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XAI Floating Rate & Alternative Income Trust

XFLT Net buying
CIK 0001703079 #3597 in the set updated 18 Sep 2026
Bought (120 mo)
$134.07M
out of their own pocket, the only kind of buying there is
Sold (120 mo)
$637.96K
$0.00 on a plan · $0.00 straight out of an exercise
Sold at will
$637.96K
58 of 58 sales
Net
+$133.44M
+$133.44M against sales at will

By person

12 insiders · 163 transactions
Insider
Role
Bought
Sold
Net
Holding
Worth
Change
Brombach Theodore J
President & CEO
$132.93M (22)
$231.70K (27)
+$132.70M
477,185
$1.86M
+4.2%
Spence John Yogi
Vice President
$536.83K (51)
$230.61K (28)
+$306.22K
1,073,029
$4.18M
+2.4%
Cupps Danielle
Trustee
$199.05K (12)
—
+$199.05K
28,055
$109.41K
+248.3%
Basmadjian Lauren Michelle
Portfolio Manager
$100.27K (2)
—
+$100.27K
17,500
$68.25K
+250.0%
Law Lauren Kristen
Sub-Adviser Inv Comm Member
$100.14K (1)
—
+$100.14K
20,000
$78.00K
—
McGarrity John P
Officer of XAI
$27.62K (4)
$101.01K (1)
−$73.39K
96,802
$377.53K
−6.9%
FRANKLIN PHILIP G
Trustee
$69.90K (2)
—
+$69.90K
56,242
$219.34K
+30.7%
Dingens Gregory
Trustee
$29.36K (2)
—
+$29.36K
28,200
$109.98K
+12.8%
Jones Scott C
Trustee
$51.69K (3)
$74.65K (2)
−$22.96K
6,451
$25.16K
−53.8%
Gordon Andrew David
Sub-Adviser Inv Comm Member
$19.96K (2)
—
+$19.96K
4,272
$16.66K
—
McCulloch Benjamin
Secretary & CLO
$8.97K (4)
—
+$8.97K
18,622
$72.62K
+104.5%
Flynn Kimberly Ann
Vice President
—
—
—
89,912
$350.66K
+11.0%

No percentages here. XAI Floating Rate & Alternative Income Trust reports its share count only per share class, which the XBRL frames API does not carry.

Individual transactions

163
Insider
Date
Role
Action
Shares
Price
Amount
Spence John Yogi
19 Feb 2026
Vice President
Buy
5,000
$3.90
$19.50K
Law Lauren Kristen
24 Oct 2025
Sub-Adviser Inv Comm Member
Buy
20,000
$5.01
$100.14K
Jones Scott C
11 Sep 2025
Trustee
Sell
13,009
$5.62
$73.12K
Spence John Yogi
21 Feb 2025
Vice President
Buy
2,000
$6.38
$12.76K
Spence John Yogi
19 Feb 2025
Vice President
Buy
3,000
$6.41
$19.23K
Spence John Yogi
19 Dec 2024
Adviser Personnel
Buy
2,000
$6.50
$13.00K
Spence John Yogi
10 May 2024
Advisor Personnel
Buy indirect
3,450
$7.13
$24.60K
Brombach Theodore J
10 May 2024
President & CEO
Buy indirect
3,450
$7.13
$24.60K
Spence John Yogi
9 May 2024
Advisor Personnel
Buy indirect
3,417
$7.13
$24.36K
Brombach Theodore J
9 May 2024
President & CEO
Buy indirect
3,417
$7.13
$24.36K
Brombach Theodore J
12 Dec 2023
President & CEO
Buy indirect
825
$7.05
$5.82K
Spence John Yogi
12 Dec 2023
Adviser Personnel
Buy indirect
825
$7.05
$5.82K
Brombach Theodore J
5 Dec 2023
President & CEO
Buy indirect
6,000
$6.89
$41.34K
Spence John Yogi
5 Dec 2023
Adviser Personnel
Buy indirect
6,000
$6.89
$41.34K
Brombach Theodore J
13 Nov 2023
President & CEO
Buy indirect
289
$7.08
$2.05K
Spence John Yogi
13 Nov 2023
Adviser Personnel
Buy indirect
289
$7.08
$2.05K
Spence John Yogi
22 Dec 2022
Adviser Personnel
Buy
500
$6.33
$3.17K
Spence John Yogi
11 Nov 2022
Adviser Personnel
Buy indirect
3,050
$6.67
$20.34K
Brombach Theodore J
11 Nov 2022
President & CEO
Buy indirect
3,050
$6.67
$20.34K
Spence John Yogi
10 Nov 2022
Adviser Personnel
Buy indirect
355
$6.65
$2.36K
Spence John Yogi
10 Nov 2022
Adviser Personnel
Buy indirect
754
$6.64
$5.01K
Spence John Yogi
10 Nov 2022
Adviser Personnel
Buy indirect
891
$6.63
$5.91K
Brombach Theodore J
10 Nov 2022
President & CEO
Buy indirect
355
$6.65
$2.36K
Brombach Theodore J
10 Nov 2022
President & CEO
Buy indirect
754
$6.64
$5.01K
Brombach Theodore J
10 Nov 2022
President & CEO
Buy indirect
891
$6.63
$5.91K
Brombach Theodore J
9 Nov 2022
President & CEO
Buy indirect
918
$6.56
$6.02K
Brombach Theodore J
9 Nov 2022
President & CEO
Buy indirect
1,082
$6.53
$7.07K
Spence John Yogi
9 Nov 2022
Adviser Personnel
Buy indirect
918
$6.56
$6.02K
Spence John Yogi
9 Nov 2022
Adviser Personnel
Buy indirect
1,082
$6.53
$7.07K
Brombach Theodore J
8 Nov 2022
President & CEO
Buy indirect
1,800
$6.50
$11.70K
Brombach Theodore J
8 Nov 2022
President & CEO
Buy indirect
2,100
$6.49
$13.63K
Brombach Theodore J
8 Nov 2022
President & CEO
Buy indirect
100
$6.38
$638.00
Spence John Yogi
8 Nov 2022
Adviser Personnel
Buy indirect
1,800
$6.50
$11.70K
Spence John Yogi
8 Nov 2022
Adviser Personnel
Buy indirect
2,100
$6.49
$13.63K
Spence John Yogi
8 Nov 2022
Adviser Personnel
Buy indirect
100
$6.38
$638.00
Brombach Theodore J
4 Nov 2022
President & CEO
Buy indirect
3,588
$6.39
$22.93K
Spence John Yogi
4 Nov 2022
Adviser Personnel
Buy indirect
3,588
$6.39
$22.93K
Brombach Theodore J
3 Nov 2022
President & CEO
Buy indirect
412
$6.35
$2.62K
Spence John Yogi
3 Nov 2022
Adviser Personnel
Buy indirect
412
$6.35
$2.62K
Spence John Yogi
23 Sep 2022
Adviser Personnel
Buy
2,000
$6.23
$12.46K
Spence John Yogi
23 Sep 2022
Adviser Personnel
Buy
1,000
$6.24
$6.24K
Spence John Yogi
2 Sep 2022
Adviser Personnel
Buy indirect
0
$0.00
$0.00
Spence John Yogi
2 Sep 2022
Adviser Personnel
Buy indirect
0
$0.00
$0.00
Spence John Yogi
2 Sep 2022
Adviser Personnel
Buy
1,000
$7.00
$7.00K
Spence John Yogi
2 Sep 2022
Adviser Personnel
Buy
1,000
$6.97
$6.97K
Spence John Yogi
19 Aug 2022
Adviser Personnel
Buy indirect
0
$0.00
$0.00
Spence John Yogi
19 Aug 2022
Adviser Personnel
Buy indirect
0
$0.00
$0.00
Spence John Yogi
19 Aug 2022
Adviser Personnel
Buy
1,000
$7.16
$7.16K
Spence John Yogi
19 Aug 2022
Adviser Personnel
Buy
1,000
$7.16
$7.16K
Spence John Yogi
19 Aug 2022
Adviser Personnel
Buy
1,000
$7.15
$7.15K
McCulloch Benjamin
8 Apr 2022
Secretary & CLO
Buy
472
$8.47
$4.00K
Spence John Yogi
20 Dec 2021
Adviser Personnel
Buy
3,865
$8.53
$32.97K
Spence John Yogi
20 Dec 2021
Adviser Personnel
Buy
135
$8.54
$1.15K
McGarrity John P
8 Dec 2021
Officer of XAI
Sell
11,100
$9.10
$101.01K
McCulloch Benjamin
27 Jul 2021
Secretary & CLO
Buy
188
$8.67
$1.63K
McCulloch Benjamin
27 Jul 2021
Secretary & CLO
Buy
100
$8.67
$866.63
Spence John Yogi
21 Jul 2021
Adviser Personnel
Buy indirect
500
$8.50
$4.25K
Spence John Yogi
21 Jul 2021
Adviser Personnel
Buy
4,400
$8.50
$37.40K
Spence John Yogi
21 Jul 2021
Adviser Personnel
Buy
2,873
$8.50
$24.42K
Spence John Yogi
21 Jul 2021
Adviser Personnel
Buy
1,500
$8.50
$12.75K
Spence John Yogi
21 Jul 2021
Adviser Personnel
Buy
600
$8.50
$5.10K
Spence John Yogi
21 Jul 2021
Adviser Personnel
Buy
127
$8.49
$1.08K
Brombach Theodore J
21 Jul 2021
President & CEO
Buy
29,500
$8.50
$250.75K
FRANKLIN PHILIP G
24 Mar 2020
Trustee
Buy
10,000
$4.04
$40.38K
Gordon Andrew David
20 Mar 2020
Sub-Adviser Inv Comm Member
Buy
2,050
$4.89
$10.02K
Gordon Andrew David
19 Mar 2020
Sub-Adviser Inv Comm Member
Buy
2,222
$4.47
$9.93K
Brombach Theodore J
18 Mar 2020
President & CEO
Buy
1,000
$4.48
$4.48K
Brombach Theodore J
18 Mar 2020
President & CEO
Buy
1,000
$4.52
$4.52K
Spence John Yogi
16 Mar 2020
Adviser Personnel
Buy
3,000
$5.69
$17.07K
McGarrity John P
16 Mar 2020
Chief Legal & Secretary
Buy
2,520
$5.54
$13.95K
Spence John Yogi
12 Mar 2020
Advisor Personnel
Buy
500
$5.80
$2.90K
Spence John Yogi
12 Mar 2020
Advisor Personnel
Buy
400
$5.90
$2.36K
Spence John Yogi
12 Mar 2020
Advisor Personnel
Buy
400
$5.95
$2.38K
Spence John Yogi
12 Mar 2020
Advisor Personnel
Buy
500
$6.00
$3.00K
Jones Scott C
10 Mar 2020
Trustee
Sell
225
$6.82
$1.53K
Spence John Yogi
6 Mar 2020
Advisor Personnel
Buy
5,000
$7.38
$36.90K
McCulloch Benjamin
21 Jan 2020
Secretary & CLO
Buy
300
$8.24
$2.47K
Brombach Theodore J
10 Jan 2020
President&CEO
Buy
612
$8.17
$5.00K
Brombach Theodore J
9 Jan 2020
President&CEO
Buy
609
$8.20
$4.99K
Dingens Gregory
3 Apr 2019
Trustee
Buy
1,200
$8.72
$10.47K
Jones Scott C
18 Jan 2019
Trustee
Buy
3,008
$8.31
$25.00K
Basmadjian Lauren Michelle
14 Jan 2019
Portfolio Manager
Buy
8,066
$7.99
$64.45K
Basmadjian Lauren Michelle
11 Jan 2019
Portfolio Manager
Buy
4,434
$8.08
$35.83K
Jones Scott C
26 Dec 2018
Trustee
Buy
300
$7.37
$2.21K
Spence John Yogi
21 Dec 2018
CFO & Treasurer
Buy
2,500
$7.37
$18.43K
FRANKLIN PHILIP G
29 Oct 2018
Trustee
Buy
3,206
$9.21
$29.52K
Dingens Gregory
25 Oct 2018
Trustee
Buy
2,000
$9.45
$18.90K
Spence John Yogi
11 Oct 2018
CFO & Treasurer
Sell
100
$9.88
$988.00
Brombach Theodore J
11 Oct 2018
President & CEO
Sell
100
$9.88
$988.00
Spence John Yogi
10 Oct 2018
CFO & Treasurer
Sell
400
$9.88
$3.95K
Brombach Theodore J
10 Oct 2018
President & CEO
Sell
400
$9.88
$3.95K
Spence John Yogi
8 Oct 2018
CFO & Treasurer
Sell
7
$9.80
$68.60
Brombach Theodore J
8 Oct 2018
President & CEO
Sell
100
$9.80
$980.00
Spence John Yogi
5 Oct 2018
CFO & Treasurer
Sell
100
$9.80
$980.00
Spence John Yogi
4 Oct 2018
CFO & Treasurer
Sell
100
$9.83
$983.00
Brombach Theodore J
4 Oct 2018
President & CEO
Sell
100
$9.83
$983.00
Spence John Yogi
3 Oct 2018
CFO & Treasurer
Sell
1,080
$9.85
$10.64K
Brombach Theodore J
3 Oct 2018
President & CEO
Sell
1,080
$9.85
$10.64K
Spence John Yogi
2 Oct 2018
CFO & Treasurer
Sell
511
$9.81
$5.02K
Brombach Theodore J
2 Oct 2018
President & CEO
Sell
600
$9.82
$5.89K
Spence John Yogi
1 Oct 2018
CFO & Treasurer
Sell
1,200
$9.82
$11.78K
Brombach Theodore J
1 Oct 2018
President & CEO
Sell
965
$9.82
$9.48K
Spence John Yogi
27 Sep 2018
CFO & Treasurer
Sell
700
$9.82
$6.87K
Brombach Theodore J
27 Sep 2018
President & CEO
Sell
700
$9.82
$6.87K
Spence John Yogi
26 Sep 2018
CFO & Treasurer
Sell
400
$9.80
$3.92K
Brombach Theodore J
26 Sep 2018
President & CEO
Sell
300
$9.80
$2.94K
Spence John Yogi
25 Sep 2018
CFO & Treasurer
Sell
200
$9.82
$1.96K
Brombach Theodore J
25 Sep 2018
President & CEO
Sell
300
$9.82
$2.95K
Spence John Yogi
20 Sep 2018
CFO & Treasurer
Sell
200
$9.81
$1.96K
Brombach Theodore J
20 Sep 2018
President & CEO
Sell
200
$9.80
$1.96K
Spence John Yogi
19 Sep 2018
CFO & Treasurer
Sell
400
$9.82
$3.93K
Brombach Theodore J
19 Sep 2018
President & CEO
Sell
300
$9.82
$2.95K
Spence John Yogi
18 Sep 2018
CFO & Treasurer
Sell
300
$9.83
$2.95K
Brombach Theodore J
18 Sep 2018
President & CEO
Sell
300
$9.83
$2.95K
Spence John Yogi
17 Sep 2018
CFO & Treasurer
Sell
200
$9.82
$1.96K
Brombach Theodore J
17 Sep 2018
President & CEO
Sell
200
$9.82
$1.96K
Spence John Yogi
14 Sep 2018
CFO & Treasurer
Sell
1,000
$9.87
$9.87K
Brombach Theodore J
14 Sep 2018
President & CEO
Sell
900
$9.87
$8.88K
Spence John Yogi
13 Sep 2018
CFO & Treasurer
Sell
2,820
$9.87
$27.83K
Brombach Theodore J
13 Sep 2018
President & CEO
Sell
2,900
$9.87
$28.62K
Spence John Yogi
12 Sep 2018
CFO & Treasurer
Sell
1,100
$9.83
$10.81K
Brombach Theodore J
12 Sep 2018
President & CEO
Sell
1,000
$9.87
$9.87K
Cupps Danielle
12 Sep 2018
Trustee
Buy
1,955
$9.89
$19.33K
Cupps Danielle
12 Sep 2018
Trustee
Buy
100
$9.85
$985.00
Cupps Danielle
12 Sep 2018
Trustee
Buy
2,000
$9.89
$19.78K
Spence John Yogi
11 Sep 2018
CFO & Treasurer
Sell
300
$9.87
$2.96K
Brombach Theodore J
11 Sep 2018
President & CEO
Sell
300
$9.87
$2.96K
Cupps Danielle
11 Sep 2018
Trustee
Buy
201
$9.89
$1.99K
Cupps Danielle
11 Sep 2018
Trustee
Buy
1,799
$9.93
$17.86K
Cupps Danielle
10 Sep 2018
Trustee
Buy
2,000
$9.88
$19.76K
Spence John Yogi
10 Sep 2018
CFO & Treasurer
Sell
300
$9.87
$2.96K
Brombach Theodore J
10 Sep 2018
President & CEO
Sell
300
$9.87
$2.96K
Cupps Danielle
10 Sep 2018
Trustee
Buy
900
$9.88
$8.89K
Cupps Danielle
10 Sep 2018
Trustee
Buy
1,045
$9.89
$10.34K
Spence John Yogi
7 Sep 2018
CFO & Treasurer
Sell
300
$9.85
$2.96K
Brombach Theodore J
7 Sep 2018
President & CEO
Sell
300
$9.85
$2.96K
Spence John Yogi
6 Sep 2018
CFO & Treasurer
Sell
1,000
$9.89
$9.89K
Brombach Theodore J
6 Sep 2018
President & CEO
Sell
1,000
$9.88
$9.88K
Spence John Yogi
5 Sep 2018
CFO & Treasurer
Sell
300
$9.87
$2.96K
Brombach Theodore J
5 Sep 2018
President & CEO
Sell
300
$9.86
$2.96K
Spence John Yogi
4 Sep 2018
CFO & Treasurer
Sell
2,400
$9.89
$23.73K
Brombach Theodore J
4 Sep 2018
President & CEO
Sell
2,600
$9.89
$25.70K
Spence John Yogi
31 Aug 2018
CFO & Treasurer
Sell
1,198
$9.96
$11.93K
Brombach Theodore J
31 Aug 2018
President & CEO
Sell
1,100
$9.95
$10.95K
Spence John Yogi
30 Aug 2018
CFO & Treasurer
Sell
3,900
$10.01
$39.05K
Brombach Theodore J
30 Aug 2018
President & CEO
Sell
3,690
$10.02
$36.97K
Cupps Danielle
30 Aug 2018
Trustee
Buy
300
$10.02
$3.01K
Cupps Danielle
30 Aug 2018
Trustee
Buy
4,700
$10.03
$47.14K
Cupps Danielle
29 Aug 2018
Trustee
Buy
3,800
$10.01
$38.04K
Cupps Danielle
29 Aug 2018
Trustee
Buy
1,200
$9.95
$11.93K
Spence John Yogi
29 Aug 2018
CFO & Treasurer
Sell
1,280
$9.98
$12.77K
Brombach Theodore J
29 Aug 2018
President & CEO
Sell
1,760
$9.99
$17.58K
Spence John Yogi
28 Aug 2018
CFO & Treasurer
Sell
1,500
$9.94
$14.92K
Brombach Theodore J
28 Aug 2018
President & CEO
Sell
1,600
$9.95
$15.91K
McGarrity John P
20 Mar 2018
Chief Legal & Secretary
Buy
359
$9.58
$3.44K
Spence John Yogi
20 Mar 2018
CFO & Treasurer
Buy
270
$9.58
$2.59K
Brombach Theodore J
20 Mar 2018
President & CEO
Buy
300
$441,550.00
$132.47M
McGarrity John P
7 Feb 2018
Chief Legal & Secretary
Buy
352
$9.75
$3.43K
Spence John Yogi
7 Feb 2018
CFO & Treasurer
Buy
265
$9.75
$2.58K
McGarrity John P
29 Dec 2017
Chief Legal & Secretary
Buy
720
$9.43
$6.79K
Spence John Yogi
29 Dec 2017
CFO & Treasurer
Buy
700
$9.39
$6.57K
Spence John Yogi
22 Dec 2017
CFO & Treasurer
Buy
500
$9.51
$4.76K
Jones Scott C
28 Sep 2017
Trustee
Buy
2,400
$10.20
$24.48K

What was left out

Form 4 filings counted 126
Amendments (4/A) skipped 8
Filings about a different issuer 0
Unreadable filings 0
Joint filings 0
Sales on a Rule 10b5-1 plan 0
Sales straight out of an exercise 0
Sales at will 58
Transactions with no price 0
Shares from compensation/vesting 65,907
Sales filed before the plan box existed 57
History held since 29 Sep 2017