XFLT · Insider Trading
XAI Floating Rate & Alternative Income Trust
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.
| Filed | Insider | Role | Type | Shares | Value |
|---|---|---|---|---|---|
| 2026-02-19 | John Yogi Spence | Vice President | Buy | +5,000 | +$19.50K |
| 2025-12-30 | Kimberly Ann Flynn | Vice President | J | +3,504 | — |
| 2025-12-30 | Benjamin McCulloch | Secretary & CLO | J | +3,389 | — |
| 2025-12-30 | Theodore J Brombach | President & CEO | G | −7,811 | — |
| 2025-12-30 | John Yogi Spence | Vice President | G | −7,811 | — |
| 2025-10-27 | Lauren Kristen Law | — | Buy | +20,000 | +$100.14K |
| 2025-09-12 | Scott C Jones | — | Sell | −13,008 | −$73.12K |
| 2025-02-21 | John Yogi Spence | Vice President | Buy | +2,000 | +$12.76K |
| 2025-02-19 | John Yogi Spence | Vice President | Buy | +3,000 | +$19.23K |
| 2025-01-16 | Theodore J Brombach | President & CEO | J | −6,052 | — |
| 2025-01-13 | Kimberly Ann Flynn | Vice President | J | +3,004 | — |
| 2025-01-13 | Benjamin McCulloch | Secretary & CLO | J | +2,857 | — |
| 2025-01-13 | John Yogi Spence | Vice President | J | −6,052 | — |
| 2024-12-20 | John Yogi Spence | — | Buy | +2,000 | +$13.00K |
| 2024-05-23 | John Yogi Spence | — | G | −6,000 | — |
| 2024-05-10 | Theodore J Brombach | President & CEO | Buy | +6,867 | +$48.96K |
| 2024-05-10 | John Yogi Spence | — | Buy | +6,867 | +$48.96K |
| 2023-12-13 | Kimberly Ann Flynn | Vice President | J | +2,400 | — |
| 2023-12-13 | Benjamin McCulloch | Secretary & CLO | J | +2,209 | — |
| 2023-12-13 | Theodore J Brombach | President & CEO | MIXED | −4,584 | +$5.82K |
| 2023-12-13 | John Yogi Spence | — | MIXED | −4,584 | +$5.82K |
| 2023-12-06 | Theodore J Brombach | President & CEO | Buy | +6,000 | +$41.34K |
| 2023-12-06 | John Yogi Spence | — | Buy | +6,000 | +$41.34K |
| 2023-11-16 | John Yogi Spence | — | Buy | +289 | +$2.05K |
| 2023-11-16 | Theodore J Brombach | President & CEO | Buy | +289 | +$2.05K |
| 2023-07-26 | John Yogi Spence | — | G | −4,000 | — |
| 2022-12-23 | John Yogi Spence | — | Buy | +500 | +$3.17K |
| 2022-11-15 | Theodore J Brombach | President & CEO | Buy | +3,050 | +$20.34K |
| 2022-11-15 | John Yogi Spence | — | Buy | +3,050 | +$20.34K |
| 2022-11-14 | Theodore J Brombach | President & CEO | Buy | +2,000 | +$13.27K |
| 2022-11-14 | John Yogi Spence | — | Buy | +2,000 | +$13.27K |
| 2022-11-09 | John Yogi Spence | — | Buy | +4,000 | +$25.54K |
| 2022-11-09 | Theodore J Brombach | President & CEO | Buy | +6,000 | +$39.05K |
| 2022-11-09 | John Yogi Spence | — | Buy | +6,000 | +$39.05K |
| 2022-11-09 | Theodore J Brombach | President & CEO | Buy | +4,000 | +$25.54K |
| 2022-11-09 | Theodore J Brombach | President & CEO | Buy | +6,000 | +$39.05K |
| 2022-11-09 | John Yogi Spence | — | Buy | +6,000 | +$39.05K |
| 2022-11-04 | John Yogi Spence | — | Buy | +4,000 | +$25.54K |
| 2022-11-04 | Theodore J Brombach | President & CEO | Buy | +4,000 | +$25.54K |
| 2022-09-23 | John Yogi Spence | — | Buy | +3,000 | +$18.70K |
| 2022-09-02 | John Yogi Spence | — | Buy | +2,000 | +$13.97K |
| 2022-08-22 | John Yogi Spence | — | Buy | +3,000 | +$21.47K |
| 2022-04-11 | Benjamin McCulloch | Secretary & CLO | Buy | +472 | +$4.00K |
| 2021-12-20 | John Yogi Spence | — | Buy | +4,000 | +$34.12K |
| 2021-12-09 | John P McGarrity | — | Sell | −11,100 | −$101.01K |
| 2021-07-27 | Benjamin McCulloch | Secretary & CLO | Buy | +288 | +$2.50K |
| 2021-07-22 | Theodore J Brombach | President & CEO | Buy | +29,500 | +$250.75K |
| 2021-07-21 | John Yogi Spence | — | Buy | +10,000 | +$85.00K |
| 2020-03-25 | Philip G Franklin | — | Buy | +10,000 | +$40.38K |
| 2020-03-23 | Andrew David Gordon | — | Buy | +4,272 | +$19.96K |
| Insider | Role | Shares Held | Value |
|---|---|---|---|
| John Yogi Spence | Vice President | 114,476 | $1.94M |
| Theodore J Brombach | President & CEO | 111,021 | $1.88M |
| Kimberly Ann Flynn | Vice President | 9,342 | $158.16K |
| Lauren Kristen Law | — | 4,000 | $67.72K |
| Benjamin McCulloch | Secretary & CLO | 2,298 | $38.91K |
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.
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.