Brombach Theodore J's Form 4 filing
XAI Floating Rate & Alternative Income Trust (XFLT) · filed Nov 9, 2022
- Accession no.
- 0001718218-22-000003
- Filed
- Nov 9, 2022
- Trade date
- Nov 8-9, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 0 derivative transactions. Open-market purchases total $39.1K. It was filed 1 day 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +100 | $6.38 | +$638 | 4,100 | Indirect | Duplicate filing |
| Nov 8, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +2,100 | $6.49 | +$13,629 | 6,200 | Indirect | Duplicate filing |
| Nov 8, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +1,800 | $6.50 | +$11,700 | 8,000 | Indirect | Duplicate filing |
| Nov 9, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +1,082 | $6.53 | +$7,065.46 | 9,082 | Indirect | Duplicate filing |
| Nov 9, 2022 | Common Shares of Beneficial Ownership | PPurchaseAcquired | +918 | $6.56 | +$6,022.08 | 10,000 | Indirect | Duplicate filing |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.