XAI Octagon insider updates XFLT share holdings in Form 4

XAI Octagon Floating Rate & Alternative Income Trust insider Theodore Brombach, the trust’s President, CEO and a director, reported changes in his ownership of common shares.

Rhea-AI Filing Summary

XAI Octagon Floating Rate & Alternative Income Trust insider Theodore Brombach, the trust’s President, CEO and a director, reported changes in his ownership of common shares. Following the latest transactions, he beneficially owns 544,856 common shares directly, 10,250 common shares indirectly through XA Investments LLC, and 16,104.24 common shares indirectly through XMS Holdings LLC.

The filing notes that his holdings include 38,434.487 shares received through the XFLT Dividend Reinvestment Plan and that a share transaction reflects a disposition of 7,811 shares to employees. No derivative securities positions are reported in the derivative securities table.

Insider Trade Summary

7,811 shares gifted

Gift 3 txns

Insider Brombach Theodore J

Role President & CEO

Type	Security	Shares	Price	Value
Gift	Common Shares of Beneficial Ownership	7,811	$0.00	$0.00
holding	Common Shares of Beneficial Ownership	--	--	--
holding	Common Shares of Beneficial Ownership	--	--	--

Holdings After Transaction: Common Shares of Beneficial Ownership — 16,104.24 shares (Indirect, XMS Holdings LLC); Common Shares of Beneficial Ownership — 544,856 shares (Direct); Common Shares of Beneficial Ownership — 10,250 shares (Indirect, XA Investments LLC)

Footnotes (1)

1. F1. Shares beneficially owned include 38,434.487 shares received through the XFLT Dividend Reinvestment Plan

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider activity did XFLT report for Theodore Brombach?

The filing reports that Theodore Brombach, President, CEO and director of XFLT, updated his beneficial ownership in the trust’s common shares, including a disposition of 7,811 shares to employees and ongoing direct and indirect holdings.

How many XFLT shares does Theodore Brombach own directly after this transaction?

After the reported transactions, Theodore Brombach beneficially owns 544,856 XFLT common shares in direct ownership.

What indirect XFLT holdings does Theodore Brombach report?

Brombach reports indirect ownership of 10,250 XFLT common shares through XA Investments LLC and 16,104.24 common shares through XMS Holdings LLC.

What does the 7,811-share transaction in the XFLT Form 4 represent?

The explanation states that the share transaction reflects a disposition of 7,811 shares to employees, recorded at a price of $0 per share on 12/24/2025.

How many XFLT shares were received through the dividend reinvestment plan?

The filing explains that Brombach’s beneficial ownership includes 38,434.487 XFLT common shares received through the XFLT Dividend Reinvestment Plan.

Does the Form 4 show any XFLT derivative securities for Theodore Brombach?

The derivative securities table is present but does not list any derivative securities acquired, disposed of, or beneficially owned for Theodore Brombach.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 12/30/2025 - 06:48 PM EST Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Brombach Theodore J

(Last) (First) (Middle)

321 N. CLARK STREET

(Street)

CHICAGO IL 60054

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
XAI Octagon Floating Rate & Alternative Income Trust [ XFLT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President & CEO

3. Date of Earliest Transaction (Month/Day/Year)
10/01/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Shares of Beneficial Ownership								544,856(1)	D
Common Shares of Beneficial Ownership								10,250	I	XA Investments LLC
Common Shares of Beneficial Ownership	12/24/2025		G		7,811	D	$0	16,104.24	I	XMS Holdings LLC

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Shares beneficially owned include 38,434.487 shares received through the XFLT Dividend Reinvestment Plan

Remarks:

Share transaction reflects a disposition of 7,811 shares to employees

	/s/Theodore Brombach	12/30/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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