XAI Octagon Floating Rate & Alternative Income Trust 

IL

  SEC # 1703079

        

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383  SEC Filings   from  4/7/17  to  5/10/24  (2 Days Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘4’ — Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — for 5/9/24 — Filed re:  Issuer / Subject Company — Filed by:  Brombach Theodore J
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Forms , Documents & Exhibits  in  216 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
4/12/24			DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A	8
4/8/24			8-K		Update:		Current Reports — Form 8-K — Press Releases & Conference Calls  — Financial Reports	62
					8-K Items:
4/8/24			Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01 — ↓‘EX-10’	16
4/8/24			"			•	Termination of a Material Definitive Agreement — Item 1.02 — ↓‘EX-10’	4
4/4/24			Securities & Trading:			•	Unregistered Sales of Equity Securities — Item 3.02 — ↓‘EX-1’	7
1/3/24			Governance & Management:			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers	1
11/7/23			"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ↓‘EX-3’	5
2/2/24			Disclosures:			•	Regulation FD Disclosure — Item 7.01 — ↓‘EX-99’	6
2/2/24			Events:			•	Other Events — Item 8.01	48
4/8/24			Financials:			•	Financial Statements and Exhibits — Item 9.01 — Financial Reports	55
2/26/24			NPORT-P		Update:		Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies — Form N-PORT	16
2/26/24			NPORT-EX		Update:		Portfolio Holdings Schedules by Investment Companies — Form N-PORT	8
2/9/24			424B2		Registration:		Prospectuses – Primary Offerings and Shelf Securities — Financial Reports	18
12/19/23			DEFA14A		Proxy:		Definitive Additional Proxy Soliciting Materials — Schedule 14A	9
12/12/23			N-CEN		Update:		Annual Reports by Investment Companies — Form N-CEN	7
11/29/23			N-CSR		Update:		Annual Certified Shareholder Reports by Investment Companies — Form N-CSR — Financial Reports	8
10/27/23			40-17G		Update:		Fidelity Bonds for Investment Companies	7
10/26/23			PRE 14A		Proxy:		Preliminary Proxy Statement — Schedule 14A	1
8/11/23			N-PX		Proxy:		Annual Proxy Voting Reports by Investment Companies — Form N-PX	6
5/24/23			N-CSRS		Update:		Semi-Annual Certified Shareholder Reports by Investment Companies — Form N-CSR — Financial Reports	6
2/24/22	OLD		424B8		Registration:		Prospectus (Late Filing)  OLD	1
1/25/22	OLD		EFFECT		SEC:		SEC Notices of Effectiveness  OLD	4
1/21/22	OLD		N-2		Registration:		Registration Statements by Closed-End Investment Companies — Form N-2  OLD	14
1/18/22	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	11
7/21/21	OLD		497AD		Update:		Advertising by Certain Investment Companies  OLD	8
4/13/21	OLD		424B3		Registration:		Prospectuses – New Facts or Events  OLD	2
3/30/21	OLD		CERT		Trading:		Certification by a Securities Exchange Approving a Listing — Form CERT  OLD	1
3/26/21	OLD		8-A12B		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	2
3/23/21	OLD		FWP		Registration:		Prospectus – Free Writing  OLD	1
12/4/20	OLD		POS EX		Registration:		Post-Effective Amendments of Registration Statements – Additional Exhibits  OLD	4
12/4/20	OLD		424B5		Registration:		Prospectus – Primary Offering or Shelf Securities – New Facts or Events  OLD	1
6/10/20	OLD		497		Registration:		Definitive Materials  OLD	9
2/25/20	OLD		N-Q		Update:		Quarterly Portfolio Holdings Schedules by Investment Companies — Form N-Q  OLD	5
1/3/20	OLD		486BPOS		Registration:		Post-Effective Amendment of a Form N-2 Registration  OLD	1
5/30/18	OLD		NSAR-A		Update:		Semi-Annual Report by an Investment Company — Form N-SAR  OLD	1
11/29/17	OLD		NSAR-B		Update:		Annual Report by an Investment Company — Form N-SAR  OLD	1
10/19/17	OLD		CERTNYS		Trading:		Certification by the NYSE Approving a Listing — Form CERT  OLD	1
9/26/17	OLD		AW		Registration:		Amendment Withdrawal Request  OLD	1
4/7/17	OLD		N-8A		Registration:		Notice of Registration by an Investment Company — Form N-8A  OLD	1
					Letters:
1/22/19	OLD		COVER		Comment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC			3
					Form-Specific Documents:
2/26/24			NPORT-EX		Portfolio Holdings Schedules — Form N-PORT			8
					General Exhibits:
4/8/24			EX-10		Material Contracts			16
2/2/24			EX-5		Opinions of Counsel re: Legality			9
1/24/24			EX-3		Articles of Incorporation/Organization and Bylaws			7
2/11/22	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			9
					Additional Exhibits:
2/2/24			EX-99  &  EX-99.*		Miscellaneous Exhibits, such as Press Releases — Press Releases & Conference Calls — EX-99.*  Form-Specific Exhibits...  Form N-2:  1 Articles of Incorporation/Organization — Form N-CSR:  19 Certifications — §302 – SOA’02;  14 Certifications — §906 – SOA’02;  4 Codes of Ethics — Form N-SAR:  1 Accountant’s Report re: Internal Controls;  1 Late-Filing Report — Reg. S-K – Item 405  (40 total)			214
					Investment Company Exhibits:
12/12/23			INTERNAL CONTROL RPT		Accountants’ Reports re: Internal Controls			7
12/12/23			INST DEFINING RIGHTS		Instruments Defining the Rights of Holders of New or Amended Securities			3
12/14/22	OLD		MATERIAL AMENDMENTS		Material Amendment to Organizational Documents  OLD			1
12/16/19	OLD		ADVISORY CONTRACTS		Investment Advisor Contract  OLD			1
					Financials:
4/8/24			XML  &  R#		IDEA Financial Reports Info — Financial Reports			72
4/8/24			EXCEL		IDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports			20
4/8/24			EX-101.*		XBRL Data  (XBRL Files)			88
4/8/24			JSON		XBRL Instances as JavaScript Object Notation Data  (JSON Files)			22
4/8/24			ZIP		XBRL Zipped Folders   (Folders of XBRL Files)			22
					Graphics:
4/12/24			GRAPHIC		Photos, Images and Graphs			349

Forms , Documents & Exhibits  in  168 Filings  Filed re:  Issuer / Subject Company

        

List all Money Managers that own this Security Issuer:  CUSIP 98400T

        

Latest Filing			Type		Category	Description		Documents
5/10/24			4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4	119
2/13/24			SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G	7
1/3/24			3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3	25
10/2/23			5		Ownership:		Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5	14
9/20/21	OLD		SC 13D		Ownership:		Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D  OLD	1
3/23/21	OLD		FWP		Registration:		Prospectus – Free Writing  OLD	1
					Letters:
8/29/17	OLD		LETTER		Comment or Other Letter from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			1
					General Exhibits:
5/10/24			EX-24		Powers of Attorney			11

        

Filings History

Year		# of Filings
2024		17
2023		42
2022		40
2021		58
2020		55
2019		39
2018		96
2017		36