Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Core Scientific, Inc./txXPDI · Entity 389 | Director · 10% owner | February 09, 2021 | February 10, 2021 |
| Evanston Multi-Alpha FundNONE · Entity 1409 | Independent Trustee | August 13, 2026 | August 18, 2026 |
| Octagon XAI CLO Income FundNONE · Entity 39721 | Director · President and CEO | June 01, 2026 | June 11, 2026 |
| XAI Floating Rate & Alternative Income TrustXFLT · Entity 5990 | Director · President & CEO | October 01, 2025 | December 30, 2025 |
| XAI Madison Equity Premium Income FundMCN · Entity 6653 | President & CEO | December 02, 2024 | December 02, 2024 |
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.
Core Scientific, Inc./tx
Report date February 09, 2021 · Filed February 10, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B common stockSEC Table II · derivative / convertible security | IndirectBy XPDI Sponsor LLC | Not disclosed |
Reported balance
Holding disclosure · report date 2021-02-09 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-252355) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock, par value $0.0001 per share, will automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F2: The shares of Class B common stock beneficially owned by the reporting person include up to 1,125,000 shares that are subject to forfeiture to the extent the underwriters of the initial public offering of the issuer's securities do not exercise in full their over-allotment option as described in the issuer's registration statement. F3: The securities reported herein are held by XPDI Sponsor LLC (the "Sponsor"). XMS XPDI Sponsor Holdings LLC ("XPDI Holdings") is a managing member of the Sponsor. The reporting person controls XPDI Holdings, and as such has voting and investment discretion with respect to the securities held by the the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the issuer's registration statement on Form S-1 (File No. 333-252355) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock, par value $0.0001 per share, will automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.
F2: The shares of Class B common stock beneficially owned by the reporting person include up to 1,125,000 shares that are subject to forfeiture to the extent the underwriters of the initial public offering of the issuer's securities do not exercise in full their over-allotment option as described in the issuer's registration statement.
F3: The securities reported herein are held by XPDI Sponsor LLC (the "Sponsor"). XMS XPDI Sponsor Holdings LLC ("XPDI Holdings") is a managing member of the Sponsor. The reporting person controls XPDI Holdings, and as such has voting and investment discretion with respect to the securities held by the the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
Evanston Multi-Alpha Fund
Report date August 13, 2026 · Filed August 18, 2026
This filing explicitly reported no securities owned.
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 | Direct | 1,000,000 |
Reported balance
After 2026-06-01 transaction · row 2
1 source rowRow 2 · 2026-06-01 · Purchase · Acquired 100,000 · Balance 1,000,000 |
| 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 F2: 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. Brombach by virtue of his control of XMS. |
| 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 acquired by XA Investments LLC ("XAI"), the Trust's investment manager, to provide the Trust with required seed capital. Mr. Brombach may be deemed to indirectly beneficially own Class I Shares owned by XAI, by virtue of his control of XAI. |
Filing footnotes · ownership attribution and instrument terms
F1: Class I Shares acquired by XA Investments LLC ("XAI"), the Trust's investment manager, to provide the Trust with required seed capital. Mr. Brombach may be deemed to indirectly beneficially own Class I Shares owned by XAI, by virtue of his control of XAI.
F2: 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. Brombach by virtue of his control of XMS.
XAI Floating Rate & Alternative Income Trust
Report date October 01, 2025 · Filed December 30, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial OwnershipSEC Table I · non-derivative | IndirectXMS Holdings LLC | 16,104.24 |
Reported balance
After 2025-12-24 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2025-12-24 · Gift · Disposed 7,811 · Balance 16,104.24 |
| Common Shares of Beneficial OwnershipSEC Table I · non-derivative | Direct | 544,856 |
Reported balance
Holding disclosure · report date 2025-10-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 544,856 F1: Shares beneficially owned include 38,434.487 shares 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 2025-10-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,250 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares beneficially owned include 38,434.487 shares received through the XFLT Dividend Reinvestment Plan
XAI Madison Equity Premium Income Fund
Report date December 02, 2024 · Filed December 02, 2024
This filing explicitly reported no securities owned.
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 October 17, 2024 · Filed October 22, 2024
Jointly reported with XMS XPDI Sponsor II Holdings LLC
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 | IndirectBy XMS XPDI Sponsor II Holdings LLC | 0 |
Reported balance
After 2024-10-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 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 to its members for no consideration (the "Distribution"). F5: Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Sponsor II Holdings LLC. Accordingly, all of the shares held by XMS XPDI Sponsor II 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. |
| Class A Common StockSEC Table I · non-derivative | Direct | 773,066 |
Reported balance
After 2024-10-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-10-17 · Other · Acquired 746,694 · Balance 773,066 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 Holdings LLC | 153,626 |
Reported balance
After 2024-10-17 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 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 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 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 to its members for no consideration (the "Distribution"). F5: Theodore J. Brombach and John Yogi Spence are the managing members of XMS XPDI Sponsor II Holdings LLC. Accordingly, all of the shares held by XMS XPDI Sponsor II 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 | Direct | 584,470 |
Reported balance
After 2024-10-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 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 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 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 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 Sponsor II Holdings LLC. Accordingly, all of the shares held by XMS XPDI Sponsor II 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.
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 |
|---|---|---|---|---|---|---|
| June 01, 2026 Filed Jun 11, 2026 01:46 UTC | Octagon XAI CLO Income Fund NONE · Entity 39721 | Purchase5.75% Series 2027 Term Preferred Shares | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001718218-26-000001 · primary_doc.xml · nonDerivative · entry 3 Brombach Theodore J · CIK 0001718218 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 2,000,000 F2 · 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. Brombach by virtue of his control of XMS. Read SEC document |
| June 01, 2026 Filed Jun 11, 2026 01:46 UTC | Octagon XAI CLO Income Fund NONE · Entity 39721 | Purchase5.75% Series 2027 Term Preferred Shares | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001718218-26-000001 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,000,000 Read SEC document |
| December 24, 2025 Filed Dec 30, 2025 23:48 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | GiftCommon Shares of Beneficial Ownership | 7,811 | $0.00 | $0.00 |
DisclosureSEC source: 0001718218-25-000003 · primary_doc.xml · nonDerivative · entry 3 Brombach Theodore J · CIK 0001718218 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 16,104.24 Read SEC document |
| December 18, 2024 Filed Jan 16, 2025 22:54 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | OtherCommon Shares of Beneficial Ownership | 6,052 | $0.00 | $0.00 |
DisclosureSEC source: 0001718218-25-000001 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · Director · President & CEO 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 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. Read SEC document |
| October 17, 2024 Filed Oct 22, 2024 01:34 UTC | AirJoule Technologies Corp. AIRJ · Entity 9063 | OtherPrivate Placement Warrants · Derivative | 120,250 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-24-089407 · ownership.xml · derivative · entry 6 Brombach Theodore J · CIK 0001718218 · 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 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 01:34 UTC | AirJoule Technologies Corp. AIRJ · Entity 9063 | OtherPrivate Placement Warrants · Derivative | 584,470 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-24-089407 · ownership.xml · derivative · entry 5 Brombach Theodore J · CIK 0001718218 · 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: 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 01:34 UTC | AirJoule Technologies Corp. AIRJ · Entity 9063 | OtherPrivate Placement Warrants · Derivative | 2,725,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-24-089407 · ownership.xml · derivative · entry 4 Brombach Theodore J · CIK 0001718218 · 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 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 to its members for no consideration (the "Distribution"). F1 · price: Reflects a pro-rata distribution in-kind by XMS XPDI Sponsor II Holdings LLC 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 Sponsor II Holdings LLC. Accordingly, all of the shares held by XMS XPDI Sponsor II 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 01:34 UTC | AirJoule Technologies Corp. AIRJ · Entity 9063 | OtherClass A Common Stock | 153,626 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-089407 · ownership.xml · nonDerivative · entry 3 Brombach Theodore J · CIK 0001718218 · 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 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 01:34 UTC | AirJoule Technologies Corp. AIRJ · Entity 9063 | OtherClass A Common Stock | 746,694 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-089407 · ownership.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · 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: Direct Disclosed balance after: 773,066 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 01:34 UTC | AirJoule Technologies Corp. AIRJ · Entity 9063 | OtherClass A Common Stock | 3,481,337 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-089407 · ownership.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · 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 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 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 Sponsor II Holdings LLC. Accordingly, all of the shares held by XMS XPDI Sponsor II 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 |
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 22:20 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | OtherCommon shares of beneficial ownership | 831 | $0.00 | $0.00 |
DisclosureSEC source: 0001718218-24-000006 · primary_doc.xml · nonDerivative · entry 5 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 25,497.761 F4 · 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 22:20 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | OtherCommon shares of beneficial ownership | 2,390 | $0.00 | $0.00 |
DisclosureSEC source: 0001718218-24-000006 · primary_doc.xml · nonDerivative · entry 4 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 25,497.761 F3 · 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 10, 2024 Filed May 10, 2024 20:48 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 3,450 | $7.13 | $24,598.50 |
DisclosureSEC source: 0001718218-24-000005 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 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 XLFT dividend reinvestment plan for XMS Holdings LLC Read SEC document |
| May 09, 2024 Filed May 10, 2024 20:48 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 3,417 | $7.13 | $24,363.21 |
DisclosureSEC source: 0001718218-24-000005 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 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 XLFT 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 18:01 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 825 | $7.05 | $5,816.25 |
DisclosureSEC source: 0001209191-23-058454 · doc4.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 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 18:01 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | OtherCommon Shares of Beneficial Ownership | 5,409 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-058454 · doc4.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 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 22:01 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 6,000 | $6.89 | $41,340.00 |
DisclosureSEC source: 0001209191-23-057633 · doc4.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 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 17:04 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 289 | $7.08 | $2,046.12 |
DisclosureSEC source: 0001209191-23-055460 · doc4.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 17,683.85 Read SEC document |
| November 11, 2022 Filed Nov 15, 2022 18:26 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 3,050 | $6.67 | $20,343.50 |
DisclosureSEC source: 0001718218-22-000006 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:29 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 355 | $6.65 | $2,360.75 |
DisclosureSEC source: 0001718218-22-000005 · primary_doc.xml · nonDerivative · entry 3 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:29 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 754 | $6.64 | $5,006.56 |
DisclosureSEC source: 0001718218-22-000005 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:29 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 891 | $6.63 | $5,907.33 |
DisclosureSEC source: 0001718218-22-000005 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:39 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 918 | $6.56 | $6,022.08 |
DisclosureSEC source: 0001718218-22-000004 · primary_doc.xml · nonDerivative · entry 5 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:39 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,082 | $6.53 | $7,065.46 |
DisclosureSEC source: 0001718218-22-000004 · primary_doc.xml · nonDerivative · entry 4 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:16 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 918 | $6.56 | $6,022.08 |
DisclosureSEC source: 0001718218-22-000003 · primary_doc.xml · nonDerivative · entry 5 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:16 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,082 | $6.53 | $7,065.46 |
DisclosureSEC source: 0001718218-22-000003 · primary_doc.xml · nonDerivative · entry 4 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:39 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,800 | $6.50 | $11,700.00 |
DisclosureSEC source: 0001718218-22-000004 · primary_doc.xml · nonDerivative · entry 3 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:39 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: 0001718218-22-000004 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:39 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 100 | $6.38 | $638.00 |
DisclosureSEC source: 0001718218-22-000004 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:16 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 1,800 | $6.50 | $11,700.00 |
DisclosureSEC source: 0001718218-22-000003 · primary_doc.xml · nonDerivative · entry 3 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:16 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 2,100 | $6.49 | $13,629.00 |
DisclosureSEC source: 0001718218-22-000003 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 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 01:16 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 100 | $6.38 | $638.00 |
DisclosureSEC source: 0001718218-22-000003 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 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 19:37 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 3,588 | $6.39 | $22,927.32 |
DisclosureSEC source: 0001718218-22-000001 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 4,000 Read SEC document |
| November 04, 2022 Filed Nov 10, 2022 00:49 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: 0001718218-22-000002 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 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 19:37 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 412 | $6.35 | $2,616.20 |
DisclosureSEC source: 0001718218-22-000001 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 412 Read SEC document |
| November 03, 2022 Filed Nov 10, 2022 00:49 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Ownership | 412 | $6.35 | $2,616.20 |
DisclosureSEC source: 0001718218-22-000002 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · XMS Holdings LLC Disclosed balance after: 412 Read SEC document |
| July 21, 2021 Filed Jul 22, 2021 21:01 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 29,500 | $8.50 | $250,750.00 |
DisclosureSEC source: 0001718218-21-000001 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,876 Read SEC document |
| March 18, 2020 Filed Mar 18, 2020 16:09 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 1,000 | $4.48 | $4,480.00 |
DisclosureSEC source: 0001718218-20-000003 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,376 Read SEC document |
| March 18, 2020 Filed Mar 18, 2020 16:09 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 1,000 | $4.52 | $4,520.00 |
DisclosureSEC source: 0001718218-20-000003 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,376 Read SEC document |
| January 10, 2020 Filed Jan 13, 2020 17:02 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 612 | $8.17 | $5,000.04 |
DisclosureSEC source: 0001718218-20-000001 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President&CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,376 Read SEC document |
| January 10, 2020 Filed Jan 14, 2020 14:44 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 612 | $8.17 | $5,000.04 |
DisclosureSEC source: 0001718218-20-000002 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President&CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,376 Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 17:02 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 609 | $8.20 | $4,993.80 |
DisclosureSEC source: 0001718218-20-000001 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President&CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,764 Read SEC document |
| January 09, 2020 Filed Jan 14, 2020 14:44 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 609 | $8.20 | $4,993.80 |
DisclosureSEC source: 0001718218-20-000002 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President&CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,764 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.