XFLT · XAI Floating Rate & Alternative Income Trust · Insider Trading
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-02-19 | Spence John Yogi |
Vice President |
Buy↑
Filing footnotes — Common Shares of Beneficial Ownership (Direct)
Shares beneficially owned reflect 3,932.59 received through the XFLT Dividend Reinvestment Plan |
Common Shares of Beneficial Ownership
|
5,000 |
| 2025-12-24 | Flynn Kimberly Ann |
Vice President |
Other↑
|
Common Shares of Beneficial Interest
|
3,504 |
| 2025-12-24 | Brombach Theodore J |
Director, President & CEO |
Gift↓
|
Common Shares of Beneficial Ownership
(I)
|
7,811 |
| 2025-12-24 | McCulloch Benjamin |
Secretary & CLO |
Other↑
|
Common Shares of Beneficial Interest
|
3,389 |
| 2025-12-24 | Spence John Yogi |
Vice President |
Gift↓
|
Common Shares of Beneficial Ownership
(I)
|
7,811 |
| 2025-10-24 | Law Lauren Kristen |
Insider |
Buy↑
|
Common shares
|
20,000 |
| 2025-09-11 | Jones Scott C |
Insider |
Sell↓
|
Common shares of beneficial ownership
|
13,008 |
| 2025-02-21 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
|
2,000 |
| 2025-02-19 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
|
3,000 |
| 2024-12-19 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
|
2,000 |
| 2024-12-18 | Brombach Theodore J |
Director, President & CEO |
Other↓
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
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 Plan. Mr. Brombach may be deemed to beneficially own shares owned by XMS Holdings, LLC due to his control of XMS Holdings, LLC. |
Common Shares of Beneficial Ownership
(I)
|
6,052 |
| 2024-12-18 | McCulloch Benjamin |
Secretary & CLO |
Other↑
|
Common Shares of Beneficial Ownership
|
2,857 |
| 2024-12-18 | Spence John Yogi |
Vice President |
Other↓
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Shares were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. Shares beneficially owned reflect 1,288.18 received through the XFLT Dividend Reinvestment Plan. Mr. Spence may be deemed to beneficially own shares owned by XMS Holdings, LLC due to his control of XMS Holdings, LLC. |
Common Shares of Beneficial Ownership
(I)
|
6,052 |
| 2024-12-18 | Flynn Kimberly Ann |
Vice President |
Other↑
|
Common Shares of Beneficial Ownership
|
3,004 |
| 2024-07-17 | Brombach Theodore J |
Director, President & CEO |
Other↓
Filing footnotes — Common shares of beneficial ownership (Indirect)
Shares disposed on 07/17/2024 were transferred from XMS Holdings, LLC pursuant to compensatory shares transferred to employee upon separation from the firm |
Common shares of beneficial ownership
(I)
|
831 |
| 2024-07-17 | Spence John Yogi |
Vice President |
Buy↓
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Shares disposed on 07/17/2024 were transferred from XMS Holdings, LLC pursuant to compensatory shares transferred to employee upon separation from the firm |
Common Shares of Beneficial Ownership
(I)
|
831 |
| 2024-07-10 | Spence John Yogi |
Vice President |
Other↓
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Shares disposed on 07/10/2024 were transferred from XMS Holdings, LLC pursuant to compensatory shares transferred to employee upon separation from the firm |
Common Shares of Beneficial Ownership
(I)
|
2,390 |
| 2024-07-10 | Brombach Theodore J |
Director, President & CEO |
Other↓
Filing footnotes — Common shares of beneficial ownership (Indirect)
Shares disposed on 07/10/2024 were transferred from XMS Holdings, LLC pursuant to compensatory shares transferred to employee upon separation from the firm |
Common shares of beneficial ownership
(I)
|
2,390 |
| 2024-05-21 | Spence John Yogi |
Vice President |
Gift↓
|
Common Shares of Beneficial Ownership
|
6,000 |
| 2024-05-10 | Brombach Theodore J |
Director, President & CEO |
Buy↑
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Includes 1,207.18 shares acquired under the XLFT dividend reinvestment plan for XMS Holdings LLC |
Common Shares of Beneficial Ownership
(I)
|
3,450 |
| 2024-05-10 | Spence John Yogi |
Vice President |
Buy↑
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Includes 1,207.18 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC |
Common Shares of Beneficial Ownership
(I)
|
3,450 |
| 2024-05-09 | Brombach Theodore J |
Director, President & CEO |
Buy↑
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Includes 1,207.18 shares acquired under the XLFT dividend reinvestment plan for XMS Holdings LLC |
Common Shares of Beneficial Ownership
(I)
|
3,417 |
| 2024-05-09 | Spence John Yogi |
Vice President |
Buy↑
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Includes 1,207.18 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC |
Common Shares of Beneficial Ownership
(I)
|
3,417 |
| 2023-12-12 | Spence John Yogi |
Vice President |
Buy↑
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. |
Common Shares of Beneficial Ownership
(I)
|
825 |
| 2023-12-12 | Brombach Theodore J |
Director, President & CEO |
Buy↑
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. |
Common Shares of Beneficial Ownership
(I)
|
825 |
| 2023-12-11 | McCulloch Benjamin |
Secretary & CLO |
Other↑
|
Common Shares of Beneficial Interest
|
2,209 |
| 2023-12-11 | Flynn Kimberly Ann |
Vice President |
Other↑
|
Common Shares of Beneficial Interest
|
2,400 |
| 2023-12-11 | Brombach Theodore J |
Director, President & CEO |
Other↓
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. |
Common Shares of Beneficial Ownership
(I)
|
5,409 |
| 2023-12-11 | Spence John Yogi |
Vice President |
Other↓
Filing footnotes — Common Shares of Beneficial Ownership (Indirect)
Shares disposed of on 12/11/2023 were transferred by XMS Holdings LLC pursuant to a compensatory award to certain employees. Includes 2,860.57 shares acquired under the XFLT dividend reinvestment plan for XMS Holdings LLC. |
Common Shares of Beneficial Ownership
(I)
|
5,409 |
| 2023-12-05 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
6,000 |
| 2023-12-05 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
6,000 |
| 2023-11-13 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
289 |
| 2023-11-13 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
289 |
| 2023-07-24 | Spence John Yogi |
Vice President |
Gift↓
|
Common Shares of Beneficial Ownership
|
4,000 |
| 2022-12-22 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
|
500 |
| 2022-11-11 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
3,050 |
| 2022-11-11 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
3,050 |
| 2022-11-10 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
891 |
| 2022-11-10 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
355 |
| 2022-11-10 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
355 |
| 2022-11-10 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
891 |
| 2022-11-10 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
754 |
| 2022-11-10 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
754 |
| 2022-11-09 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
918 |
| 2022-11-09 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
1,082 |
| 2022-11-09 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
1,082 |
| 2022-11-09 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
918 |
| 2022-11-08 | Spence John Yogi |
Vice President |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
100 |
| 2022-11-08 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
2,100 |
| 2022-11-08 | Brombach Theodore J |
Director, President & CEO |
Buy↑
|
Common Shares of Beneficial Ownership
(I)
|
1,800 |