XFLT (XAI Floating Rate & Alternative Income Trust)
Insider Trading Activity
Every open-market purchase and sale reported by XFLT officers, directors and 10%+ beneficial owners on SEC Form 4, which must be filed within two business days of the transaction. Sales often reflect scheduled 10b5-1 plans or tax withholding rather than a directional view, so read counts alongside the size and the filer.
Market data may be delayed, incomplete, or inaccurate. Not a recommendation to buy, sell, or hold any security. Verify quotes with your broker before trading. See Terms §17.
| Filed | Insider | Role | Type | Shares | Value |
|---|---|---|---|---|---|
| 2026-02-19 | John Yogi Spence | Vice President | Buy | — | — |
| 2025-12-30 | Kimberly Ann Flynn | Vice President | J | — | — |
| 2025-12-30 | Benjamin McCulloch | Secretary & CLO | J | — | — |
| 2025-12-30 | Theodore J Brombach | President & CEO | G | — | — |
| 2025-12-30 | John Yogi Spence | Vice President | G | — | — |
| 2025-10-27 | Lauren Kristen Law | — | Buy | — | — |
| 2025-09-12 | Scott C Jones | — | Sell | — | — |
| 2025-02-21 | John Yogi Spence | Vice President | Buy | — | — |
| 2025-02-19 | John Yogi Spence | Vice President | Buy | — | — |
| 2025-01-16 | Theodore J Brombach | President & CEO | J | — | — |
| 2025-01-13 | Kimberly Ann Flynn | Vice President | J | — | — |
| 2025-01-13 | Benjamin McCulloch | Secretary & CLO | J | — | — |
| 2025-01-13 | John Yogi Spence | Vice President | J | — | — |
| 2024-12-20 | John Yogi Spence | — | Buy | — | — |
| 2024-05-23 | John Yogi Spence | — | G | — | — |
| 2024-05-10 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2024-05-10 | John Yogi Spence | — | Buy | — | — |
| 2023-12-13 | Kimberly Ann Flynn | Vice President | J | — | — |
| 2023-12-13 | Benjamin McCulloch | Secretary & CLO | J | — | — |
| 2023-12-13 | Theodore J Brombach | President & CEO | MIXED | — | — |
| 2023-12-13 | John Yogi Spence | — | MIXED | — | — |
| 2023-12-06 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2023-12-06 | John Yogi Spence | — | Buy | — | — |
| 2023-11-16 | John Yogi Spence | — | Buy | — | — |
| 2023-11-16 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2023-07-26 | John Yogi Spence | — | G | — | — |
| 2022-12-23 | John Yogi Spence | — | Buy | — | — |
| 2022-11-15 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2022-11-15 | John Yogi Spence | — | Buy | — | — |
| 2022-11-14 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2022-11-14 | John Yogi Spence | — | Buy | — | — |
| 2022-11-09 | John Yogi Spence | — | Buy | — | — |
| 2022-11-09 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2022-11-09 | John Yogi Spence | — | Buy | — | — |
| 2022-11-09 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2022-11-09 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2022-11-09 | John Yogi Spence | — | Buy | — | — |
| 2022-11-04 | John Yogi Spence | — | Buy | — | — |
| 2022-11-04 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2022-09-23 | John Yogi Spence | — | Buy | — | — |
| 2022-09-02 | John Yogi Spence | — | Buy | — | — |
| 2022-08-22 | John Yogi Spence | — | Buy | — | — |
| 2022-04-11 | Benjamin McCulloch | Secretary & CLO | Buy | — | — |
| 2021-12-20 | John Yogi Spence | — | Buy | — | — |
| 2021-12-09 | John P McGarrity | — | Sell | — | — |
| 2021-07-27 | Benjamin McCulloch | Secretary & CLO | Buy | — | — |
| 2021-07-22 | Theodore J Brombach | President & CEO | Buy | — | — |
| 2021-07-21 | John Yogi Spence | — | Buy | — | — |
| 2020-03-25 | PHILIP G FRANKLIN | — | Buy | — | — |
| 2020-03-23 | Andrew David Gordon | — | Buy | — | — |
| Insider | Role | Shares Held | Value |
|---|---|---|---|
| — | Vice President | 114,476 | — |
| — | President & CEO | 111,021 | — |
| — | — | 11,248 | — |
| — | Vice President | 9,342 | — |
| — | Chief Legal & Secretary | 8,570 | — |
| — | — | 6,000 | — |
| — | — | 5,640 | — |
| — | — | 4,000 | — |
| — | — | 3,500 | — |
| — | Secretary & CLO | 2,298 | — |
| — | — | 854 | — |
Form 4 reports a change in beneficial ownership by an officer, director or 10%+ holder, and must be filed within two business days of the transaction — so this is close to real time, unlike the 45-day-lagged 13F institutional data.
Transaction codes matter more than the raw buy/sell count. Code P is an open-market purchase — an insider choosing to buy with their own money, which is the signal most research treats as informative. Code S is a sale, but sales are frequently pre-scheduled under a 10b5-1 plan or cover tax withholding on vesting equity, so a run of sales often says nothing directional. Codes A and M are grants and option exercises rather than open-market decisions.
Full filing history and per-insider positions are on the XFLT quote page; the site-wide leaderboard is on the insider transactions hub.