List of insiders holdings for XAI Octagon Floating Rate & Alternative Income Trust:
- Shares directly owned by the insider.
- Shares indirectly owned by the insider.
- Total shares owned by the insider (sum of shares directly and indirectly owned).
- Total market value if available.
- Shares are not adjusted for stock split.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
| # | Insider Holder Name | Report Date Time | Shares Owned Directly Indirectly | Total Shares Owned | Filing |
| 1 | Eagle Point Credit Management LLC EP DIF Cayman I LP Eagle Point Core Income Fund LP Eagle Point CIF GP I LLC Eagle Point DIF GP I LLC 10% Owner | 2024-11-14 16:13:03 | 765,361 0 | 765,361 | Form 13G |
| 2 | Spence John Yogi Vice President | 2025-12-30 14:35:14 | 550,859 36,654 | 587,513 | Form 4 |
| 3 | Brombach Theodore J President & CEO | 2025-12-30 18:48:18 | 544,856 26,354 | 571,210 | Form 4 |
| 4 | Octagon Credit Investors LLC Sub-Adviser | 2017-09-27 18:54:14 | 300,000 0 | 300,000 | Form 3 |
| 5 | FRANKLIN PHILIP G Trustee | 2021-12-20 11:08:47 | 66,127 0 | 66,127 | Form 5 |
| 6 | Flynn Kimberly Ann Vice President | 2025-12-30 14:10:07 | 50,212 0 | 50,212 | Form 4 |
| 7 | McGarrity John P Officer of XAI | 2021-12-09 17:25:34 | 42,851 0 | 42,851 | Form 4 |
| 8 | Cupps Danielle Trustee | 2018-09-13 15:59:55 | 30,000 0 | 30,000 | Form 4 |
| 9 | Dingens Gregory Trustee | 2019-04-03 15:41:11 | 28,200 0 | 28,200 | Form 4 |
| 10 | Law Lauren Kristen Sub-Adviser Inv Comm Member | 2025-10-27 16:08:03 | 20,000 0 | 20,000 | Form 4 |
| 11 | Basmadjian Lauren Michelle Portfolio Manager | 2019-01-15 11:59:38 | 17,500 0 | 17,500 | Form 4 |
| 12 | McCulloch Benjamin Secretary & CLO | 2025-12-30 13:53:32 | 14,880 0 | 14,880 | Form 4 |
| 13 | Meyers William T. Director | 2025-11-14 12:49:07 | 10,787 0 | 10,787 | Form 5 |
| 14 | XA Investments LLC Investment Adviser | 2017-09-29 11:20:41 | 10,205 0 | 10,205 | Form 3 |
| 15 | Nechamkin Michael Bennett Sub-Adviser Inv Comm Member | 2017-09-27 18:58:17 | 0 0 | 0 | Form 3 |
| 16 | Mohr Gretchen Mae Sub-Adviser Inv Comm Member | 2017-09-27 18:59:27 | 0 0 | 0 | Form 3 |
| 17 | Gordon Andrew David Sub-Adviser Senior Adviser | 2025-11-14 17:04:57 | 0 0 | 0 | Form 5 |
| 18 | Jones Scott C Trustee | 2025-09-12 16:29:41 | 0 0 | 0 | Form 4 |
| 19 | Woo Lisa Assistant Treasurer | 2025-03-20 16:26:17 | 0 0 | 0 | Form 3 |
| 20 | Arment Madeline Assistant Treasurer | 2025-02-27 19:08:07 | 0 0 | 0 | Form 3 |
| 21 | Roessler Randi Jean Chief Compliance Officer | 2023-10-03 20:02:28 | 0 0 | 0 | Form 3 |
| 22 | Uhl Theodore Chief Compliance Officer | 2023-10-02 13:59:56 | 0 0 | 0 | Form 5 |
| 23 | Lee Sungho Matthew Sub-Adviser Inv Comm Member | 2018-01-17 17:09:09 | 0 0 | 0 | Form 3 |
| 24 | Gleason Sean Michael Sub-Adviser Inv Comm Member | 2020-04-16 12:21:46 | 0 0 | 0 | Form 3 |
| 25 | mullins derek jason PFO & Treasurer | 2020-03-09 16:52:38 | 0 0 | 0 | Form 3 |
| 26 | Boger Maegan Gallagher Sub-Adviser Inv Comm Member | 2020-03-06 10:34:11 | 0 0 | 0 | Form 3 |