Brombach Theodore J — SEC Form 4 filings
SEC reporting owner CIK 1718218. 8 Form 4 filings on record with FilingPulse; latest filed 2026-06-10.
Transaction summary — filings shown
Covers all 8 filings on record, filed 2024-03-20 to 2026-06-10. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 4 legs across 2 filings — 306,867 shares, $48,962 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, …): 15.
- Largest priced transaction: purchase of 3,450 shares @ $7.13 ($24,598) in XAI Octagon Floating Rate & Alternative Income Trust, filed 2024-05-10.
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 |
|---|---|---|---|---|---|
| XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | President & CEO, Director | 3 | 2 legs · 6,867 sh · $48,962 | — | 2 |
| Octagon XAI CLO Income Fund | President and CEO, Director | 1 | 2 legs · 300,000 sh | — | — |
| Montana Technologies Corp. (AIRJ) | 10% owner | 4 | — | — | 13 |
Form 4 filings — Brombach Theodore J
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-06-10 | 4 | Octagon XAI CLO Income Fund | Purchase (P): 100,000 @ $0 · Purchase (P): 200,000 @ $0 | EDGAR |
| 2025-12-30 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Gift (G): 7,811 @ $0 | EDGAR |
| 2025-01-16 | 4 | XAI Octagon Floating Rate & Alternative Income Trust (XFLT) | Other (J): 6,052 @ $0 | EDGAR |
| 2024-10-21 | 4 | Montana Technologies Corp. (AIRJ) jointly with XMS XPDI Sponsor II Holdings LLC | Other (J): 3,481,337 @ $0 · Other (J): 746,694 @ $0 · Other (J): 153,626 @ $0 · Other (J): 2,725,000 (derivative) · Other (J): 584,470 (derivative) · Other (J): 120,250 (derivative) | EDGAR |
| 2024-09-18 | 4 | Montana Technologies Corp. (AIRJ) jointly with Spence John Yogi, 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 Spence John Yogi | Other (J): 162,059 @ $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 Spence John Yogi | 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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