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XFLT on NYSE

XAI Floating Rate & Alternative Income Trust

XAI Floating Rate & Alternative Income Trust is a fund registered in the United States, based in Chicago, active since 2017.2 Its shares trade on NYSE under the symbol XFLT.2

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Last updated Oct 21, 2026.

Overview

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  • TickerXFLT on NYSE2
  • HeadquartersChicago, United States2
  • Incorporated inDE3
  • Business address321 North Clark Street #2430, Chicago, Il 606543
  • Legal formStatutory Trust2
  • Kind of organizationFund2
  • LEI549300XT617P63BLW5522
  • StatusActive2
  • LEI statusIssued and current2
  • Registered addressC/O THE CORPORATION TRUST COMPANY, 19801 Wilmington, United States2
  • Registered withSecurities and Exchange Commission, 00017030792

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Corporate structure

XAI Floating Rate & Alternative Income Trust sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of XAI Floating Rate & Alternative Income Trust

  • XAI Floating Rate & Alternative Income Trust Chicago, Illinois, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led XAI Floating Rate & Alternative Income Trust, and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. Theodore J. Brombach2020–now

President

  1. Theodore J. Brombach2020–now

Chief financial officer

  1. John Yogi Spence2017–2020
20202025
Board members and other officers (11)

Former names

  • XAI Octagon Floating Rate & Alternative Income TrustFeb 2, 2024 to Jun 5, 20263
  • XAI Octagon Floating Rate & Alternative Income Term TrustAug 29, 2017 to Feb 2, 20243
  • XAI Octagon Floating Rate Alternative Income Term TrustJul 18, 2017 to Sep 1, 20173
  • XAI Octagon Floating Rate Income & Credit Alternative TrustApr 7, 2017 to Apr 7, 20173

Timeline

  1. Aug 10, 20268-K Other events17
  2. Jul 30, 20268-K Other events18
  3. May 29, 20268-K Other events19
  4. May 19, 20268-K Other events20
  5. Jan 30, 20268-K Other events21
  6. Dec 30, 20258-K Bylaws or fiscal year changed; Other events22
  7. Dec 19, 20258-K Unregistered sale of shares23
  8. Oct 23, 20258-K Entered a material agreement; Unregistered sale of shares; Bylaws or fiscal year changed24
  9. Oct 10, 20258-K Other events25
  10. Mar 26, 20258-K Entered a material agreement26
  11. Oct 11, 20248-K Unregistered sale of shares27
  12. Oct 2, 20248-K Unregistered sale of shares28
  13. Jan 13, 2020New chief executive Theodore J. Brombach becomes CEO4
  14. Apr 4, 2017Founded XAI Floating Rate & Alternative Income Trust is founded2

Filings

268 filings to the SEC since October 2021: 35 major events, 65 insider forms, 12 large holders, 156 other. The latest 20:

  1. Sep 18, 2026SC TO-I EDGAR
  2. Sep 17, 202640-APP EDGAR
  3. Aug 28, 2026NPORT-P EDGAR
  4. Aug 14, 2026N-PX EDGAR
  5. Aug 10, 20268-K EDGAR
  6. Aug 5, 2026DEFA14A EDGAR
  7. Aug 5, 2026DEFA14A EDGAR
  8. Aug 4, 2026DEFA14A EDGAR
  9. Aug 4, 2026DEFA14A EDGAR
  10. Aug 4, 2026DEFA14A EDGAR
  11. Aug 4, 2026DEFA14A EDGAR
  12. Aug 3, 2026DEFA14A EDGAR
  13. Aug 3, 2026DEFA14A EDGAR
  14. Aug 3, 2026DEFA14A EDGAR
  15. Aug 3, 2026DEFA14A EDGAR
  16. Aug 3, 2026DEFA14A EDGAR
  17. Aug 3, 2026DFAN14A DEFINITIVE ADDITIONAL MATERIALS EDGAR
  18. Jul 31, 2026DFAN14A DEFINITIVE ADDITIONAL MATERIALS EDGAR
  19. Jul 31, 2026DEFA14A EDGAR
  20. Jul 31, 2026DEFA14A EDGAR

The 268 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

44 open-market trades by officers, directors and large owners since October 2021: 42 buys and 2 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Feb 19, 2026Spence John YogiVice PresidentBuy5,000$3.90$19.5KForm 4
Oct 24, 2025Law Lauren KristenBuy20,000$5.01$100.2KForm 4
Sep 11, 2025Jones Scott CSale13,009$5.62$73.1KForm 4
Feb 21, 2025Spence John YogiVice PresidentBuy2,000$6.38$12.8KForm 4
Feb 19, 2025Spence John YogiVice PresidentBuy3,000$6.41$19.2KForm 4
Dec 19, 2024Spence John YogiVice PresidentBuy2,000$6.50$13.0KForm 4
Jul 17, 2024Spence John YogiVice PresidentBuy831Form 4
May 10, 2024Brombach Theodore JPresident & CEOBuy3,450$7.13$24.6KForm 4
May 10, 2024Spence John YogiVice PresidentBuy3,450$7.13$24.6KForm 4
May 9, 2024Brombach Theodore JPresident & CEOBuy3,417$7.13$24.4KForm 4
May 9, 2024Spence John YogiVice PresidentBuy3,417$7.13$24.4KForm 4
Dec 12, 2023Spence John YogiVice PresidentBuy825$7.05$5.8KForm 4
Dec 12, 2023Brombach Theodore JPresident & CEOBuy825$7.05$5.8KForm 4
Dec 5, 2023Spence John YogiVice PresidentBuy6,000$6.89$41.3KForm 4
Dec 5, 2023Brombach Theodore JPresident & CEOBuy6,000$6.89$41.3KForm 4
Nov 13, 2023Spence John YogiVice PresidentBuy289$7.08$2.0KForm 4
Nov 13, 2023Brombach Theodore JPresident & CEOBuy289$7.08$2.0KForm 4
Dec 22, 2022Spence John YogiVice PresidentBuy500$6.33$3.2KForm 4
Nov 11, 2022Brombach Theodore JPresident & CEOBuy3,050$6.67$20.3KForm 4
Nov 11, 2022Spence John YogiVice PresidentBuy3,050$6.67$20.3KForm 4

All 44 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 58. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Morgan Stanley619,502$10.9M0.0%+17,308
Eagle Point Credit Management LLC439,852$7.7M12.2%No change
Matisse Capital346,096$6.1M2.4%+2,000
Bulldog Investors, LLP316,500$5.6M1.2%+129,570
Citadel Advisors LLC286,821$5.0M0.0%New
Guggenheim Capital LLC222,180$3.9M0.0%+69,642
Thomas J. Herzfeld Advisors, Inc.198,688$3.5M1.1%+139,143
Envestnet Asset Management Inc163,288$2.9M0.0%New
Cresset Asset Management, LLC143,955$2.5M0.0%No change
Landscape Capital Management, L.l.c.142,707$2.5M0.2%−1,520
Rivernorth Capital Management, LLC91,734$1.6M0.1%New
Invesco Ltd.88,990$1.6M0.0%+29,106
J.w. Cole Advisors, Inc.88,417$1.6M0.0%New
Arlington Capital Management, Inc.58,636$1.0M0.6%New
Closed-End Fund Advisors, Inc.56,777$996.4K1.0%+4,946
Susquehanna International Group, Llp54,102$949.5K0.0%+32,467
Virtus Investment Advisers, LLC45,722$802.4K0.2%−10,036
LPL Financial LLC36,459$639.9K0.0%−2,338
UBS Group AG34,248$601.1K0.0%−5,280
Robinson Capital Management, LLC28,500$500.2K0.2%New
Jane Street Group, LLC25,857$453.8K0.0%−29,387
Private Advisor Group, LLC25,415$446.0K0.0%+2,164
Belpointe Asset Management LLC24,020$421.6K0.0%−4,938
Kestra Advisory Services, LLC23,149$406.3K0.0%−6,500
Choreo, LLC22,249$392.9K0.0%New

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How XAI Floating Rate & Alternative Income Trust is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARXAI Floating Rate & Alternative Income Trust1
  • CIK0001703079
  • Incorporated inDelaware1
  • Fiscal year endsSeptember 301
  • Business address321 North Clark Street #2430, Chicago, IL 606541
  • Phone(312) 374-69301
  • On EDGAR sinceApr 7, 20171
  • Filings538 in all: 4 (126), 8-K (76), DEFA14A (65), 3 (26), NPORT-P (26), 5 (20), 424B2 (19), DFAN14A (14)1
    All 53 form types

    DEF 14A (11), N-2/A (11), CORRESP (10), 40-17G (9), 497 (9), N-CSR (9), N-CSRS (9), N-PX (9), 4/A (8), 497AD (8), N-CEN (8), SC 13G/A (6), EFFECT (5), N-2 (5), N-Q (5), POS EX (4), SC 13G (3), SCHEDULE 13G (3), 424B3 (2), 5/A (2), 8-A12B (2), 8-K/A (2), N-23C-2 (2), PRE 14A (2), SCHEDULE 13G/A (2), 25-NSE (1), 3/A (1), 40-APP (1), 424B5 (1), 424B8 (1), 486BPOS (1), AW (1), CERT (1), CERTNYS (1), DEFC14A (1), FWP (1), N-8A (1), N-CEN/A (1), N-CSR/A (1), NSAR-A (1), NSAR-B (1), PREC14A (1), SC 13D (1), SC TO-I (1), UPLOAD (1)

  • Latest filingsProxy statement (DEF 14A) Jun 23, 2026
    Latest 8-K (8-K) Aug 10, 2026

Sources

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    SEC EDGAROther events
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