor II Holdings, LLC ("XMS XPDI Holdings"). Patrick C. Eilers is the managing member of TEP, and Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be beneficially held by each of the foregoing individuals and entities. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein. Read SEC document
March 14, 2024 Filed Mar 21, 2024 01:53 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	Disposition to issuerClass B Common Stock · Derivative	269,531	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-24-024486 · ownership.xml · derivative · entry 3 Brombach Theodore J · CIK 0001718218 · Director · 10% owner Spence John Yogi · CIK 0001718133 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By XPDI Sponsor II LLC Disclosed balance after: 6,827,969 Underlying: Class A Common Stock · 269,531 shares Expires not disclosed F1 · derivative.exercise_price: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F5 · kind: On March 14, 2024, the Sponsor forfeited for no consideration 269,531 shares of Class B common stock in connection with the Business Combination and certain transactions with the Anchor Investors, as described on Form S-4 (File No. 333-273821) under the heading "The Business Combination." F1 · price: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F1 · derivative.exercise_date: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F1 · derivative.expiration_date: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F2 · ownership.nature: XPDI Sponsor II LLC (the "Sponsor") is controlled by its managing members, Transition Equity Partners, LLC ("TEP") and XMS XPDI Sponsor II Holdings, LLC ("XMS XPDI Holdings"). Patrick C. Eilers is the managing member of TEP, and Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be beneficially held by each of the foregoing individuals and entities. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein. Read SEC document
March 14, 2024 Filed Mar 21, 2024 01:53 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	GrantClass A Common Stock	162,059	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-24-024486 · ownership.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · Director · 10% owner Spence John Yogi · CIK 0001718133 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By XMS MT Holdings LLC Disclosed balance after: 162,059 F4 · kind: Represents securities received as part of the Issuer's business combination, in connection with that certain Agreement and Plan of Merger, dated as of June 5, 2023 (the "Merger Agreement"), by and between the Issuer (formerly, Power & Digital Infrastructure Acquisition II Corp.), XPDB Merger Sub, LLC and Montana Technologies LLC ("Legacy Montana"), pursuant to which the common units of Legacy Montana automatically converted into newly issued shares of Class A Common Stock. F4 · price: Represents securities received as part of the Issuer's business combination, in connection with that certain Agreement and Plan of Merger, dated as of June 5, 2023 (the "Merger Agreement"), by and between the Issuer (formerly, Power & Digital Infrastructure Acquisition II Corp.), XPDB Merger Sub, LLC and Montana Technologies LLC ("Legacy Montana"), pursuant to which the common units of Legacy Montana automatically converted into newly issued shares of Class A Common Stock. F3 · ownership.nature: The reporting persons are the managing members of XMS MT Holdings LLC. As a result, each of the reporting persons may be deemed to share beneficial ownership over the securities held by XMS MT Holdings LLC, but disclaims beneficial ownership of these securities, except to the extent, if any, of his pecuniary interest therein. Read SEC document
March 14, 2024 Filed Mar 21, 2024 01:53 UTC	AirJoule Technologies Corp. AIRJ · Entity 9063	Exercise / conversionClass A Common Stock	6,827,969	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-24-024486 · ownership.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · Director · 10% owner Spence John Yogi · CIK 0001718133 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By XPDI Sponsor II LLC Disclosed balance after: 6,827,969 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Upon the completion of the Business Combination, the shares of Class B Common Stock issued at the Issuer's (formerly, Power & Digital Infrastructure Acquisition II Corp.) initial public offering were automatically converted into shares of the Issuer's Class A Common Stock on a one-to-one basis. F2 · ownership.nature: XPDI Sponsor II LLC (the "Sponsor") is controlled by its managing members, Transition Equity Partners, LLC ("TEP") and XMS XPDI Sponsor II Holdings, LLC ("XMS XPDI Holdings"). Patrick C. Eilers is the managing member of TEP, and Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Holdings. Accordingly, all of the shares held by the Sponsor may be deemed to be beneficially held by each of the foregoing individuals and entities. Each such person disclaims beneficial ownership of these securities, except to the extent, if any, of their pecuniary interest therein. Read SEC document
December 12, 2023 Filed Dec 13, 2023 18:02 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	825	$7.05	$5,816.25	Disclosure SEC source: 0001209191-23-058455 · doc4.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 19,326.57 F2 · balance_after: Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. Read SEC document
December 11, 2023 Filed Dec 13, 2023 18:02 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	OtherCommon Shares of Beneficial Ownership	5,409	$0.00	$0.00	Disclosure SEC source: 0001209191-23-058455 · doc4.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 18,501.57 F1 · kind: Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. F2 · balance_after: Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. Read SEC document
December 05, 2023 Filed Dec 6, 2023 22:03 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	6,000	$6.89	$41,340.00	Disclosure SEC source: 0001209191-23-057634 · doc4.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 23,683.85 Read SEC document
November 13, 2023 Filed Nov 16, 2023 17:05 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	289	$7.08	$2,046.12	Disclosure SEC source: 0001209191-23-055461 · doc4.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 17,683.85 Read SEC document
July 24, 2023 Filed Jul 26, 2023 20:22 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	GiftCommon Shares of Beneficial Ownership	4,000	$0.00	$0.00	Disclosure SEC source: 0001718133-23-000001 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 520,284.58 Read SEC document
December 22, 2022 Filed Dec 23, 2022 17:12 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	500	$6.33	$3,165.00	Disclosure SEC source: 0001718133-22-000011 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 515,996.797 Read SEC document
November 11, 2022 Filed Nov 15, 2022 18:18 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	3,050	$6.67	$20,343.50	Disclosure SEC source: 0001718133-22-000010 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 15,050 Read SEC document
November 10, 2022 Filed Nov 15, 2022 01:20 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	355	$6.65	$2,360.75	Disclosure SEC source: 0001718133-22-000009 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 12,000 Read SEC document
November 10, 2022 Filed Nov 15, 2022 01:20 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	754	$6.64	$5,006.56	Disclosure SEC source: 0001718133-22-000009 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 11,645 Read SEC document
November 10, 2022 Filed Nov 15, 2022 01:20 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	891	$6.63	$5,907.33	Disclosure SEC source: 0001718133-22-000009 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 10,891 Read SEC document
November 09, 2022 Filed Nov 10, 2022 01:51 UTC Amendment	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	918	$6.56	$6,022.08	Disclosure SEC source: 0001718133-22-000008 · primary_doc.xml · nonDerivative · entry 5 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 10,000 Read SEC document
November 09, 2022 Filed Nov 10, 2022 01:51 UTC Amendment	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	1,082	$6.53	$7,065.46	Disclosure SEC source: 0001718133-22-000008 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 9,082 Read SEC document
November 09, 2022 Filed Nov 10, 2022 01:27 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	918	$6.56	$6,022.08	Disclosure SEC source: 0001718133-22-000007 · primary_doc.xml · nonDerivative · entry 5 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 10,000 Read SEC document
November 09, 2022 Filed Nov 10, 2022 01:27 UTC	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	1,082	$6.53	$7,065.46	Disclosure SEC source: 0001718133-22-000007 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 9,082 Read SEC document
November 08, 2022 Filed Nov 10, 2022 01:51 UTC Amendment	XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990	PurchaseCommon Shares of Beneficial Ownership	1,800	$6.50	$11,700.00	Disclosure SEC source: 0001718133-22-000008 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 8,000 Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.