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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 sequenceRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 APIPurchases/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 |
|---|---|---|---|---|---|---|
| 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 | 2,100 | $6.49 | $13,629.00 |
DisclosureSEC source: 0001718133-22-000008 · 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: 6,200 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 | 100 | $6.38 | $638.00 |
DisclosureSEC source: 0001718133-22-000008 · 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: 4,100 Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 01:27 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,800 | $6.50 | $11,700.00 |
DisclosureSEC source: 0001718133-22-000007 · 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 |
| November 08, 2022 Filed Nov 10, 2022 01:27 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 2,100 | $6.49 | $13,629.00 |
DisclosureSEC source: 0001718133-22-000007 · 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: 6,200 Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 01:27 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 100 | $6.38 | $638.00 |
DisclosureSEC source: 0001718133-22-000007 · 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: 4,100 Read SEC document |
| November 04, 2022 Filed Nov 4, 2022 19:52 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 3,588 | $6.39 | $22,927.32 |
DisclosureSEC source: 0001718133-22-000005 · 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: 4,000 Read SEC document |
| November 04, 2022 Filed Nov 9, 2022 23:22 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 3,588 | $6.39 | $22,927.32 |
DisclosureSEC source: 0001718133-22-000006 · 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: 4,000 Read SEC document |
| November 03, 2022 Filed Nov 4, 2022 19:52 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 412 | $6.35 | $2,616.20 |
DisclosureSEC source: 0001718133-22-000005 · 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: 412 Read SEC document |
| November 03, 2022 Filed Nov 9, 2022 23:22 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 412 | $6.35 | $2,616.20 |
DisclosureSEC source: 0001718133-22-000006 · 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: 412 Read SEC document |
| September 23, 2022 Filed Sep 23, 2022 17:39 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 2,000 | $6.23 | $12,460.00 |
DisclosureSEC source: 0001718133-22-000004 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 514,279.542 Read SEC document |
| September 23, 2022 Filed Sep 23, 2022 17:39 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,000 | $6.24 | $6,240.00 |
DisclosureSEC source: 0001718133-22-000004 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 512,279.542 Read SEC document |
| September 02, 2022 Filed Sep 2, 2022 20:57 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001718133-22-000003 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XA Investments LLC Disclosed balance after: 10,205 Read SEC document |
| September 02, 2022 Filed Sep 2, 2022 20:57 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001718133-22-000003 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 557.512 Read SEC document |
| September 02, 2022 Filed Sep 2, 2022 20:57 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,000 | $7.00 | $7,000.00 |
DisclosureSEC source: 0001718133-22-000003 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 510,718.561 Read SEC document |
| September 02, 2022 Filed Sep 2, 2022 20:57 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,000 | $6.97 | $6,970.00 |
DisclosureSEC source: 0001718133-22-000003 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 509,718.561 Read SEC document |
| August 19, 2022 Filed Aug 22, 2022 17:43 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001718133-22-000002 · primary_doc.xml · nonDerivative · entry 5 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · XA Investments LLC Disclosed balance after: 10,205 Read SEC document |
| August 19, 2022 Filed Aug 22, 2022 17:43 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001718133-22-000002 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 557.512 Read SEC document |
| August 19, 2022 Filed Aug 22, 2022 17:43 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,000 | $7.16 | $7,160.00 |
DisclosureSEC source: 0001718133-22-000002 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 508,718.561 Read SEC document |
| August 19, 2022 Filed Aug 22, 2022 17:43 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,000 | $7.16 | $7,160.00 |
DisclosureSEC source: 0001718133-22-000002 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 507,718.561 Read SEC document |
| August 19, 2022 Filed Aug 22, 2022 17:43 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,000 | $7.15 | $7,154.00 |
DisclosureSEC source: 0001718133-22-000002 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 506,718.561 Read SEC document |
| December 20, 2021 Filed Dec 20, 2021 23:08 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 3,865 | $8.53 | $32,968.45 |
DisclosureSEC source: 0001718133-21-000004 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 490,710.309 Read SEC document |
| December 20, 2021 Filed Dec 20, 2021 23:08 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 135 | $8.54 | $1,152.90 |
DisclosureSEC source: 0001718133-21-000004 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 486,845.309 Read SEC document |
| July 21, 2021 Filed Jul 21, 2021 20:30 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 500 | $8.50 | $4,250.00 |
DisclosureSEC source: 0001718133-21-000001 · primary_doc.xml · nonDerivative · entry 7 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 500 Read SEC document |
| July 21, 2021 Filed Jul 21, 2021 20:30 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 4,400 | $8.50 | $37,400.00 |
DisclosureSEC source: 0001718133-21-000001 · primary_doc.xml · nonDerivative · entry 5 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 466,970.492 Read SEC document |
| July 21, 2021 Filed Jul 21, 2021 20:30 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 2,873 | $8.50 | $24,420.50 |
DisclosureSEC source: 0001718133-21-000001 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 462,570.492 Read SEC document |
| July 21, 2021 Filed Jul 21, 2021 20:30 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 1,500 | $8.50 | $12,750.00 |
DisclosureSEC source: 0001718133-21-000001 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,697.492 Read SEC document |
| July 21, 2021 Filed Jul 21, 2021 20:30 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 600 | $8.50 | $5,097.00 |
DisclosureSEC source: 0001718133-21-000001 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 458,197.492 Read SEC document |
| July 21, 2021 Filed Jul 21, 2021 20:30 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 127 | $8.49 | $1,078.81 |
DisclosureSEC source: 0001718133-21-000001 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 457,597.492 Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 20:45 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 3,000 | $5.69 | $17,070.00 |
DisclosureSEC source: 0001718133-20-000007 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Adviser Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,210.037 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 20:08 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 500 | $5.80 | $2,900.00 |
DisclosureSEC source: 0001718133-20-000003 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 440,210.037 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 20:08 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 400 | $5.90 | $2,360.00 |
DisclosureSEC source: 0001718133-20-000003 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,710.037 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 20:08 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 400 | $5.95 | $2,380.00 |
DisclosureSEC source: 0001718133-20-000003 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,310.037 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 20:08 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 500 | $6.00 | $3,000.00 |
DisclosureSEC source: 0001718133-20-000003 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,910.037 Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 16:28 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 500 | $5.85 | $2,925.00 |
DisclosureSEC source: 0001718133-20-000004 · primary_doc.xml · nonDerivative · entry 4 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 440,210.037 Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 16:28 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 400 | $5.90 | $2,360.00 |
DisclosureSEC source: 0001718133-20-000004 · primary_doc.xml · nonDerivative · entry 3 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,710.037 Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 16:28 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 400 | $5.95 | $2,380.00 |
DisclosureSEC source: 0001718133-20-000004 · primary_doc.xml · nonDerivative · entry 2 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,310.037 Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 16:28 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 500 | $6.00 | $3,000.00 |
DisclosureSEC source: 0001718133-20-000004 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,910.037 Read SEC document |
| March 06, 2020 Filed Mar 6, 2020 19:21 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 5,000 | $7.38 | $36,900.00 |
DisclosureSEC source: 0001718133-20-000002 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · Advisor Personnel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,410.037 Read SEC document |
| December 21, 2018 Filed Dec 21, 2018 22:34 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 2,500 | $7.37 | $18,425.00 |
DisclosureSEC source: 0001718133-18-000031 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,889 Read SEC document |
| October 11, 2018 Filed Oct 12, 2018 19:01 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 100 | $9.88 | $988.00 |
DisclosureSEC source: 0001718133-18-000030 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,389 Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 18:15 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 400 | $9.88 | $3,950.00 |
DisclosureSEC source: 0001718133-18-000029 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,489 Read SEC document |
| October 08, 2018 Filed Oct 9, 2018 15:02 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 7 | $9.80 | $68.60 |
DisclosureSEC source: 0001718133-18-000028 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,889 Read SEC document |
| October 05, 2018 Filed Oct 9, 2018 14:45 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 100 | $9.80 | $980.00 |
DisclosureSEC source: 0001718133-18-000027 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,896 Read SEC document |
| October 04, 2018 Filed Oct 5, 2018 19:54 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 100 | $9.83 | $983.00 |
DisclosureSEC source: 0001718133-18-000026 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,996 Read SEC document |
| October 03, 2018 Filed Oct 4, 2018 20:12 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,080 | $9.85 | $10,641.89 |
DisclosureSEC source: 0001718133-18-000025 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,096 Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 17:40 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 511 | $9.81 | $5,015.11 |
DisclosureSEC source: 0001718133-18-000024 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,176 Read SEC document |
| October 01, 2018 Filed Oct 2, 2018 15:07 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,200 | $9.82 | $11,783.52 |
DisclosureSEC source: 0001718133-18-000023 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,687 Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 17:29 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 700 | $9.82 | $6,874.00 |
DisclosureSEC source: 0001718133-18-000020 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 426,287 Read SEC document |
| September 26, 2018 Filed Oct 1, 2018 21:12 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 400 | $9.80 | $3,920.00 |
DisclosureSEC source: 0001718133-18-000021 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,887 Read SEC document |
| September 25, 2018 Filed Sep 26, 2018 17:45 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 200 | $9.82 | $1,964.00 |
DisclosureSEC source: 0001718133-18-000019 · primary_doc.xml · nonDerivative · entry 1 Spence John Yogi · CIK 0001718133 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 426,987 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.