Security key
98400T106
XAI Octagon Floating Rate & Alternative Income Trust - Common Stock (XFLT)
CUSIP: 98400T106
Q3 2021 13F Holders as of 30 Sep 2021
- Security type / class
- Equity / Common Stock
- Total 13F shares
- 1,886,642
- Total 13F value
- $16,190,600
- Share change
- +431,314
- SEC-reported price per share
- $8.58
- Number of holders
- 38
- Value change
- +$3,683,830
- Number of buys
- 29
- Number of sells
- 8
- 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 2021
Institutions
38
Top holders
10
XFLT full security history
Ownership snapshot
Full 13F holder table
Newer quarter: Q3 2025
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
Eagle Point Credit Manage...
Disclosed value leader
UBS Group AG
Comparable rows
0/15
Latest evidence
30 Sep 2021
3/4/5
13F
Highest disclosed value: $2,208,000
15 rows are not safely comparable across share classes.
Showing 1-6 of 15 holder rows.
Quick read
UBS Group AG has the largest disclosed position value at $2.21M.
0 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.
Disclosed position value
Top 5
UBS Group AG
$2.21M
LPL Financial LLC
$1.64M
BARD ASSOCIATES INC
$1.63M
Belpointe Asset Management LLC
$1.53M
PNC FINANCIAL SERVICES GROUP, INC.
$774K
Value bars compare disclosed positions; verify each figure against the linked filing evidence.
Detailed SEC evidence table Showing 1-6 of 15 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| Eagle Point Credit Management LLC |
3/4/5
10%+ Owner
|
—
denominator unverified
|
—
348,303 shares
|
— | 09 Sep 2021 |
| UBS Group AG |
13F
Company
|
—
denominator unverified
|
$2,208,000
231,160 shares
|
— | 30 Jun 2021 |
| LPL Financial LLC |
13F
Company
|
—
denominator unverified
|
$1,643,000
172,055 shares
|
— | 30 Jun 2021 |
| BARD ASSOCIATES INC |
13F
Company
|
—
denominator unverified
|
$1,633,000
170,995 shares
|
— | 30 Jun 2021 |
| Belpointe Asset Management LLC |
13F
Company
|
—
denominator unverified
|
$1,530,000
160,223 shares
|
— | 30 Jun 2021 |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
Company
|
—
denominator unverified
|
$774,000
81,000 shares
|
— | 30 Jun 2021 |
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 2021
Investor-level positions for this CUSIP, loaded as an interactive table.
Institutions
38
Shares
1,886,642
Rows available
38
| 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 2021 vs Q2 2026 Across Filers
Q2 2026 holders
2
Q3 2021 holders
38
Holder diff
36
| Investor | Q2 2026 Shares | Q3 2021 Shares | Share Diff | Share Chg % | Q2 2026 value | Q3 2021 value | Value change | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend