List of insiders holdings for XAI Octagon Floating Rate & Alternative Income Trust:
- Shares directly owned by the insider.
- Shares indirectly owned by the insider.
- Total shares owned by the insider (sum of shares directly and indirectly owned).
- Total market value if available.
- Shares are not adjusted for stock split.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
| # | Insider Holder Name | Report Date Time |
Shares Owned Directly Indirectly |
Total Shares Owned |
Filing |
| 1 | Eagle Point Credit Management LLC EP DIF Cayman I LP Eagle Point Core Income Fund LP Eagle Point CIF GP I LLC Eagle Point DIF GP I LLC 10% Owner |
2024-11-14 16:13:03 | 765,361 0 |
765,361 | Form 13G |
| 2 | Spence John Yogi Vice President |
2025-02-21 19:23:16 | 551,806 32,027 |
583,834 | Form 4 |
| 3 | Brombach Theodore J President & CEO |
2025-01-16 17:54:39 | 506,422 37,036 |
543,457 | Form 4 |
| 4 | Octagon Credit Investors LLC Sub-Adviser |
2017-09-27 18:54:14 | 300,000 0 |
300,000 | Form 3 |
| 5 | FRANKLIN PHILIP G Trustee |
2021-12-20 11:08:47 | 66,127 0 |
66,127 | Form 5 |
| 6 | Flynn Kimberly Ann Vice President |
2025-01-13 13:42:58 | 46,208 0 |
46,208 | Form 4 |
| 7 | McGarrity John P Officer of XAI |
2021-12-09 17:25:34 | 42,851 0 |
42,851 | Form 4 |
| 8 | Cupps Danielle Trustee |
2018-09-13 15:59:55 | 30,000 0 |
30,000 | Form 4 |
| 9 | Dingens Gregory Trustee |
2019-04-03 15:41:11 | 28,200 0 |
28,200 | Form 4 |
| 10 | Basmadjian Lauren Michelle Portfolio Manager |
2019-01-15 11:59:38 | 17,500 0 |
17,500 | Form 4 |
| 11 | Jones Scott C Trustee |
2024-11-14 17:28:40 | 11,354 0 |
11,354 | Form 5 |
| 12 | XA Investments LLC Investment Adviser |
2017-09-29 11:20:41 | 10,205 0 |
10,205 | Form 3 |
| 13 | Meyers William T. Trustee Director |
2024-01-03 17:37:44 | 10,151 0 |
10,151 | Form 3 |
| 14 | McCulloch Benjamin Secretary & CLO |
2025-01-13 16:35:03 | 9,988 0 |
9,988 | Form 4 |
| 15 | Gordon Andrew David Sub-Adviser Inv Comm Member |
2020-03-23 14:48:49 | 4,272 0 |
4,272 | Form 4 |
| 16 | Woo Lisa Assistant Treasurer |
2025-03-20 16:26:17 | 0 0 |
0 | Form 3 |
| 17 | Arment Madeline Assistant Treasurer |
2025-02-27 19:08:07 | 0 0 |
0 | Form 3 |
| 18 | Roessler Randi Jean Chief Compliance Officer |
2023-10-03 20:02:28 | 0 0 |
0 | Form 3 |
| 19 | Uhl Theodore Chief Compliance Officer |
2023-10-02 13:59:56 | 0 0 |
0 | Form 5 |
| 20 | Gleason Sean Michael Sub-Adviser Inv Comm Member |
2020-04-16 12:21:46 | 0 0 |
0 | Form 3 |
| 21 | mullins derek jason PFO & Treasurer |
2020-03-09 16:52:38 | 0 0 |
0 | Form 3 |
| 22 | Boger Maegan Gallagher Sub-Adviser Inv Comm Member |
2020-03-06 10:34:11 | 0 0 |
0 | Form 3 |
| 23 | Lee Sungho Matthew Sub-Adviser Inv Comm Member |
2018-01-17 17:09:09 | 0 0 |
0 | Form 3 |
| 24 | Law Lauren Kristen Sub-Adviser Inv Comm Member |
2018-01-17 17:07:00 | 0 0 |
0 | Form 3 |
| 25 | Mohr Gretchen Mae Sub-Adviser Inv Comm Member |
2017-09-27 18:59:27 | 0 0 |
0 | Form 3 |
| 26 | Nechamkin Michael Bennett Sub-Adviser Inv Comm Member |
2017-09-27 18:58:17 | 0 0 |
0 | Form 3 |