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 |
|---|---|---|---|---|---|---|---|
| Gordon Andrew David | — | Purchase | 2,222 | $4.47 | $9,932 | 2,222 | Mar 20, 2020 |
| Brombach Theodore J | President & CEO | Purchase | 1,000 | $4.48 | $4,480 | 421,376 | Mar 18, 2020 |
| McGarrity John P | Chief Legal & Secretary | Purchase | 2,520 | $5.54 | $13,961 | 53,951 | Mar 16, 2020 |
| Spence John Yogi | — | Purchase | 3,000 | $5.69 | $17,070 | 443,210 | Mar 16, 2020 |
| Spence John Yogi | — | Purchase | 500 | $6.00 | $3,000 | 438,910 | Mar 12, 2020 |
| Spence John Yogi | — | Purchase | 400 | $5.95 | $2,380 | 439,310 | Mar 12, 2020 |
| Jones Scott C | — | Sale | 225 | $6.82 | $1,531 | 6,451 | Mar 10, 2020 |
| Spence John Yogi | — | Purchase | 5,000 | $7.38 | $36,900 | 438,410 | Mar 6, 2020 |
| McCulloch Benjamin | Secretary & CLO | Purchase | 300 | $8.24 | $2,472 | 300 | Jan 21, 2020 |
| Brombach Theodore J | President&CEO | Purchase | 609 | $8.20 | $4,994 | 418,764 | Jan 10, 2020 |
| Jones Scott C | — | Purchase | 582 | — | — | 6,553 | Jan 10, 2020 |
| Brombach Theodore J | President&CEO | Purchase | 612 | $8.17 | $5,000 | 419,376 | Jan 9, 2020 |
| Dingens Gregory | — | Purchase | 1,200 | $8.72 | $10,464 | 28,200 | Apr 3, 2019 |
| Jones Scott C | — | Purchase | 3,008 | $8.31 | $24,996 | 5,971 | Jan 18, 2019 |
| Basmadjian Lauren Michelle | — | Purchase | 8,066 | $7.99 | $64,447 | 17,500 | Jan 11, 2019 |
| Jones Scott C | — | Purchase | 300 | $7.37 | $2,211 | 2,938 | Dec 26, 2018 |
| Spence John Yogi | CFO & Treasurer | Purchase | 2,500 | $7.37 | $18,425 | 424,889 | Dec 21, 2018 |
| FRANKLIN PHILIP G | — | Purchase | 3,206 | $9.21 | $29,527 | 43,206 | Oct 29, 2018 |
| Dingens Gregory | — | Purchase | 2,000 | $9.45 | $18,900 | 27,000 | Oct 25, 2018 |
| Brombach Theodore J | President & CEO | Sale | 100 | $9.88 | $988 | 418,155 | Oct 11, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 100 | $9.88 | $988 | 422,389 | Oct 11, 2018 |
| Brombach Theodore J | President & CEO | Sale | 400 | $9.88 | $3,952 | 418,255 | Oct 10, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 400 | $9.88 | $3,952 | 422,489 | Oct 10, 2018 |
| Brombach Theodore J | President & CEO | Sale | 100 | $9.80 | $980 | 418,655 | Oct 8, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 7 | $9.80 | $69 | 422,889 | Oct 8, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 100 | $9.80 | $980 | 422,896 | Oct 5, 2018 |
| Brombach Theodore J | President & CEO | Sale | 100 | $9.83 | $983 | 418,755 | Oct 4, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 100 | $9.83 | $983 | 422,996 | Oct 4, 2018 |
| Brombach Theodore J | President & CEO | Sale | 1,080 | $9.85 | $10,638 | 418,855 | Oct 3, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 1,080 | $9.85 | $10,638 | 423,096 | Oct 3, 2018 |
| Brombach Theodore J | President & CEO | Sale | 600 | $9.82 | $5,892 | 419,935 | Oct 2, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 511 | $9.81 | $5,013 | 424,176 | Oct 2, 2018 |
| Brombach Theodore J | President & CEO | Sale | 965 | $9.82 | $9,476 | 420,535 | Oct 1, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 1,200 | $9.82 | $11,784 | 424,687 | Oct 1, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 700 | $9.82 | $6,874 | 426,287 | Sep 27, 2018 |
| Brombach Theodore J | President & CEO | Sale | 700 | $9.82 | $6,874 | 421,800 | Sep 27, 2018 |
| Brombach Theodore J | President & CEO | Sale | 300 | $9.80 | $2,940 | 421,500 | Sep 26, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 400 | $9.80 | $3,920 | 425,887 | Sep 26, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 200 | $9.82 | $1,964 | 426,987 | Sep 25, 2018 |
| Brombach Theodore J | President & CEO | Sale | 300 | $9.82 | $2,946 | 422,500 | Sep 25, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 200 | $9.81 | $1,962 | 427,187 | Sep 20, 2018 |
| Brombach Theodore J | President & CEO | Sale | 200 | $9.80 | $1,960 | 422,800 | Sep 20, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 400 | $9.82 | $3,928 | 427,387 | Sep 19, 2018 |
| Brombach Theodore J | President & CEO | Sale | 300 | $9.82 | $2,946 | 423,000 | Sep 19, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 300 | $9.83 | $2,949 | 427,787 | Sep 18, 2018 |
| Brombach Theodore J | President & CEO | Sale | 300 | $9.83 | $2,949 | 423,300 | Sep 18, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 200 | $9.82 | $1,964 | 428,087 | Sep 17, 2018 |
| Brombach Theodore J | President & CEO | Sale | 200 | $9.82 | $1,964 | 423,600 | Sep 17, 2018 |
| Spence John Yogi | CFO & Treasurer | Sale | 1,000 | $9.87 | $9,870 | 428,287 | Sep 14, 2018 |
| Brombach Theodore J | President & CEO | Sale | 900 | $9.87 | $8,883 | 423,800 | Sep 14, 2018 |