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 |
|---|---|---|---|---|---|---|
| October 11, 2018 Filed Oct 12, 2018 19:27 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 100 | $9.88 | $988.00 |
DisclosureSEC source: 0001718218-18-000029 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,155 Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 18:23 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 400 | $9.88 | $3,950.00 |
DisclosureSEC source: 0001718218-18-000028 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,255 Read SEC document |
| October 08, 2018 Filed Oct 9, 2018 15:16 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 100 | $9.80 | $980.00 |
DisclosureSEC source: 0001718218-18-000027 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,655 Read SEC document |
| October 04, 2018 Filed Oct 5, 2018 20:02 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 100 | $9.83 | $983.00 |
DisclosureSEC source: 0001718218-18-000026 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,755 Read SEC document |
| October 03, 2018 Filed Oct 4, 2018 20:18 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,080 | $9.85 | $10,641.89 |
DisclosureSEC source: 0001718218-18-000025 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,855 Read SEC document |
| October 02, 2018 Filed Oct 3, 2018 17:47 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 600 | $9.82 | $5,890.02 |
DisclosureSEC source: 0001718218-18-000024 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,935 Read SEC document |
| October 01, 2018 Filed Oct 2, 2018 15:47 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 965 | $9.82 | $9,478.04 |
DisclosureSEC source: 0001718218-18-000023 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,535 Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 17:40 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 700 | $9.82 | $6,872.53 |
DisclosureSEC source: 0001718218-18-000020 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,800 Read SEC document |
| September 26, 2018 Filed Oct 1, 2018 21:18 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.80 | $2,940.00 |
DisclosureSEC source: 0001718218-18-000021 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,500 Read SEC document |
| September 25, 2018 Filed Sep 26, 2018 17:52 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.82 | $2,946.00 |
DisclosureSEC source: 0001718218-18-000019 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,500 Read SEC document |
| September 20, 2018 Filed Sep 21, 2018 16:22 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 200 | $9.80 | $1,960.00 |
DisclosureSEC source: 0001718218-18-000018 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,800 Read SEC document |
| September 19, 2018 Filed Sep 20, 2018 18:28 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.82 | $2,946.00 |
DisclosureSEC source: 0001718218-18-000017 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,000 Read SEC document |
| September 18, 2018 Filed Sep 19, 2018 15:48 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.83 | $2,949.00 |
DisclosureSEC source: 0001718218-18-000016 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,300 Read SEC document |
| September 17, 2018 Filed Sep 18, 2018 15:52 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 200 | $9.82 | $1,963.00 |
DisclosureSEC source: 0001718218-18-000015 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,600 Read SEC document |
| September 14, 2018 Filed Sep 17, 2018 17:04 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 900 | $9.87 | $8,883.54 |
DisclosureSEC source: 0001718218-18-000014 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,800 Read SEC document |
| September 13, 2018 Filed Sep 14, 2018 16:23 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 2,900 | $9.87 | $28,624.45 |
DisclosureSEC source: 0001718218-18-000013 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,700 Read SEC document |
| September 12, 2018 Filed Sep 13, 2018 15:58 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,000 | $9.87 | $9,871.00 |
DisclosureSEC source: 0001718218-18-000012 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 427,600 Read SEC document |
| September 11, 2018 Filed Sep 12, 2018 17:58 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.87 | $2,961.00 |
DisclosureSEC source: 0001718218-18-000011 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,600 Read SEC document |
| September 10, 2018 Filed Sep 11, 2018 15:49 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.87 | $2,961.00 |
DisclosureSEC source: 0001718218-18-000010 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,900 Read SEC document |
| September 07, 2018 Filed Sep 10, 2018 18:50 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.85 | $2,955.99 |
DisclosureSEC source: 0001718218-18-000009 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 429,200 Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 16:45 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,000 | $9.88 | $9,883.00 |
DisclosureSEC source: 0001718218-18-000008 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 429,500 Read SEC document |
| September 05, 2018 Filed Sep 6, 2018 15:59 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 300 | $9.86 | $2,958.99 |
DisclosureSEC source: 0001718218-18-000007 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,500 Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 22:50 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 2,600 | $9.89 | $25,704.38 |
DisclosureSEC source: 0001718218-18-000006 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,800 Read SEC document |
| August 31, 2018 Filed Sep 4, 2018 16:49 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,100 | $9.95 | $10,949.95 |
DisclosureSEC source: 0001718218-18-000005 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433,400 Read SEC document |
| August 30, 2018 Filed Aug 30, 2018 21:22 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 3,690 | $10.02 | $36,966.42 |
DisclosureSEC source: 0001718218-18-000004 · primary_doc.xml · nonDerivative · entry 3 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 434,500 Read SEC document |
| August 29, 2018 Filed Aug 30, 2018 21:22 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,760 | $9.99 | $17,578.18 |
DisclosureSEC source: 0001718218-18-000004 · primary_doc.xml · nonDerivative · entry 2 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,190 Read SEC document |
| August 28, 2018 Filed Aug 30, 2018 21:22 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | SaleCommon Shares of Beneficial Interest | 1,600 | $9.95 | $15,914.08 |
DisclosureSEC source: 0001718218-18-000004 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,950 Read SEC document |
| March 20, 2018 Filed Mar 21, 2018 20:53 UTC | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 300 | $441,550.00 | $132,465,000.00 |
DisclosureSEC source: 0001718218-18-000001 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9.5657 Read SEC document |
| March 20, 2018 Filed Mar 22, 2018 16:35 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 300 | $9.57 | $2,869.71 |
DisclosureSEC source: 0001718218-18-000003 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,550 Read SEC document |
| March 20, 2018 Filed Mar 22, 2018 15:16 UTC Amendment | XAI Floating Rate & Alternative Income Trust XFLT · Entity 5990 | PurchaseCommon Shares of Beneficial Interest | 300 | $9.57 | $2,869.71 |
DisclosureSEC source: 0001718218-18-000002 · primary_doc.xml · nonDerivative · entry 1 Brombach Theodore J · CIK 0001718218 · President & CEO · Interested Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,550 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.