Основная статистика
| LEI | 549300XT617P63BLW552 |
| CIK | 1703079 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to XAI Octagon Floating Rate & Alternative Income Trust
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 26, 2025 |
Exhibit 10.1 Execution Version CREDIT AGREEMENT dated as of March 21, 2025 between XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TRUST and BNP PARIBAS SA Table of Contents Page ARTICLE 1. DEFINITIONS 1 Section 1.1 Defined Terms 1 Section 1.2 Terms Generally 27 Section 1.3 Accounting Terms 27 Section 1.4 Non-Recourse Persons 27 Section 1.5 Rates 28 Section 1.6 Collateral Value Calculation Procedur |
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| March 26, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 26, 2025 (March 21, 2025) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or other |
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| November 14, 2024 |
SC 13G/A 1 tm2428522d1sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Common Shares of Beneficial Interest (Title of Class of Securities) 98400T106 (CUSIP Number(s)) September 30, 2024 (Date of Event Which Re |
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| November 7, 2024 |
SC 13G/A 1 karpus-sch13g18886.htm KARPUS INVESTMENT MGT / XAI OCTAGON FLOATING RATE & ALTERNATIVE INC - SCHEDULE 13G/A(#4) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) * XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 98400T2 |
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| October 11, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 11, 2024 (October 10, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or o |
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| October 2, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 2, 2024 (October 1, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or oth |
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| September 23, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 23, 2024 (September 20, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State |
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| August 1, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 1, 2024 (July 31, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or other |
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| June 14, 2024 |
Exhibit 10.1 Execution Version PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (this “Agreement”) is entered into as of June 10, 2024, by and among XAI Octagon Floating Rate & Alternative Income Trust, a Delaware statutory trust (the “Trust”), Eagle Point Credit Management LLC (“Eagle Point”) and each purchaser identified on Appendix A hereto (each, a “Purchaser” and collectively the “Purchasers”). WHE |
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| June 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 14, 2024 (June 10, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or other j |
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| June 14, 2024 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Trust Announces Agreement for Private Placement of Convertible Preferred Shares CHICAGO, Illinois – June 10, 2024 – XAI Octagon Floating Rate & Alternative Income Trust (the “Trust”) (NYSE: XFLT), a diversified, closed-end management investment company with an investment objective to seek attractive total return with an emphasis on income |
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| June 14, 2024 |
Exhibit 3.1 APPENDIX D XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TRUST TERM PREFERRED SHARES 6.95% SERIES II 2029 CONVERTIBLE PREFERRED SHARES This Appendix establishes a Series of Term Preferred Shares of XAI Octagon Floating Rate & Alternative Income Trust (the “Trust”). Except as set forth below, this Appendix incorporates by reference the terms set forth with respect to all Series of such |
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| June 5, 2024 |
SUB-PLACEMENT AGENT AGREEMENT Paralel Distributors LLC 1700 Broadway, Suite 1850 Denver, Colorado 80290 June 4, 2024 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by XAI Octagon Floating Rate & Alternative Income Trust Ladies and Gentlemen: From time-to-time Paralel Distributors LLC (the “Distributor”, “we” or “us”) will act as manager of registered at-the-market offerings by XAI Octagon Floating Rate & Alternative Income Trust, a Delaware statutory trust (the “Fund”), of up to 15,000,000 shares (the “Shares”) of beneficial interest, par value $0. |
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| June 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 5, 2024 (June 4, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or other jur |
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| June 5, 2024 |
DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this “Agreement”) made as of June 4, 2024 by and between XAI Octagon Floating Rate & Alternative Income Trust, a Delaware statutory trust (the “Fund”), and Paralel Distributors LLC, a Delaware limited liability company (the “Distributor”). |
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| June 4, 2024 |
XAI Octagon Floating Rate & Alternative Income Trust Up to 15,000,000 Common Shares PROSPECTUS SUPPLEMENT (to Prospectus dated January 24, 2022) Filed pursuant to Rule 424(B)(2) File No. |
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| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| April 9, 2024 |
INVESTMENT SUB-ADVISORY AGREEMENT Exhibit 10.1 INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”), dated as of April 3, 2024 (the “Effective Date”) among XAI Octagon Floating Rate & Alternative Income Trust, a Delaware statutory trust (the “Trust”), XA Investments LLC, a Delaware limited liability company (the “Adviser”), and Octagon Credit Investors, LLC, a Delaware limited liability company (th |
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| April 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 8, 2024 (April 3, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or other j |
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| April 5, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 4, 2024 (April 4, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or other j |
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| February 29, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2024 (February 28, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or |
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| February 14, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 14, 2024 (February 14, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or |
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| February 13, 2024 |
SC 13G/A 1 karpus-sch13g18788f.htm KARPUS INVESTMENT MGT / XAI OCTAGON FLOATING RATE & ALTERNATIVE INC - SCHEDULE 13G/A(#3) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) * XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 98400T |
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| February 9, 2024 |
XAI Octagon Floating Rate & Alternative Income Trust Up to 18,300,000 Common Shares Filed pursuant to Rule 424(B)(2) File No. 333-261521 PROSPECTUS SUPPLEMENT (to Prospectus dated January 24, 2022) XAI Octagon Floating Rate & Alternative Income Trust Up to 18,300,000 Common Shares The Trust. XAI Octagon Floating Rate & Alternative Income Trust (formerly, XAI Octagon Floating Rate & Alternative Income Term Trust) (the “Trust”) is a diversified, closed-end management investment com |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Common Shares of Beneficial Interest (Title of Class of Securities) 98400T106 (CUSIP Number(s)) February 1, 2024 (Date of Event Which Requires Filing of this Statement) Check the ap |
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| February 2, 2024 |
Exhibit 10.2 XAI Octagon Floating Rate & Alternative Income Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 February 1, 2024 Eagle Point Credit Management LLC 600 Steamboat Road, Suite 202 Greenwich, CT 06830 Ladies and Gentlemen: Whereas, the parties desire to enter into this letter agreement (the “Letter Agreement”) in connection with the Purchase Agreement, dated as of February |
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| February 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 2, 2024 (February 1, 2024) XAI Octagon Floating Rate & Alternative Income Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or o |
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| February 2, 2024 |
Exhibit 10.1 PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (this “Agreement”) is entered into as of February 1, 2024, by and between XAI Octagon Floating Rate & Alternative Income Trust (formerly, XAI Octagon Floating Rate & Alternative Income Term Trust), a Delaware statutory trust (the “Trust”), and each purchaser identified on Appendix A hereto (each, a “Purchaser” and collectively the “Purchasers |
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| February 2, 2024 |
Shares XAI Octagon Floating Rate & Alternative Income Trust Common Shares $ per Share The information in this Prospectus Supplement is not complete and may be changed. A Registration Statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This Prospectus Supplement and the accompanying Prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction w |
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| February 2, 2024 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Trust Announces Registered Direct Placement of Common Shares CHICAGO, Illinois - February 1, 2024 - XAI Octagon Floating Rate & Alternative Income Trust (the “Trust”)1 (NYSE: XFLT), a diversified, closed-end management investment company with an investment objective to seek attractive total return with an emphasis on income generation acr |
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| February 2, 2024 |
Filed Pursuant to Rule 424(b)(2) File No. 333-261521 PROSPECTUS SUPPLEMENT (to Prospectus dated January 24, 2022) 3,546,854 Shares XAI Octagon Floating Rate & Alternative Income Trust Common Shares $7.0485 per Share The Trust. XAI Octagon Floating Rate & Alternative Income Trust (formerly, XAI Octagon Floating Rate & Alternative Income Term Trust) (the “Trust”) is a diversified, closed-end managem |
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| January 25, 2024 |
Exhibit 3.1 SECOND AMENDMENT TO THE SECOND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF XAI Octagon Floating Rate Alternative Income Term Trust This Second Amendment (the “Amendment”) to the Second Amended and Restated Agreement and Declaration of Trust, dated July 13, 2017, as amended through the date hereof (as so amended, the “Declaration of Trust”), of XAI Octagon Floating Rate A |
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| January 25, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 24, 2024 (January 24, 2024) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State |
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| January 25, 2024 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Announces Shareholder Approval of Important Proposals Approved proposals make the trust perpetual and will have a new sub-advisory agreement with Octagon Credit Investors. CHICAGO, January 24, 2024 – XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”) (NYSE: XFLT) announced that its shareholders have approve |
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| January 25, 2024 |
Exhibit 3.2 SECOND AMENDMENT TO THE AMENDED AND RESTATED BY-LAWS OF XAI Octagon Floating Rate & Alternative Income Term Trust This Second Amendment, effective as of February 1, 2024, to the Amended and Restated By-Laws (the “By-Laws”), dated as of July 13, 2017, as amended as of August 31, 2017, is made and adopted pursuant to Section 3.9 of the Second Amended and Restated Agreement and Declaratio |
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| January 4, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 3, 2024 (January 1, 2024) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State o |
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| January 4, 2024 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Announces Portfolio Management Change Chicago – January 3, 2024 – XAI Octagon Floating Rate & Alternative Income Term Trust (the "Trust") (NYSE: XFLT), a diversified, closed-end management investment company with an investment objective to seek attractive total return with an emphasis on income generation across multiple stages |
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| December 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| December 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| December 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| December 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| December 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| November 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 7, 2023 (November 6, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State |
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| November 7, 2023 |
Exhibit 10.1 Execution Version PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (this “Agreement”) is entered into as of November 6, 2023, by and among XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Trust”), Eagle Point Credit Management LLC (“Eagle Point”) and each purchaser identified on Appendix A hereto (each, a “Purchaser” and collectively the “Purchaser |
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| November 7, 2023 |
Exhibit 3.1 APPENDIX C XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST TERM PREFERRED SHARES 6.95% SERIES 2029 CONVERTIBLE PREFERRED SHARES This Appendix establishes a Series of Term Preferred Shares of XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”). Except as set forth below, this Appendix incorporates by reference the terms set forth with respect to all Series |
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| November 7, 2023 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Announces Private Placement of Convertible Preferred Shares CHICAGO, Illinois – November 7, 2023 – XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”) (NYSE: XFLT), a diversified, closed-end management investment company with an investment objective to seek attractive total return with an emphasis on income |
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| October 26, 2023 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Announces Board Approval of Proposal to Become Perpetual Fund and New Sub-Advisory Agreement with Octagon Credit Investors CHICAGO, October 26, 2023 – XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”) (NYSE: XFLT), announced that the Trust’s Board of Trustees (the “Board”) has unanimously approved a propos |
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| October 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 26, 2023 (October 26, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State |
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| October 26, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 26, 2023 (October 26, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State |
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| October 26, 2023 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Announces Board Approval of Proposal to Become Perpetual Fund and New Sub-Advisory Agreement with Octagon Credit Investors CHICAGO, October 26, 2023 – XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”) (NYSE: XFLT), announced that the Trust’s Board of Trustees (the “Board”) has unanimously approved a propos |
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| October 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| October 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 6, 2023 (October 1, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State o |
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| October 10, 2023 |
AMENDED AND RESTATED SERVICES AGREEMENT Exhibit 10.1 AMENDED AND RESTATED SERVICES AGREEMENT THIS AMENDED AND RESTATED SERVICES AGREEMENT (the “Agreement”) is made effective as of October 1, 2023, between PINE Advisors, LLC, (“PINE”), and XAI Octagon Floating Rate & Alternative Income Term Trust (the “Client”). WHEREAS, Client is a registered closed-end management investment company under the Investment Company Act of 1940 (the “1940 Ac |
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| September 13, 2023 |
transfer agency and registrar services agreement Exhibit 10.1 transfer agency and registrar services agreement This Transfer Agency and Registrar Services Agreement (this “Agreement”), dated as of September 13, 2023 (the “Effective Date”), is entered into by and between XAI Octagon Floating Rate & Alternative Income Term Trust (XFLT), a Delaware statutory trust (the “Fund”), and EQUINITI Trust Company, LLC, a New York limited liability trust com |
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| September 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 13, 2023 (September 13, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (S |
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| September 13, 2023 |
Exhibit 10.2 Dividend reinvestment plan Under the Trust’s Dividend Reinvestment Plan (the “Plan”), a Common Shareholder whose Common Shares are registered in his or her own name will have all distributions reinvested automatically by Equiniti Trust Company, LLC, which is agent under the Plan (the “Plan Agent”), unless the Common Shareholder elects to receive cash. Distributions with respect to Com |
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| August 29, 2023 |
ADMINISTRATION AND FUND ACCOUNTING AGREEMENT Exhibit 10.1 ADMINISTRATION AND FUND ACCOUNTING AGREEMENT This ADMINISTRATION AND FUND ACCOUNTING AGREEMENT (“Agreement”) is made as of August 28, 2023, between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware Statutory Trust (the “Trust”), and Paralel Technologies LLC, a Delaware Limited Liability Company(the “Administrator”). WHEREAS, the Trust is registered under the Invest |
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| August 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 29, 2023 (August 28, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State o |
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| August 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 4, 2023 (August 4, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 11, 2023 (May 11, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or othe |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| February 28, 2023 |
XAI Octagon Floating Rate & Alternative Income Term Trust XAI Octagon Floating Rate & Alternative Income Term Trust Schedule of Investments December 31, 2022 (Unaudited) Reference Rate Maturity Principal Coupon(a) & Spread Date Amount Value COLLATERALIZED LOAN OBLIGATIONS DEBT(b)- 24. |
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| February 27, 2023 |
Exhibit 10.1 AMENDMENT TO PURCHASE AGREEMENT THIS AMENDMENT dated as of February 23, 2023 (this “Amendment”), to the Purchase Agreement dated as of June 28, 2022 (the “Agreement”), by and among XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Trust”), Eagle Point Credit Management LLC (“Eagle Point”) and each of Eagle Point Defensive Income Fund US LP, EP |
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| February 27, 2023 |
Financial Statements and Exhibits, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 27, 2023 (February 23, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (Sta |
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| February 14, 2023 |
SC 13G/A 1 karpus-sch13g18686f.htm KARPUS INVESTMENT MGT / XAI OCTAGON FLOATING RATE & ALTERNATIVE INC - SCHEDULE 13G/A(#2) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) * XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 98400T |
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| February 13, 2023 |
SC 13G/A 1 tm236388d3sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 98400T205 (CUSIP Number(s)) December 31, 2022 (Date of Event Which Requires Filing of this |
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| January 6, 2023 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 6, 2023 (January 3, 2023) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State o |
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| August 17, 2022 |
XAI Octagon Floating Rate & Alternative Income Term Trust NPORT-EX 2 fp0078839nportex.htm XAI Octagon Floating Rate & Alternative Income Term Trust Schedule of Investments June 30, 2022 (Unaudited) Reference Rate Maturity Principal Coupon(a) & Spread Date Amount Value COLLATERALIZED LOAN OBLIGATIONS DEBT(b)(c)- 21.80%* (12.74% of Total Investments) Anchorage Capital CLO 13 LLC, CLO 2021-13A, ER(d) 7.74% 3M US L + 6.70% 04/15/2034 $ 1,500,000 $ 1,337,357 |
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| July 6, 2022 |
XAI Octagon Floating Rate & Alternative Income Term Trust Up to 18,300,000 Common Shares Filed pursuant to Rule 424(B)(2) File No. 333-261521 PROSPECTUS SUPPLEMENT (to Prospectus dated January 24, 2022) XAI Octagon Floating Rate & Alternative Income Term Trust Up to 18,300,000 Common Shares The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. Investment Objective. The investment objective of the |
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| June 29, 2022 |
Filed Pursuant to Rule 424(b)(2) File No. 333-261521 PROSPECTUS SUPPLEMENT (to Prospectus dated January 24, 2022) 1,450,000 Shares XAI Octagon Floating Rate & Alternative Income Term Trust Common Shares $6.90 per Share The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. Investment Objective. The investment o |
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| June 29, 2022 |
Common Shares Purchase Agreement, dated June 28, 2022, between the Trust and the Purchasers Exhibit 10.2 PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (this ?Agreement?) is entered into as of June 28, 2022, by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the ?Trust?), and each purchaser identified on Appendix A hereto (each, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditions set forth in this A |
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| June 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 29, 2022 (June 28, 2022) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or ot |
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| June 29, 2022 |
Letter Agreement, dated June 28, 2022, among the Trust, Eagle Point and the Purchasers Exhibit 10.3 EXECUTION VERSION XAI Octagon Floating Rate & Alternative Income Term Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 June 28, 2022 Eagle Point Credit Management LLC 600 Steamboat Road, Suite 202 Greenwich, CT 06830 Ladies and Gentlemen: Whereas, the parties previously entered into a letter agreement, dated as of September 8, 2021 (the ?Letter Agreement?) in connectio |
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| June 29, 2022 |
Exhibit 10.1 EXECUTION VERSION PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (this ?Agreement?) is entered into as of June 28, 2022, by and among XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the ?Trust?), Eagle Point Credit Management LLC (?Eagle Point?) and each purchaser identified on Appendix A hereto (each, a ?Purchaser? and collectively the ?Purchasers?) |
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| June 29, 2022 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Announces Private Placement of Convertible Preferred Shares and Registered Direct Placement of Common Shares CHICAGO, Illinois ? June 28, 2022 ? XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) (NYSE: XFLT), a diversified, closed-end management investment company with an investment objective to seek attra |
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| June 29, 2022 |
Statement of Preferences of Term Preferred Shares Exhibit 3.1 XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST STATEMENT OF PREFERENCES OF TERM PREFERRED SHARES The XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the ?Trust?), hereby certifies that: WHEREAS, the Board of Trustees of the Trust (the ?Board of Trustees?), at a meeting duly convened and held on February 23, 2021, pursuant to authority e |
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| June 28, 2022 |
Shares XAI Octagon Floating Rate & Alternative Income Term Trust Common Shares $ per Share 424B2 1 s138398424b2.htm 424B2 The information in this Prospectus Supplement is not complete and may be changed. A Registration Statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This Prospectus Supplement and the accompanying Prospectus are not an offer to sell these securities and are not soliciting an offer to buy these s |
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| April 13, 2022 |
DEF 14A 1 s136598def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Schedule 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as p |
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| February 24, 2022 |
XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST Statement of Additional Information XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST Statement of Additional Information XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. |
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| February 23, 2022 |
XAI Octagon Floating Rate & Alternative Income Term Trust Schedule of Investments December 31, 2021 (Unaudited) Coupon(a) Reference Rate & Spread Maturity Date Principal Amount Value COLLATERALIZED LOAN OBLIGATIONS DEBT(b)(c)- 16. |
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| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) * XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 98400T205 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to de |
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| February 11, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 11, 2022 (February 10, 2022) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (Sta |
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| February 11, 2022 |
Distribution Agreement between the Registrant and Foreside Fund Services, LLC EX-1.1 2 s135300ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this “Agreement”) made as of February 10, 2022 by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”). WITNESSETH: WHEREAS, the Fund is registered u |
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| February 11, 2022 |
Sub-Placement Agent Agreement between Foreside Fund Services, LLC and UBS Securities LLC Exhibit 1.2 SUB-PLACEMENT AGENT AGREEMENT Foreside Fund Services, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 February 10, 2022 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by XAI Octagon Floating Rate & Alternative Income Term Trust Ladies and Gentlemen: From time to time Foreside Fund Services, LLC (the ?Distributor,? ?we? or ?us? |
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| February 11, 2022 |
_______________________________ Prospectus Supplement dated February 10, 2022 Filed pursuant to Rule 424(B)(2) File No. 333-261521 PROSPECTUS SUPPLEMENT (to Prospectus dated January 24, 2022) XAI Octagon Floating Rate & Alternative Income Term Trust Up to 18,300,000 Common Shares The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. Investment Objective. The investment objective of the |
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| January 18, 2022 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] January 18, 2022 CORRESP 1 filename1.htm [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] January 18, 2022 Jeff Long Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 RE: XAI Octagon Floating Rate & Alternative Income Term Trust (File Nos. 333-261521 and 811-23247) Dear Mr. Long Thank you for your telephonic comments regarding the registration stat |
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| December 2, 2021 |
Amended and Restated Distribution Agreement between the Registrant and Foreside Fund Services, LLC Exhibit 1.1 AMENDED AND RESTATED DISTRIBUTION AGREEMENT This AMENDED AND RESTATED DISTRIBUTION AGREEMENT (this ?Agreement?) made as of December 1, 2021 by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the ?Fund?), and Foreside Fund Services, LLC, a Delaware limited liability company (the ?Distributor?). WITNESSETH: WHEREAS, the Fund is registere |
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| December 2, 2021 |
_______________________________ Prospectus Supplement dated December 1, 2021 Filed pursuant to Rule 424(B)(2) File No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust Up to 11,367,051 Common Shares The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”) is a diversified, closed-end management investment company. Investment Objective. The investment objective of the |
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| December 2, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 2, 2021 (December 2, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State |
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| December 2, 2021 |
EX-1.2 3 s134588ex1-2.htm EXHIBIT 1.2 Exhibit 1.2 AMENDED AND RESTATED SUB-PLACEMENT AGENT AGREEMENT Foreside Fund Services, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 December 1, 2021 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by XAI Octagon Floating Rate & Alternative Income Term Trust Ladies and Gentlemen: From time to time Fo |
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| September 20, 2021 |
SC 13D 1 tm2128026d1sc13d.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. )* XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Preferred Shares (Title of Class of |
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| September 9, 2021 |
Amendment No. 1 to Statement of Preferences of Term Preferred Shares(8) Exhibit 3.1 XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST AMENDMENT TO STATEMENT OF PREFERENCES OF TERM PREFERRED SHARES DATED MARCH 23, 2021 (?STATEMENT OF PREFERENCES?) The undersigned officer of XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?), a Delaware statutory trust, hereby certifies as follows: WHEREAS, the Trust has established a Series of Term Preferre |
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| September 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 9, 2021 (September 8, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (Sta |
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| September 9, 2021 |
_______________________________ Prospectus Supplement dated September 8, 2021 Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) 400,000 Shares XAI Octagon Floating Rate & Alternative Income Term Trust 6.50% Series 2026 Term Preferred Shares Liquidation Preference $25 per Share The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end manage |
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| September 9, 2021 |
Letter Agreement, dated September 8, 2021, between the Trust and the Investment Manager Exhibit 10.2 XAI Octagon Floating Rate & Alternative Income Term Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 September 8, 2021 Eagle Point Credit Management LLC 600 Steamboat Road, Suite 202 Greenwich, CT 06830 Ladies and Gentlemen: This letter agreement (this ?Letter Agreement?) is being entered into in connection with the Purchase Agreement, dated as of September 8, 2021 (th |
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| September 9, 2021 |
Direct Purchase Agreement, dated September 8, 2021, between the Trust and the Purchasers Exhibit 10.1 PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (this ?Agreement?) is entered into as of September 8, 2021, by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the ?Trust?), and each purchaser identified on Appendix A hereto (each, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditions set forth in th |
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| August 23, 2021 |
Filed pursuant to Rule 424(B)(2) Filed pursuant to Rule 424(B)(2) File No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust Up to 8,000,000 Common Shares The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. Investment Objective. The investment objective of the T |
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| August 16, 2021 |
XAI Octagon Floating Rate & Alternative Income Term Trust XAI Octagon Floating Rate & Alternative Income Term Trust Schedule of Investments June 30, 2021 (Unaudited) Reference Rate Maturity Principal Coupon(a) & Spread Date Amount Value COLLATERALIZED LOAN OBLIGATIONS DEBT(b)(c)- 16. |
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| July 22, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 22, 2021 (July 21, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or ot |
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| July 22, 2021 |
Filed pursuant to Rule 424(b)(2) File No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) 3,100,000 Shares XAI Octagon Floating Rate & Alternative Income Term Trust Common Shares $8.50 per Share The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. Investment Objective. The investment o |
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| July 22, 2021 |
EX-1.1 2 s132927ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 EXECUTION VERSION July 21, 2021 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: XAI Octagon Floating Rate & Alternative Income Term Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), proposes to issue and sell to the underwriters named in Schedule A annexed hereto |
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| July 20, 2021 |
Filed pursuant to Rule 424(b)(2) File No. 333-251542 The information in this Preliminary Prospectus Supplement is not complete and may be changed. A Registration Statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This Preliminary Prospectus Supplement and the accompanying Prospectus are not an offer to sell these securities |
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| April 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 98400T205 (CUSIP Number(s)) March 29, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| April 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Schedule 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant S Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) S Defi |
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| April 13, 2021 |
XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST Supplement dated April 13, 2021 to the to the Prospectus Supplement dated March 31, 2021 to the Prospectus dated February 2, 2021 This is a supplement (the ?Supplement?) to the Prospectus Supplement, dated March, 31, 2021 (the ?Prospectus Supplement?), to the Prospectus, dated February 2, 2021 (the ?Prospectus?), of XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?). |
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| April 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) * XAI Octagon Floating Rate & Alternative Income Term Trust (Name of Issuer) Common and Preferred Shares (Title of Class of Securities) 98400T205 (CUSIP Number) March 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate |
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| April 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 8, 2021 (April 5, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or ot |
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| March 31, 2021 |
_______________________________ Prospectus Supplement dated March 31, 2021 Filed pursuant to Rule 424(B)(2) File No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust Up to 8,000,000 Common Shares The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. Investment Objective. The investment objective of the T |
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| March 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 29, 2021 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or other jurisdict |
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| March 29, 2021 |
Statement of Preferences of Term Preferred Shares(7) Exhibit 3.1 XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST STATEMENT OF PREFERENCES OF TERM PREFERRED SHARES The XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the ?Trust?), hereby certifies that: WHEREAS, the Board of Trustees of the Trust (the ?Board of Trustees?), at a meeting duly convened and held on February 23, 2021, pursuant to authority e |
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| March 26, 2021 |
EX-1.1 2 s131320ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 Execution Version March 23, 2021 Ladenburg Thalmann & Co. Inc. c/o Ladenburg Thalmann & Co. Inc. 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: XAI Octagon Floating Rate & Alternative Income Term Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), proposes to issue and sell to the und |
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| March 26, 2021 |
Amendment No. 1 to Transfer Agency Agreement(7) Exhibit 10.2 AMENDMENT No. 1 to Transfer Agency Agreement This Amendment (this ?Amendment?) to the Transfer Agency Agreement dated as of September 26, 2017 (the ?Agreement?) is by and between DST Systems, Inc., a corporation organized and existing under the laws of the State of Delaware (?DST?) and XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST, a statutory trust organized under the law |
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| March 26, 2021 |
Statement of Preferences for 6.50% Series 2026 Term Preferred Shares(3) EX-3.1 3 s131320ex3-1.htm EXHIBIT 3.1 Exhibit 3.1 XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST STATEMENT OF PREFERENCES OF TERM PREFERRED SHARES The XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Trust”), hereby certifies that: WHEREAS, the Board of Trustees of the Trust (the “Board of Trustees”), at a meeting duly convened and held on Febr |
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| March 26, 2021 |
Amendment No. 3 to the Administration, Bookkeeping and Pricing Services Agreement(7) Exhibit 10.1 CONFIDENTIAL Amendment No. 3 to Administration, Bookkeeping and Pricing Services Agreement This third amendment (the ?Amendment?) between the parties signing below (?Parties?) amends the Existing Agreement as of March 16, 2021 (?Amendment Effective Date?): Term Means ?Existing Agreement? The Administration, Bookkeeping and Pricing Services Agreement between ALPS and Fund dated Septemb |
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| March 26, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact Name of Registrant as Specified in its Charter) Delaware 82-235867 (State of Incorporation or Organization) (IRS Employer Identification Number) |
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| March 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 25, 2021 (March 23, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State or |
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| March 25, 2021 |
Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) 1,040,000 Shares XAI Octagon Floating Rate & Alternative Income Term Trust 6.50% Series 2026 Term Preferred Shares Liquidation Preference $25 per Share The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end mana |
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| March 24, 2021 |
Filed pursuant to Rule 433 Issuer Free Writing Prospectus dated March 23, 2021 Relating to Preliminary Prospectus Supplement dated March 23, 2021 and Prospectus dated February 2, 2021 File No. |
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| March 23, 2021 |
Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-251542 The information in this Prospectus Supplement is not complete and may be changed. A Registration Statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This Prospectus Supplement and the accompanying Prospectus is not an offer to sell these securities and is |
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| February 26, 2021 |
Filed pursuant to Rule 424(b)(2) File No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) 2,900,250 Shares XAI Octagon Floating Rate & Alternative Income Term Trust Common Shares $8.62 per Share The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the ?Trust?) is a diversified, closed-end management investment company. Investment Objective. The investment o |
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| February 26, 2021 |
EX-1.1 2 s130789ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 February 25, 2021 National Securities Corporation c/o National Securities Corporation 200 Vesey Street, 25th Floor New York, New York 10281 Ladies and Gentlemen: XAI Octagon Floating Rate & Alternative Income Term Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), proposes to issue and sell to the underwriters |
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| February 26, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 26, 2021 (February 25, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (Sta |
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| February 24, 2021 |
XAI Octagon Floating Rate & Alternative Income Term Trust Schedule of Investments December 31, 2020 (Unaudited) Coupon(a) Reference Rate & Spread Maturity Date Principal Amount Value COLLATERALIZED LOAN OBLIGATIONS DEBT(b)(c)- 13. |
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| February 24, 2021 |
Filed pursuant to Rule 424(b)(2) File No. 333-251542 The information in this Prospectus Supplement is not complete and may be changed. A Registration Statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This Prospectus Supplement and the accompanying Prospectus are not an offer to sell these securities and are not soliciting a |
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| February 8, 2021 |
XAI Octagon Floating Rate & Alternative Income Term Trust Up to 8,000,000 Common Shares Filed pursuant to Rule 424(B)(2) File No. 333-251542 PROSPECTUS SUPPLEMENT (to Prospectus dated February 2, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust Up to 8,000,000 Common Shares The Trust. XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”) is a diversified, closed-end management investment company. Investment Objective. The investment objective of the T |
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| February 8, 2021 |
Sub-Placement Agent Agreement between Foreside Fund Services, LLC and UBS Securities LLC EX-1.2 3 s130388ex1-2.htm EXHIBIT 1.2 Exhibit 1.2 SUB-PLACEMENT AGENT AGREEMENT Foreside Fund Services, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 February 5, 2021 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by XAI Octagon Floating Rate & Alternative Income Term Trust Ladies and Gentlemen: From time to time Foreside Fund Services, |
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| February 8, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 5, 2021 (February 5, 2021) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-235867 (State |
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| February 8, 2021 |
Distribution Agreement between the Registrant and Foreside Fund Services, LLC Exhibit 1.1 DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this “Agreement”) made as of February 5, 2021 by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”). WITNESSETH: WHEREAS, the Fund is registered under the Investment Company Act of 1940 |
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| January 25, 2021 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] January 25, 2021 Raymond Be Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| December 7, 2020 |
Amendment to Investor Services and Secondary Market Support Services Agreement(6) EX-99.(K)(IV)(2) 4 s129031ex-kiv2.htm EXHIBIT (K)(IV)(2) Exhibit (k)(iv)(2) AMENDMENT TO THE INVESTOR SUPPORT SERVICES AND SECONDARY MARKET SERVICES AGREEMENT This Amendment to the Investor Support Services and Secondary Market Services Agreement is made as of September 22, 2020 by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Trust”) XA In |
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| December 7, 2020 |
Consent of Independent Registered Public Accounting Firm(*) Exhibit (n) Consent of Independent Registered Public Accounting Firm The Board of Trustees XAI Octagon Floating Rate & Alternative Income Term Trust We consent to the use of our report dated November 26, 2019, with respect to the financial statements and financial highlights of XAI Octagon Floating Rate & Alternative Income Term Trust, incorporated herein by reference, to the use of our report dat |
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| December 7, 2020 |
EX-99.(H)(II) 3 s129031ex-hii.htm EXHIBIT (H)(II) Exhibit (h)(ii) SECOND AMENDED AND RESTATED SUB-PLACEMENT AGENT AGREEMENT Foreside Fund Services, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 December 4, 2020 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by XAI Octagon Floating Rate & Alternative Income Term Trust Ladies and Gentleme |
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| December 7, 2020 |
Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP(*) Exhibit (l)(ii) December 4, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 Re: XAI Octagon Floating Rate & Alternative Income Term Trust — Offering of Common Shares Ladies and Gentlemen: We have acted as special counsel to XAI Octagon Floating Rate & Alternative Income Term Trust, a statutory trust (the “Trust”) created under the Delaware Statutory Trust Act (the “DSTA”), in connection with the issuance and sale by the Trust of up to 5,250,000 shares (the “Shares”) of the Trust’s common shares of beneficial interest, par value $0. |
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| December 7, 2020 |
_______________________________ Prospectus Supplement dated December 4, 2020 PROSPECTUS SUPPLEMENT (to Prospectus dated January 3, 2020) XAI Octagon Floating Rate & Alternative Income Term Trust Up to 5,250,000 Common Shares The Trust. |
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| December 7, 2020 |
Exhibit (h)(i) SECOND AMENDED AND RESTATED DISTRIBUTION AGREEMENT This SECOND AMENDED AND RESTATED DISTRIBUTION AGREEMENT (this “Agreement”) made as of December 4, 2020 by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”). |
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| December 7, 2020 |
As filed with the Securities and Exchange Commission on December 4, 2020 Securities Act File No. |
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| December 1, 2020 |
EX-99.1 2 s128974ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share December 1, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on December 31, 2020 |
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| December 1, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 1, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdic |
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| November 2, 2020 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share November 2, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on December 1, 2020 to common shareholders of record as of No |
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| November 2, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 2, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdic |
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| October 7, 2020 |
October 7, 2020 U.S. Securities and Exchange Commission 100 F Street N.E. Washington DC 20549 Attn: Jeff Long RE: XAI Octagon Floating Rate & Alternative Income Term Trust (811-23247) Mr. Long: Thank you for your telephonic comments, provided to Skadden, Arps, Slate, Meagher & Flom LLP, as fund counsel, concerning the annual report to shareholder of XAI Octagon Floating Rate & Alternative Income T |
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| October 1, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 1, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdict |
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| October 1, 2020 |
EX-99.1 2 s127778ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share, and Announces Change in Non-Fundamental Investment Policy October 1, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share |
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| October 1, 2020 |
XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST Supplement dated October 1, 2020 to the to the Prospectus Supplement dated June 11, 2020 to the Prospectus dated January 3, 2020 This is a supplement (the “Supplement”) to the Prospectus Supplement, dated June 11, 2020 (the “Prospectus Supplement”), to the Prospectus, dated January 3, 2020 (the “Prospectus”), of XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”). |
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| September 1, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 1, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdi |
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| September 1, 2020 |
EX-99.1 2 s127240ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.060 per Share September 1, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.060 per share on the Trust’s common shares, payable on October 1, 2020 |
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| August 11, 2020 |
XAI Octagon Floating Rate & Alternative Income Term Trust XAI Octagon Floating Rate & Alternative Income Term Trust Schedule of Investments June 30, 2020 (Unaudited) Coupon(a) Reference Rate & Spread Maturity Date Principal Amount Value CORPORATE BONDS - 2. |
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| August 4, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 3, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdicti |
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| August 4, 2020 |
EX-99.1 2 s126704ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.060 per Share August 3, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.060 per share on the Trust’s common shares, payable on September 1, 2020 t |
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| July 1, 2020 |
EX-99.1 2 s126124ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.060 per Share July 1, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.060 per share on the Trust’s common shares, payable on August 3, 2020 to com |
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| July 1, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 1, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdiction |
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| June 1, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 1, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdiction |
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| June 1, 2020 |
EX-99.1 2 s125497ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.060 per Share June 1, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.060 per share on the Trust’s common shares, payable on July 1, 2020 to commo |
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| May 1, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 1, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdiction |
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| May 1, 2020 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.060 per Share May 1, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.060 per share on the Trust’s common shares, payable on June 1, 2020 to common shareholders of record as of May 15, 202 |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ D |
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| April 8, 2020 |
DEF 14A 1 s124296def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Schedule 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [] Check the appropriate box: [] Preliminary Proxy Statement [] Confidential, for Use of the Commission Only |
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| April 1, 2020 |
Financial Statements and Exhibits, Other Events 8-K 1 s1243078k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 1, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82- |
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| April 1, 2020 |
EX-99.1 2 s124307ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.060 per Share April 1, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.060 per share on the Trust’s common shares, payable on May 1, 2020 to commo |
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| March 3, 2020 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share and Announces Principal Financial Officer Change March 2, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on April 1, 202 |
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| March 3, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 2, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdictio |
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| February 25, 2020 |
XFLT / XAI Octagon Floating Rate Alt N-Q - Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY 811-23247 (Investment Company Act File Number) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact Name of Registrant as Specified in Charter) 321 North Clark Street, Suite 2430 Chicago, IL 60654 (Address of Principal Exe |
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| February 25, 2020 |
I, Theodore J. Brombach, certify that: EX-99.CERT 2 s123309ex99cert.htm EXHIBIT 99.CERT EX-99.CERT I, Theodore J. Brombach, certify that: 1. I have reviewed this report on Form N-Q of XAI Octagon Floating Rate & Alternative Income Term Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances |
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| February 3, 2020 |
Financial Statements and Exhibits, Other Events 8-K 1 d861102d8k.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 3, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as s |
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| February 3, 2020 |
EX-99.1 2 d861102dex991.htm PRESS RELEASE DATED FEBRUARY 3, 2020 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share February 3, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, paya |
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| January 17, 2020 |
XFLT / XAI Octagon Floating Rate Alt POS EX - - POS EX As filed with the Securities and Exchange Commission on January 17, 2020 Securities Act File No. |
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| January 17, 2020 |
Consent of Independent Registered Public Accounting Firm Exhibit (n) Consent of Independent Registered Public Accounting Firm The Board of Trustees XAI Octagon Floating Rate & Alternative Income Term Trust We consent to the use of our report dated November 26, 2019, with respect to the financial statements and financial highlights of XAI Octagon Floating Rate & Alternative Income Term Trust, incorporated herein by reference, and to the references to our firm under the headings “Financial Highlights”, “Senior Securities” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of Additional Information filed on Form N-2 and incorporated herein by reference. |
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| January 17, 2020 |
Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP EX-99.(L)(III) 4 s122471ex99-l3.htm OPINION AND CONSENT OF SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP Exhibit (l)(iii) January 17, 2020 XAI Octagon Floating Rate & Alternative Income Term Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 Re: XAI Octagon Floating Rate & Alternative Income Term Trust — Offering of Common Shares Ladies and Gentlemen: We have acted as special counsel to X |
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| January 17, 2020 |
Exhibit (h)(ii) AMENDED AND RESTATED SUB-PLACEMENT AGENT AGREEMENT Foreside Fund Services, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 January 17, 2020 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by XAI Octagon Floating Rate & Alternative Income Term Trust Ladies and Gentlemen: From time to time Foreside Fund Services, LLC (the “Distributor,” “we” or “us”) will act as manager of registered at-the-market offerings by XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), of up to 4,250,000 shares (the “Shares”) of beneficial interest, no par value per share, of the Fund (the “Common Shares”). |
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| January 17, 2020 |
Amended and Restated Distribution Agreement between Registrant and Foreside Fund Services, LLC Exhibit (h)(i) AMENDED AND RESTATED DISTRIBUTION AGREEMENT This AMENDED AND RESTATED DISTRIBUTION AGREEMENT (this “Agreement”) made as of January 17, 2020 by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”). |
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| January 3, 2020 |
XAI Octagon Floating Rate & Alternative Income Term Trust As filed with the Securities and Exchange Commission on January 3, 2020 Securities Act File No. |
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| January 3, 2020 |
Consent of Independent Registered Public Accounting Firm EX-99.N 3 d837710dex99n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm The Board of Trustees XAI Octagon Floating Rate & Alternative Income Term Trust We consent to the use of our report dated November 26, 2019, with respect to the financial statements and financial highlights of XAI Octagon Floating Rate & Alternative Income T |
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| January 3, 2020 |
Amendment No. 2 to the Administration, Bookkeeping and Pricing Services Agreement(5) EX-99.K.2.3 2 d837710dex99k23.htm AMENDMENT NO.2 TO THE ADMINISTRATION EXECUTION AMENDMENT No. 2 This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement, effective as of February 3, 2020: Term Means “Existing Agreement” The Administration, Bookkeeping and Pricing Services Agreement between ALPS and the Fund dated September 26, 2017 as amended “A |
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| January 2, 2020 |
Press Release dated January 2, 2020 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share January 2, 2020, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on February 3, 2020 to com |
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| January 2, 2020 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 2, 2019 |
EX-99.1 2 d818157dex991.htm PRESS RELEASE DATED DECEMBER 2, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share December 2, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, paya |
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| December 2, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 d818157d8k.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 2, 2019 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as s |
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| November 15, 2019 |
POS EX 1 d628735dposex.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST As filed with the Securities and Exchange Commission on November 15, 2019 Securities Act File No. 333-227640 Investment Company Act File No. 811-23247 United States Securities and Exchange Commission Washington, D.C. 20549 FORM N-2 ☒ Registration Statement under the Securities Act of 1933 ☐ Pre-Effective Amendment |
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| November 15, 2019 |
November 15, 2019 National Securities Corporation c/o National Securities Corporation 200 Vesey Street, 25th Floor New York, New York 10281 Ladies and Gentlemen: XAI Octagon Floating Rate & Alternative Income Term Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), proposes to issue and sell to the underwriters named in Schedule A annexed hereto (the “Underwriters”) an aggregate of 960,000 shares (the “Firm Shares”) of common shares of beneficial interest, par value $0. |
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| November 15, 2019 |
Consent of Independent Registered Public Accounting Firm EX-99.N 5 d628735dex99n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm The Board of Trustees XAI Octagon Floating Rate & Alternative Income Term Trust: We consent to the use of our report dated November 28, 2018, with respect to the financial statements and financial highlights of XAI Octagon Floating Rate & Alternative Income |
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| November 15, 2019 |
Amendment to the Administration, Bookkeeping and Pricing Services Agreement(4) Amendment to the Administration, Bookkeeping and Pricing Services Agreement AMENDMENT NO. |
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| November 15, 2019 |
EX-99.L.III 4 d628735dex99liii.htm OPINION AND CONSENT OF SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP November 15, 2019 XAI Octagon Floating Rate & Alternative Income Term Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 Re: XAI Octagon Floating Rate & Alternative Income Term Trust — Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to XAI Octag |
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| November 1, 2019 |
Press Release dated November 1, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share November 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on December 2, 2019 to c |
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| November 1, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 1, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 1, 2019 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share October 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on November 1, 2019 to common shareholders of record as of Oct |
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| September 3, 2019 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share September 3, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on October 1, 2019 to common shareholders of record as of Se |
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| September 3, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 d755430d8k.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 3, 2019 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as |
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| August 19, 2019 |
XFLT / XAI Octagon Floating Rate Alt N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY 811-23247 (Investment Company Act File Number) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact Name of Registrant as Specified in Charter) 321 North Clark Street, Suite 2430 Chicago, IL 60654 (Address of Principal Exe |
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| August 19, 2019 |
I, Theodore J. Brombach, certify that: EX-99.CERT I, Theodore J. Brombach, certify that: 1. I have reviewed this report on Form N-Q of XAI Octagon Floating Rate & Alternative Income Term Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misle |
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| August 1, 2019 |
Press Release dated August 1, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share August 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on September 3, 2019 to comm |
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| August 1, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 d765537d8k.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 1, 2019 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as spe |
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| July 1, 2019 |
Press Release dated July 1, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share July 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on August 1, 2019 to common shar |
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| July 1, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 3, 2019 |
EX-99.1 2 d751016dex991.htm PRESS RELEASE DATED JUNE 3, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares its Monthly Distribution of $0.073 per Share June 3, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on J |
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| June 3, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2019 |
EX-99.1 2 d738643dex991.htm PRESS RELEASE DATED MAY 1, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Increases its Monthly Distribution to $0.073 per Share May 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.073 per share on the Trust’s common shares, payable on Ju |
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| April 9, 2019 |
XFLT / XAI Octagon Floating Rate Alt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Schedule 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| April 1, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2019 |
EX-99.1 2 d718924dex991.htm PRESS RELEASE DATED APRIL 1, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution April 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on May 1, 2019 to common |
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| March 28, 2019 |
Distribution Agreement between Registrant and Foreside Fund Services, LLC DISTRIBUTION AGREEMENT This DISTRIBUTION AGREEMENT (this “Agreement”) made as of March 28, 2019 by and between XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”). |
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| March 28, 2019 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm The Board of Trustees XAI Octagon Floating Rate & Alternative Income Term Trust: We consent to the use of our report dated November 28, 2018, with respect to the financial statements and financial highlights of XAI Octagon Floating Rate & Alternative Income Term Trust, incorporated her |
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| March 28, 2019 |
Sub-Placement Agent Agreement SUB-PLACEMENT AGENT AGREEMENT Foreside Fund Services, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 March 28, 2019 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 RE: At-the-Market Offerings by XAI Octagon Floating Rate & Alternative Income Term Trust Ladies and Gentlemen: From time to time Foreside Fund Services, LLC (the “Distributor”, “we” or “us”) will act as manager of registered at-the-market offerings by XAI Octagon Floating Rate & Alternative Income Term Trust, a Delaware statutory trust (the “Fund”), of up to 2,250,000 shares (the “Shares”) of beneficial interest, no par value per share, of the Fund (the “Common Shares”). |
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| March 28, 2019 |
XFLT / XAI Octagon Floating Rate Alt XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST As filed with the Securities and Exchange Commission on March 28, 2019 Securities Act File No. |
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| March 28, 2019 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 28, 2019 XAI Octagon Floating Rate & Alternative Income Term Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 Re: XAI Octagon Floating Rate & Alternative Income Term Trust — Offering of Common Shares Ladies and Gentlemen: We have acted as special counsel to XAI Octagon Floating Rate & Alternative Income Term Trust, a statutory trust (the “Trust”) created under the Delaware Statutory Trust Act (the “DSTA”), in connection with the issuance and sale by the Trust of up to 2,250,000 shares (the “Shares”) of the Trust’s common shares of beneficial interest, par value $0. |
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| March 7, 2019 |
XFLT / XAI Octagon Floating Rate Alt CORRESP 1 filename1.htm [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 7, 2019 Raymond Be Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 RE: XAI Octagon Floating Rate & Alternative Income Term Trust (File Nos. 333-227640 and 811-23247) Dear Mr. Be: Thank you for your telephonic comments regarding pre-effective amendment |
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| March 7, 2019 |
XFLT / XAI Octagon Floating Rate Alt XAI Octagon Floating Rate & Alternative Income Term Trust XAI Octagon Floating Rate & Alternative Income Term Trust 321 North Clark Street, Suite 2430 Chicago, Illinois 60654 March 7, 2019 Raymond Be Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: XAI Octagon Floating Rate & Alternative Income Term Trust – Registration Statement on Form N-2 (File Nos. |
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| March 1, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 1, 2019 |
Press Release dated March 1, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution March 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on April 1, 2019 to common shareholders of record as |
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| February 20, 2019 |
I, Theodore J. Brombach, certify that: EX-99.CERT 2 fp0039782ex99cert.htm EX-99.CERT I, Theodore J. Brombach, certify that: 1. I have reviewed this report on Form N-Q of XAI Octagon Floating Rate & Alternative Income Term Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which s |
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| February 20, 2019 |
XFLT / XAI Octagon Floating Rate Alt N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY 811-23247 (Investment Company Act File Number) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact Name of Registrant as Specified in Charter) 321 North Clark Street, Suite 2430 Chicago, IL 60654 (Address of Principal Exe |
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| February 1, 2019 |
EX-99.1 2 d652187dex991.htm PRESS RELEASE DATED FEBRUARY 1, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution February 1, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on March 1, 2019 to |
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| February 1, 2019 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 22, 2019 |
XFLT / XAI Octagon Floating Rate Alt XAI Octagon Floating Rate & Alternative Income Term Trust [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] January 23, 2019 Raymond Be Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| January 2, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 d656735d8k.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2019 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as sp |
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| January 2, 2019 |
EX-99.1 2 d656735dex991.htm PRESS RELEASE DATED JANUARY 2, 2019 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution January 2, 2019, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on February 1, 2019 t |
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| December 6, 2018 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 6, 2018 |
Press Release dated December 3, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution December 3, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on December 31, 2018 to common shareholders of |
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| December 3, 2018 |
EX-99.1 2 d640342dex991.htm PRESS RELEASE DATED DECEMBER 3, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution December 3, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on December 31, 201 |
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| December 3, 2018 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 1, 2018 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 1, 2018 |
Press Release dated November 1, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution November 1, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on December 3, 2018 to common shareholders of r |
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| October 1, 2018 |
EX-99.1 2 d631091dex991.htm PRESS RELEASE DATED OCTOBER 1, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution October 1, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on November 1, 2018 t |
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| October 1, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 d631091d8k.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 1, 2018 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as sp |
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| September 4, 2018 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 4, 2018 |
Press Release dated September 4, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution September 4, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on October 1, 2018 to common shareholders of |
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| August 27, 2018 |
I, Theodore J. Brombach, certify that: EX-99.CERT 2 fp0035483ex99cert.htm EX-99.CERT I, Theodore J. Brombach, certify that: 1. I have reviewed this report on Form N-Q of XAI Octagon Floating Rate & Alternative Income Term Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which s |
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| August 27, 2018 |
XFLT / XAI Octagon Floating Rate Alt N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY 811-23247 (Investment Company Act File Number) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact Name of Registrant as Specified in Charter) 321 North Clark Street, Suite 2430 Chicago, IL 60654 (Address of Principal Exe |
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| August 1, 2018 |
Press Release dated August 1, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution August 1, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on September 4, 2018 to common shareholders of reco |
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| August 1, 2018 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 13, 2018 |
XFLT / XAI Octagon Floating Rate Alt DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Schedule 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| July 2, 2018 |
Press Release dated July 2, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution July 2, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on August 1, 2018 to common shareholders of record as o |
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| July 2, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 2, 2018 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdiction |
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| June 1, 2018 |
Press Release dated June 1, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution June 1, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on July 2, 2018 to common shareholders of record as of |
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| June 1, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 d595312d8k.htm XAI OCTAGON FLOATING RATE & ALTERNATIVE INCOME TERM TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 1, 2018 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as speci |
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| May 1, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 1, 2018 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdiction |
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| May 1, 2018 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution May 1, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on June 1, 2018 to common shareholders of record as of May 15, 2018, as noted below. The |
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| April 2, 2018 |
Press Release dated April 2, 2018 Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution April 2, 2018, Chicago – XAI Octagon Floating Rate & Alternative Income Term Trust (“XFLT” or the “Trust”) has declared its regular monthly distribution of $0.0690 per share on the Trust’s common shares, payable on May 1, 2018 to common shareholders of record as of |
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| April 2, 2018 |
Financial Statements and Exhibits, Other Events XAI Octagon Floating Rate & Alternative Income Term Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 1, 2018 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution March 1, 2018, Chicago ? XAI Octagon Floating Rate & Alternative Income Term Trust (?XFLT? or the ?Trust?) has declared its regular monthly distribution of $0.0690 per share on the Trust?s common shares, payable on April 2, 2018 to common shareholders of record as of March 15, 2018, as noted below. |
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| March 1, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 1, 2018 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdictio |
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| February 28, 2018 |
I, Theodore J. Brombach, certify that: EX-99.CERT I, Theodore J. Brombach, certify that: 1. I have reviewed this report on Form N-Q of XAI Octagon Floating Rate & Alternative Income Term Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misle |
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| February 28, 2018 |
Xai Octagon Floating Rate & Alternative Income Term Trust - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY 811-23247 (Investment Company Act File Number) XAI Octagon Floating Rate & Alternative Income Term Trust (Exact Name of Registrant as Specified in Charter) 321 North Clark Street, Suite 2430 Chicago, IL 60654 (Address of Principal Exe |
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| February 2, 2018 |
Exhibit 99.1 XAI Octagon Floating Rate & Alternative Income Term Trust Declares Monthly Distribution February 1, 2018, Chicago ? XAI Octagon Floating Rate & Alternative Income Term Trust (?XFLT? or the ?Trust?) has declared its regular monthly distribution of $0.0690 per share on the Trust?s common shares, payable on March 1, 2018 to common shareholders of record as of February 15, 2018, as noted |
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| February 2, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 1, 2018 XAI Octagon Floating Rate & Alternative Income Term Trust (Exact name of registrant as specified in its charter) Delaware 811-23247 82-2305867 (State or other jurisdic |
