Security key
98400T106
XAI Octagon Floating Rate & Alternative Income Trust - Common Stock (XFLT)
CUSIP: 98400T106
Q3 2020 13F Holders as of 30 Sep 2020
- Security type / class
- Equity / Common Stock
- Total 13F shares
- 1,418,714
- Total 13F value
- $8,499,000
- Share change
- +301,390
- SEC-reported price per share
- $5.99
- Number of holders
- 17
- Value change
- +$1,828,264
- Number of buys
- 6
- Number of sells
- 11
- Shares outstanding
- 15,190,333
Holder snapshot
6 signals
Security identity
Names, identifiers, and filing context for this profile.
1 source field
Report period
Q3 2020
Institutions
17
Top holders
10
XFLT full security history
Ownership snapshot
Full 13F holder table
Newer quarter: Q4 2020
Previous quarter: Q2 2020
XAI Floating Rate & Alternative Income Trust SEC filings
Broader feeds
Reporting periods
Holder history for CUSIP 98400T106
Recent filing periods:
Ownership snapshot
Top reported holders of XFLT - XAI Octagon Floating Rate & Alternative Income Trust - Common Stock (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.
Comparable stake leader
UBS Group AG
Disclosed value leader
UBS Group AG
Comparable rows
15/15
Latest evidence
30 Jun 2020
13F
Lead comparable stake: 2.4%
Showing 1-6 of 15 holder rows.
Quick read
UBS Group AG leads the comparable SEC ownership view at 2.4%.
15 of 15 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.
Open SEC evidence
Opens UBS Group AG's linked filing trail.
Comparable ownership
Top 5
UBS Group AG
2.4%
Belpointe Asset Management LLC
1.8%
BARD ASSOCIATES INC
1.2%
B. Riley Wealth Advisors, Inc.
0.61%
WEDBUSH SECURITIES INC
0.33%
Ownership % is shown only when SEC disclosures are safely comparable across share classes.
Detailed SEC evidence table Showing 1-6 of 15 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| UBS Group AG |
13F
Company
|
2.4%
|
$2,042,000
358,910 shares
|
— | 30 Jun 2020 |
| Belpointe Asset Management LLC |
13F
Company
|
1.8%
|
$1,560,000
274,099 shares
|
— | 30 Jun 2020 |
| BARD ASSOCIATES INC |
13F
Company
|
1.2%
|
$1,039,000
182,532 shares
|
— | 30 Jun 2020 |
| B. Riley Wealth Advisors, Inc. |
13F
Company
|
0.61%
|
$528,000
92,722 shares
|
— | 30 Jun 2020 |
| WEDBUSH SECURITIES INC |
13F
Company
|
0.33%
|
$289,000
50,751 shares
|
— | 30 Jun 2020 |
| US BANCORP \DE\ |
13F
Company
|
0.33%
|
$285,000
50,000 shares
|
— | 30 Jun 2020 |
How to read this table
Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
13F holder rows
Institutional holders as of Q3 2020
Investor-level positions for this CUSIP, loaded as an interactive table.
Institutions
17
Shares
1,418,714
Rows available
17
| Investor | Option | Weight % | Change % | SEC-reported value | * Price | Shares | Share Change | Activity | Report Period |
|---|
* SEC-reported price is the security price as of the portfolio date and can indicate the last known price at which the security was still held. The marker flags a reported price that did not pass the local price check.
Compare Q3 2020 vs Q2 2020 Across Filers
Q2 2020 holders
19
Q3 2020 holders
17
Holder diff
-2
| Investor | Q2 2020 Shares | Q3 2020 Shares | Share Diff | Share Chg % | Q2 2020 value | Q3 2020 value | Value change | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend