Brombach Theodore J's Form 4 filing
XAI Floating Rate & Alternative Income Trust (XFLT) · filed Dec 13, 2023
- Accession no.
- 0001209191-23-058454
- Filed
- Dec 13, 2023
- Trade date
- Dec 11-12, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market purchases total $5.82K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Brombach Theodore JCIK 0001718218 | Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 11, 2023 | Common Shares of Beneficial Ownership | JOtherDisposed | −5,409 | $0.00 | $0 | 18,501.57 | Indirect | |
| Dec 12, 2023 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +825 | $7.05 | +$5,816.25 | 19,326.57 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.