Security key
98400T106
XAI Octagon Floating Rate & Alternative Income Trust - Common Stock (XFLT)
CUSIP: 98400T106
Q4 2023 13F Holders as of 31 Dec 2023
- Security type / class
- Equity / Common Stock
- Total 13F shares
- 2,743,440
- Total 13F value
- $19,603,606
- Share change
- +372,958
- SEC-reported price per share
- $7.14
- Number of holders
- 56
- Value change
- +$2,676,642
- Number of buys
- 27
- Number of sells
- 19
- Shares outstanding
- 15,190,333
Holder snapshot
6 signals
Security identity
Names, identifiers, and filing context for this profile.
1 source field
Report period
Q4 2023
Institutions
56
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
LPL Financial LLC
Disclosed value leader
LPL Financial LLC
Comparable rows
15/15
Latest evidence
30 Sep 2023
13F
Lead comparable stake: 2.2%
Showing 1-6 of 15 holder rows.
Quick read
LPL Financial LLC leads the comparable SEC ownership view at 2.2%.
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 LPL Financial LLC's linked filing trail.
Comparable ownership
Top 5
LPL Financial LLC
2.2%
Claybrook Capital, LLC
1.4%
UBS Group AG
1.3%
BARD ASSOCIATES INC
1.1%
Roumell Asset Management, LLC
0.93%
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 |
|---|---|---|---|---|---|
| LPL Financial LLC |
13F
Company
|
2.2%
|
$2,292,806
329,900 shares
|
— | 30 Sep 2023 |
| Claybrook Capital, LLC |
13F
Company
|
1.4%
|
$1,490,031
214,393 shares
|
— | 30 Sep 2023 |
| UBS Group AG |
13F
Company
|
1.3%
|
$1,331,161
191,534 shares
|
— | 30 Sep 2023 |
| BARD ASSOCIATES INC |
13F
Company
|
1.1%
|
$1,222,586
173,762 shares
|
— | 30 Sep 2023 |
| Roumell Asset Management, LLC |
13F
Company
|
0.93%
|
$982,952
141,432 shares
|
— | 30 Sep 2023 |
| Chicago Partners Investment Group LLC |
13F
Company
|
0.87%
|
$888,194
131,975 shares
|
— | 30 Sep 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 Q4 2023
Investor-level positions for this CUSIP, loaded as an interactive table.
Institutions
56
Shares
2,743,440
Rows available
56
| 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 Q4 2023 vs Q1 2026 Across Filers
Q1 2026 holders
4
Q4 2023 holders
56
Holder diff
52
| Investor | Q1 2026 Shares | Q4 2023 Shares | Share Diff | Share Chg % | Q1 2026 value | Q4 2023 value | Value change | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend