Welcome to our dedicated page for XAI Octagon FR & Alternative Trust SEC filings (Ticker: XFLT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The XAI Octagon Floating Rate and Alternative Income Trust (NYSE: XFLT) files a range of documents with the U.S. Securities and Exchange Commission that describe its operations, capital structure and material events. As a diversified, closed-end management investment company, XFLT registers its common shares of beneficial interest under Section 12(b) of the Securities Exchange Act of 1934, and its filings provide detailed information on its focus on floating-rate credit instruments and other structured credit investments within the private credit markets.
Among the most relevant filings for XFLT are its current reports on Form 8-K. These reports disclose material events such as the entry into securities purchase agreements for Series A Mandatory Redeemable Preferred Shares, the adoption of statements of preferences for preferred share series, amendments affecting the terms of 6.95% Series II 2029 Convertible Preferred Shares, and notices of redemption for outstanding 6.50% Series 2026 Term Preferred Shares. Through these filings, investors can review dividend rates, liquidation preferences, redemption conditions, asset coverage requirements and the intended use of proceeds, including refinancing existing leverage and general corporate purposes.
The Trust’s filings also include Form 25 notifications for the removal from listing and/or registration of specific preferred share classes, such as the 6.50% Series 2026 Term Preferred Shares on the New York Stock Exchange. These documents help clarify changes in the listing status of particular securities while the Trust’s common shares remain listed under the symbol XFLT.
On Stock Titan’s SEC filings page, users can access XFLT’s regulatory documents as they are made available through EDGAR. AI-powered tools can assist in summarizing lengthy filings, highlighting key sections related to preferred share structures, leverage, distribution policies and amendments to governing documents. This allows investors to quickly understand how new 8-Ks, registration-related materials and other submissions may affect the Trust’s capital structure, income generation approach and obligations as a registered investment company.
XAI Octagon Floating Rate & Alternative Income Trust vice president John Yogi Spence reported an open-market purchase of 5,000 common shares at $3.90 per share. After this transaction, his directly held stake rose to 561,791.828 common shares, highlighting additional personal capital committed to the trust.
He also reported several indirect ownership positions in the same common shares, including 10,250 shares through XA Investments LLC, 10,591.613 shares held by his spouse, and 16,678.31 shares through XMS Holdings LLC. Footnotes note that portions of these positions were received via the trust’s dividend reinvestment plan.
XAI Octagon Floating Rate & Alternative Income Trust reports that it has redeemed all 1,100,000 shares of its issued and outstanding 6.95% Series II 2029 Convertible Preferred Shares on January 30, 2026. This action, which had been previously announced, removes this series of convertible preferred securities from the Trust’s capital structure.
Sit Investment Associates, Inc. and Sit Fixed Income Advisors II, LLC filed a Schedule 13G reporting beneficial ownership of 5,467,565 shares of XAI Octagon Floating Rate & Alternative Income Trust common stock, representing 7.2% of the class as of the event date 12/31/2025. They report shared voting and shared dispositive power over all of these shares, with no sole voting or dispositive power. The filing states that all reported securities are held in client accounts they manage and that they disclaim beneficial ownership of those securities. The ownership percentage is based on 76,154,591 shares outstanding as of September 30, 2025, as reported by the trust. The certification explains that the position is held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
XAI Octagon Floating Rate & Alternative Income Trust insider Theodore Brombach, the trust’s President, CEO and a director, reported changes in his ownership of common shares. Following the latest transactions, he beneficially owns 544,856 common shares directly, 10,250 common shares indirectly through XA Investments LLC, and 16,104.24 common shares indirectly through XMS Holdings LLC.
The filing notes that his holdings include 38,434.487 shares received through the XFLT Dividend Reinvestment Plan and that a share transaction reflects a disposition of 7,811 shares to employees. No derivative securities positions are reported in the derivative securities table.
XAI Octagon Floating Rate & Alternative Income Trust reported actions affecting its 6.95% Series II 2029 Convertible Preferred Shares. Holders of these preferred shares approved Amendment No. 1 to Appendix D of the Statement of Preferences, effective as of June 10, 2024, which eliminates the Non-Call Period applicable to this series.
After this change, on December 30, 2025, the Trust gave notice of its intent to call for redemption all 1,100,000 issued and outstanding 6.95% Series II 2029 Convertible Preferred Shares on January 30, 2026. These shares have a par value of $0.01 per share and a liquidation preference of $25.00 per share.
XAI Octagon Floating Rate & Alternative Income Trust reported an insider share transfer by a vice president. On 12/24/2025, the insider disposed of 7,811 common shares of beneficial interest at a reported price of $0, described as a share transaction reflecting a disposition of shares to employees. After this transaction, the insider directly beneficially owns 550,859.238 common shares.
The filing also shows additional indirect holdings, including 10,250 common shares held through XA Investments LLC, 10,299.901 common shares held by the insider’s spouse, and 16,104.24 common shares held through XMS Holdings LLC. The form is filed for one reporting person who serves as an officer with the title Vice President.
XAI Octagon Floating Rate & Alternative Income Trust insider Kimberly Ann Flynn reported receiving additional shares in the company. On 12/24/2025, she acquired 3,504 common shares of beneficial interest at a price of $0 per share, reflecting a compensatory transfer.
Following this transaction, Ms. Flynn directly beneficially owns 46,708 common shares. The shares were transferred to her pursuant to a compensatory award from XMS Holdings LLC, indicating this was an equity-based compensation event rather than an open-market purchase.
XAI Octagon Floating Rate & Alternative Income Trust reported an insider equity transaction for its Secretary and Chief Legal Officer. On 12/24/2025, the officer acquired 3,389 common shares of beneficial interest in a transaction coded "J," which typically indicates an award or other non-open-market event. The reported transaction price was $0 per share, reflecting that the shares were received as compensation rather than purchased in the market.
Following this award, the officer beneficially owned a total of 11,490.5168 common shares on a direct basis. The remarks explain that the shares were transferred to Mr. McCulloch pursuant to a compensatory award from XMS Holdings LLC, and that 217.6268 of the reported holdings were received through participation in the XFLT dividend reinvestment plan. This filing documents a routine insider compensation-related share transfer.
XAI Octagon Floating Rate & Alternative Income Trust reported it completed another tranche of its preferred equity financing. On December 18, 2025, the trust issued and sold 2,300,000 Series A Mandatory Redeemable Preferred Shares with a liquidation preference of $10.00 per share in a private transaction under Section 4(a)(2) of the Securities Act.
The sale price was $10.00 per preferred share, and the trust received net proceeds (before expenses) of approximately $23 million, providing additional capital to the vehicle. After this closing, the trust had 7,300,000 of these preferred shares issued and outstanding.
XAI Octagon Floating Rate & Alternative Income Trust (XFLT)09/30/2025. He held 550,859.238 common shares directly at year-end. In addition, he reported indirect ownership of 22,928.464 common shares through XMS Holdings LLC, 10,250 common shares through XA Investments LLC, and 9,874.915 common shares held by his spouse.
The filing explains that some of these positions changed through the XFLT Dividend Reinvestment Plan, including 7,553.144, 1,951.454, and 574.465 shares credited to various accounts, and that 8,500 shares were gifted from his direct account to his spouse’s account. The form confirms he is a vice president of XFLT and that this report is filed by one reporting person.