Transaction · 0001718218-25-000001

Brombach Theodore J

Brombach Theodore J, PRES, CEO, reported a transaction classified as other at XAI Octagon Floating Rate Alternative Income Trust involving 6052.000000 shares for an estimated $0.00. Reported holdings after the transaction were 20733.940000 shares. A 10b5-1 reference was not detected in the stored filing text.

otherSEC transaction code JPRES, CEO
XFLTXAI Octagon Floating Rate Alternative Income Trust
Filing timeJan 16
Trade dateDec 18, 2024
Filing · SECView on SEC
InsiderProfile
% of reported position tradedUnavailableCalculated only for code-P purchases and code-S sales.

Row-level estimate for this security and ownership context, not the insider’s complete portfolio. Joint ownership, other transactions in the filing, amendments and footnotes can affect interpretation.

Price performance since filing

Close on the filing date, the pre-filing context, and the forward return at standard windows
Price at filing
—
Pre-filing
1mo ago1w ago1d ago
Returns since
7d30d90d180d1y

XFLT price since this filing

30 days of pre-filing context and vertical markers at the filing date plus 7d / 30d / 90d / 180d / 1y afterwards
XFLT since 2025-01-16Filed 619 days ago · 30 days of pre-filing context shaded
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Filing datePost-filing windows (7d, 30d, 90d, 180d, 1y)30 days of pre-filing context

Transaction facts

Stored Form 4 columns with their raw values

Non-derivative
Type
other
Code J
Identifier
0001718218-25-000001
Common Shares of Beneficial Ownership
Transaction date
Dec 18, 2024
Filed Jan 16, 2025, 10:54 PM · 29d delay
Shares
6.05k sh
$0.00 per share
Estimated value
$0
Computed from shares × price
Holdings after
20.7k sh
Indirect · XMS Holdings, LLC

Filing warnings

Notes recorded with this filing
2 warnings
delayed filingThe filing was reported 29 calendar days after the transaction date.
ambiguous transaction codeThe transaction code is missing or represents other activity; review the filing and footnotes.

Filing signal explanations

Badges describe filing facts only — not predictions.

Cluster 14dRepeat 30dPattern $100kLarge $1.00M
Delayed Filing Large Holdings Reduction
-10score
Filing-only score

-10

Compact filing score computed from stored Form 4 facts. Version v1.

Mixed or weak signal

This filing has a negative filing-only score. It may be less informative as an insider-activity signal and needs extra context.

Reported relationships & other filings

Form 4 relationship flags and nearby filing context

Reported roles

President & CEO

Officer YesDirector Yes10% NoOther No
Footnotes & amended
  1. F1

    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 Pl…

  2. F2

    Shares beneficially owned include 13,052.404 shares received through the XFLT Dividend Reinvestment Plan

  3. F3

    Mr. Brombach may be deemed to beneficially own shares owned by XA Investments, LLC due to his control of XA Investments, LLC.

Original filing · 0001718218-25-000001
Related transactions

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Same reporting owner
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