Spence John Yogi's Form 4 filing
XAI Floating Rate & Alternative Income Trust (XFLT) · filed Nov 14, 2022
- Accession no.
- 0001718133-22-000009
- Filed
- Nov 14, 2022
- Trade date
- Nov 10, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $13.3K. It was filed 4 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 |
|---|---|
| Spence John YogiCIK 0001718133 | Other: Adviser Personnel |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +891 | $6.63 | +$5,907.33 | 10,891 | Indirect | |
| Nov 10, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +754 | $6.64 | +$5,006.56 | 11,645 | Indirect | |
| Nov 10, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +355 | $6.65 | +$2,360.75 | 12,000 | 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.
Remarks
XA Investments is a subsidiary of XMS Holdings LLC.