Security key
98400T106
XAI Octagon Floating Rate & Alternative Income Trust - Common Stock (XFLT)
CUSIP: 98400T106
Q3 2023 13F Holders as of 30 Sep 2023
- Security type / class
- Equity / Common Stock
- Total 13F shares
- 2,545,085
- Total 13F value
- $17,678,123
- Share change
- +276,951
- SEC-reported price per share
- $6.95
- Number of holders
- 52
- Value change
- +$1,932,977
- Number of buys
- 30
- Number of sells
- 10
- 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 2023
Institutions
52
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
LPL Financial LLC
Comparable rows
0/15
Latest evidence
30 Jun 2023
3/4/5
13F
Highest disclosed value: $2,194,197
15 rows are not safely comparable across share classes.
Showing 1-6 of 15 holder rows.
Quick read
LPL Financial LLC has the largest disclosed position value at $2.19M.
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 LPL Financial LLC's linked filing trail.
Disclosed position value
Top 5
LPL Financial LLC
$2.19M
UBS Group AG
$1.48M
Claybrook Capital, LLC
$1.43M
BARD ASSOCIATES INC
$1.19M
INDEPENDENT FINANCIAL GROUP, LLC
$1.12M
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 |
| LPL Financial LLC |
13F
Company
|
—
denominator unverified
|
$2,194,197
328,473 shares
|
— | 30 Jun 2023 |
| UBS Group AG |
13F
Company
|
—
denominator unverified
|
$1,483,134
222,026 shares
|
— | 30 Jun 2023 |
| Claybrook Capital, LLC |
13F
Company
|
—
denominator unverified
|
$1,432,145
214,393 shares
|
— | 30 Jun 2023 |
| BARD ASSOCIATES INC |
13F
Company
|
—
denominator unverified
|
$1,191,060
176,062 shares
|
— | 30 Jun 2023 |
| INDEPENDENT FINANCIAL GROUP, LLC |
13F
Company
|
—
denominator unverified
|
$1,116,729
167,175 shares
|
— | 30 Jun 2023 |
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 2023
Investor-level positions for this CUSIP, loaded as an interactive table.
Institutions
52
Shares
2,545,085
Rows available
52
| 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 2023 vs Q2 2026 Across Filers
Q2 2026 holders
2
Q3 2023 holders
52
Holder diff
50
| Investor | Q2 2026 Shares | Q3 2023 Shares | Share Diff | Share Chg % | Q2 2026 value | Q3 2023 value | Value change | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend