Brombach Theodore J's Form 4 filing
XAI Floating Rate & Alternative Income Trust (XFLT) · filed Nov 4, 2022
- Accession no.
- 0001718218-22-000001
- Filed
- Nov 4, 2022
- Trade date
- Nov 3-4, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market purchases total $25.5K. It was filed 1 day after the trade.
This filing was later replaced by the amendment 0001718218-22-000002 (Nov 9, 2022). Trade tables on this site use the amended version.
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +412 | $6.35 | +$2,616.2 | 412 | Indirect | |
| Nov 4, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +3,588 | $6.39 | +$22,927.32 | 4,000 | 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.