XAI Octagon Floating Rate & Alternative Income Trust — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Brombach Theodore J | President & CEO | Gift | 7,811 | — | — | 16,104 | Dec 24, 2025 |
| Spence John Yogi | Vice President | Gift | 7,811 | — | — | 16,104 | Dec 24, 2025 |
| Flynn Kimberly Ann | Vice President | Other | 3,504 | — | — | 46,708 | Dec 24, 2025 |
| McCulloch Benjamin | Secretary & CLO | Other | 3,389 | — | — | 11,491 | Dec 24, 2025 |
| Law Lauren Kristen | — | Purchase | 20,000 | $5.01 | $100,200 | 20,000 | Oct 24, 2025 |
| Jones Scott C | — | Sale | 13,009 | $5.62 | $73,109 | — | Sep 11, 2025 |
| Spence John Yogi | Vice President | Purchase | 2,000 | $6.38 | $12,760 | 551,806 | Feb 21, 2025 |
| Spence John Yogi | Vice President | Purchase | 3,000 | $6.41 | $19,230 | 549,806 | Feb 19, 2025 |
| Spence John Yogi | — | Purchase | 2,000 | $6.50 | $13,000 | 546,806 | Dec 19, 2024 |
| Brombach Theodore J | President & CEO | Other | 6,052 | — | — | 20,734 | Dec 18, 2024 |
| Spence John Yogi | Vice President | Other | 6,052 | — | — | 20,734 | Dec 18, 2024 |
| McCulloch Benjamin | Secretary & CLO | Other | 2,857 | — | — | 7,131 | Dec 18, 2024 |
| Flynn Kimberly Ann | Vice President | Other | 3,004 | — | — | 43,204 | Dec 18, 2024 |
| Spence John Yogi | — | Purchase | 831 | — | — | 25,498 | Jul 10, 2024 |
| Brombach Theodore J | President & CEO | Other | 831 | — | — | 25,498 | Jul 10, 2024 |
| Spence John Yogi | — | Gift | 6,000 | — | — | 531,763 | May 21, 2024 |
| Brombach Theodore J | President & CEO | Purchase | 3,450 | $7.13 | $24,599 | 27,401 | May 9, 2024 |
| Spence John Yogi | — | Purchase | 3,450 | $7.13 | $24,599 | 27,401 | May 9, 2024 |
| Brombach Theodore J | President & CEO | Other | 5,409 | — | — | 18,502 | Dec 12, 2023 |
| Spence John Yogi | — | Purchase | 825 | $7.05 | $5,816 | 19,327 | Dec 11, 2023 |
| McCulloch Benjamin | Secretary & CLO | Other | 2,209 | — | — | 3,661 | Dec 11, 2023 |
| Flynn Kimberly Ann | Vice President | Other | 2,400 | — | — | 40,200 | Dec 11, 2023 |
| Spence John Yogi | — | Purchase | 6,000 | $6.89 | $41,340 | 23,684 | Dec 5, 2023 |
| Brombach Theodore J | President & CEO | Purchase | 6,000 | $6.89 | $41,340 | 23,684 | Dec 5, 2023 |
| Spence John Yogi | — | Purchase | 289 | $7.08 | $2,046 | 17,684 | Nov 13, 2023 |
| Brombach Theodore J | President & CEO | Purchase | 289 | $7.08 | $2,046 | 17,684 | Nov 13, 2023 |
| Spence John Yogi | — | Gift | 4,000 | — | — | 520,285 | Jul 24, 2023 |
| Spence John Yogi | — | Purchase | 500 | $6.33 | $3,165 | 515,997 | Dec 22, 2022 |
| Brombach Theodore J | President & CEO | Purchase | 3,050 | $6.67 | $20,344 | 15,050 | Nov 11, 2022 |
| Spence John Yogi | — | Purchase | 3,050 | $6.67 | $20,344 | 15,050 | Nov 11, 2022 |
| Brombach Theodore J | President & CEO | Purchase | 891 | $6.63 | $5,907 | 10,891 | Nov 10, 2022 |
| Spence John Yogi | — | Purchase | 754 | $6.64 | $5,007 | 11,645 | Nov 10, 2022 |
| Brombach Theodore J | President & CEO | Purchase | 1,082 | $6.53 | $7,065 | 9,082 | Nov 9, 2022 |
| Spence John Yogi | — | Purchase | 1,082 | $6.53 | $7,065 | 9,082 | Nov 8, 2022 |
| Spence John Yogi | — | Purchase | 100 | $6.38 | $638 | 4,100 | Nov 8, 2022 |
| Brombach Theodore J | President & CEO | Purchase | 918 | $6.56 | $6,022 | 10,000 | Nov 8, 2022 |
| Brombach Theodore J | President & CEO | Purchase | 412 | $6.35 | $2,616 | 412 | Nov 4, 2022 |
| Brombach Theodore J | President & CEO | Purchase | 412 | $6.35 | $2,616 | 412 | Nov 4, 2022 |
| Spence John Yogi | — | Purchase | 412 | $6.35 | $2,616 | 412 | Nov 4, 2022 |
| Spence John Yogi | — | Purchase | 3,588 | $6.39 | $22,927 | 4,000 | Nov 3, 2022 |
| Spence John Yogi | — | Purchase | 1,000 | $6.24 | $6,240 | 512,280 | Sep 23, 2022 |
| Spence John Yogi | — | Purchase | 1,000 | $6.97 | $6,970 | 509,719 | Sep 2, 2022 |
| Spence John Yogi | — | Purchase | 1,000 | $7.15 | $7,150 | 506,719 | Aug 19, 2022 |
| McCulloch Benjamin | Secretary & CLO | Purchase | 472 | $8.47 | $3,998 | 1,162 | Apr 8, 2022 |
| Spence John Yogi | — | Purchase | 135 | $8.54 | $1,153 | 486,845 | Dec 20, 2021 |
| McGarrity John P | — | Sale | 11,100 | $9.10 | $101,010 | 42,851 | Dec 8, 2021 |
| McCulloch Benjamin | Secretary & CLO | Purchase | 100 | $8.67 | $867 | 400 | Jul 27, 2021 |
| Brombach Theodore J | President & CEO | Purchase | 29,500 | $8.50 | $250,750 | 450,876 | Jul 21, 2021 |
| Spence John Yogi | — | Purchase | 500 | $8.50 | $4,250 | 500 | Jul 21, 2021 |
| FRANKLIN PHILIP G | — | Purchase | 10,000 | $4.04 | $40,400 | 56,242 | Mar 24, 2020 |