Spence John Yogi — SEC Form 4 filings
SEC reporting owner CIK 1718133. 17 Form 4 filings on record with FilingPulse; latest filed 2026-09-03.
Transaction summary — filings shown
Covers all 17 filings on record, filed 2024-03-20 to 2026-09-03. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 17 legs across 11 filings — 351,455 shares, $433,011 total (shares × price as filed on priced legs).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 16.
- Largest priced transaction: purchase of 11,765 shares @ $8.50 ($100,002) in Montana Technologies Corp., filed 2024-10-21.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Montana Technologies Corp. (AIRJ) | 10% owner | 4 | 2 legs · 17,647 sh · $150,000 | — | 13 |
| XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Vice President | 8 | 6 legs · 18,867 sh · $113,451 | — | 3 |
| Evanston Multi-Alpha Fund | — | 1 | 1 leg · 10,388 sh · $100,001 | — | — |
| Octagon XAI CLO Income Fund | Adviser Personnel | 3 | 6 legs · 302,053 sh · $53,000 | — | — |
| XAI Madison Equity Premium Income Fund (MCN) | — | 1 | 2 legs · 2,500 sh · $16,560 | — | — |
Form 4 filings — Spence John Yogi
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-09-03 | 4 | Evanston Multi-Alpha Fund | Purchase (P): 10,388.32 @ $9.63 | EDGAR |
| 2026-06-10 | 4 | Octagon XAI CLO Income Fund | Purchase (P): 200,000 @ $0 · Purchase (P): 100,000 @ $0 | EDGAR |
| 2026-02-19 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Purchase (P): 5,000 @ $3.90 | EDGAR |
| 2025-12-30 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Gift (G): 7,811 @ $0 | EDGAR |
| 2025-02-21 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Purchase (P): 2,000 @ $6.38 | EDGAR |
| 2025-02-19 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Purchase (P): 3,000 @ $6.41 | EDGAR |
| 2025-01-13 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Other (J): 6,052 @ $0 | EDGAR |
| 2025-01-07 | 4/A | Octagon XAI CLO Income Fund (OCTIX) | Purchase (P): 59.20 @ $25.34 · Purchase (P): 967.12 @ $25.85 | EDGAR |
| 2025-01-03 | 4 | Octagon XAI CLO Income Fund (OCTIX) | Purchase (P): 59.20 @ $25.34 · Purchase (P): 967.12 @ $25.85 | EDGAR |
| 2024-12-20 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Purchase (P): 2,000 @ $6.50 | EDGAR |
| 2024-12-19 | 4 | XAI Madison Equity Premium Income Fund (MCN) | Purchase (P): 2,000 @ $6.63 · Purchase (P): 500 @ $6.60 | EDGAR |
| 2024-10-21 | 4 | Montana Technologies Corp. (AIRJ) | Purchase (P): 11,765 @ $8.50 · Purchase (P): 5,882 @ $8.50 · Other (J): 3,481,337 @ $0 · Other (J): 746,694 @ $0 · Other (J): 153,626 @ $0 · Other (J): 2,725,000 (derivative) · +2 more | EDGAR |
| 2024-09-18 | 4 | Montana Technologies Corp. (AIRJ) jointly with Brombach Theodore J, XMS XPDI Sponsor II Holdings LLC | Other (J): 6,827,969 @ $0 · Other (J): 8,900,000 (derivative) | EDGAR |
| 2024-07-26 | 4 | Montana Technologies Corp. (AIRJ) jointly with Brombach Theodore J | Other (J): 162,059 @ $0 | EDGAR |
| 2024-05-23 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Gift (G): 6,000 @ $0 | EDGAR |
| 2024-05-10 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Purchase (P): 3,417 @ $7.13 · Purchase (P): 3,450 @ $7.13 | EDGAR |
| 2024-03-20 | 4 | Montana Technologies Corp. (AIRJ) jointly with Brombach Theodore J | Option exercise (M): 6,827,969 · Grant/award (A): 162,059 · Disposition to issuer (D): 269,531 (derivative) · Option exercise (M): 6,827,969 (derivative) | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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