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.
Deciphering CLO exposure in XAI Octagon Floating Rate & Alternative Income Term Trust (XFLT) filings can feel like navigating a maze of leverage ratios and tranche acronyms. The closed-end fund’s 10-K alone runs hundreds of pages, and critical updates often surface in mid-quarter 8-K releases. Professionals trying to match dividend coverage with portfolio turnover know the challenge—and the risk of missing a footnote.
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XAI Octagon Floating Rate & Alternative Income Trust reported insider holdings via a Form 5. An officer of the trust (Secretary & CLO) filed for the fiscal year ended 09/30/2025, noting 7,883.89 common shares beneficially owned at year-end, held directly.
The filing explains that 752.90 shares were received through the XFLT Dividend Reinvestment Plan. No derivative securities were reported. The form was filed by one reporting person.
Karpus Management, Inc. filed a Schedule 13G/A (Amendment No. 5) reporting beneficial ownership of 0 shares and 0.00% of the XAI Octagon Floating Rate & Alternative Income Trust preferred securities as of October 31, 2025.
Karpus, a registered investment adviser, states the securities were acquired and are held in the ordinary course of business and not to change or influence control. The firm notes it is controlled by City of London Investment Group plc, but says effective informational barriers are in place and that Karpus exercises voting and investment power independently.
Sun Life Assurance Company of Canada and Sun Life Financial Inc. filed a Schedule 13G reporting beneficial ownership of 5,000,000 Mandatory Redeemable Preferred Shares of XAI Octagon Floating Rate & Alternative Income Trust (XFLT), representing 65% of that class as of 10/31/2025.
Sun Life Assurance reports sole voting and dispositive power over 5,000,000 shares. Sun Life Financial, as the parent, reports shared voting and dispositive power over 5,000,000 shares. The filing certifies the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control.
XAI Octagon Floating Rate & Alternative Income Trust disclosed a Schedule 13G reporting that Sun Life Assurance Company of Canada and parent Sun Life Financial Inc. beneficially own 5,000,000 Mandatory Redeemable Preferred Shares, representing 65% of that class as of 10/31/2025.
SLA reports sole voting and dispositive power over 5,000,000 shares. SLF, as the parent, reports shared voting and dispositive power over 5,000,000 shares. The filing is made on Schedule 13G, with the filers certifying the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
The securities reported are the issuer’s Mandatory Redeemable Preferred Shares identified by CUSIP 98400TA*7. The issuer’s principal offices are in Chicago, Illinois, and the reporting persons’ principal business office is in Toronto, Canada.
XAI Octagon Floating Rate & Alternative Income Trust announced the removal of a specific security from the NYSE. The Exchange filed Form 25 to delist and/or deregister the Trust’s 6.50% Series 2026 Term Preferred Shares, which carry a liquidation preference of $25.00 per share. The filing cites Exchange Act Rule 12d2‑2, noting the Exchange’s compliance to strike the class and the Issuer’s compliance with requirements for voluntary withdrawal from listing and registration.
XAI Octagon Floating Rate & Alternative Income Trust (XFLT): a reporting person purchased 20,000 common shares on 10/24/2025 at a price of $5.007 per share, as shown by transaction code P.
Following this transaction, the reporting person beneficially owned 20,000 shares, held directly. The filing indicates the role as Other — Sub-Adviser Inv Comm Member and was filed by one reporting person.
XAI Octagon Floating Rate & Alternative Income Trust agreed to issue and sell up to 7,300,000 Series A Mandatory Redeemable Preferred Shares (MRP) at $10.00 per share in two private transactions under Section 4(a)(2). On October 21, 2025, the Trust closed the first tranche of 5,000,000 MRP Shares, receiving approximately $50 million in net proceeds before expenses, and intends to use the funds to refinance existing leverage, including redeeming its 6.50% Series 2026 Term Preferred Shares, and for general corporate purposes.
The Purchasers committed to buy an additional 2,300,000 MRP Shares at a second closing on December 18, 2025. The MRP Shares carry a 5.92% annual dividend on the $10.00 liquidation preference, payable quarterly on January 31, April 30, July 31 and October 31, starting January 31, 2026. They rank senior to common shares, are on parity with the Trust’s other preferred, and must be redeemed on January 31, 2031 at liquidation preference plus unpaid dividends. Optional redemptions include a make‑whole feature, and asset coverage tests at 225% and 200% trigger optional or mandatory redemptions, respectively. The MRP Shares will not be listed and transfers require the Trust’s consent.
XAI Octagon Floating Rate & Alternative Income Trust (XFLT) Form 4 shows reporting person Scott C. Jones, listed as an officer, disposed of 13,008.6313 common shares on 09/11/2025 at a reported price of $5.6208 per share. The filing reports 0 shares owned following the transaction. The Form 4 is signed 09/12/2025 and identifies the reporting person address as c/o XA Investments in Chicago. No derivative transactions or additional details are reported.
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