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 (XFLT) received a Form 5, the annual statement of changes in beneficial ownership filed under Section 16. The filing covers the issuer’s fiscal year ended 09/30/2025 and is marked as a Form filed by one reporting person.
The reporting person is identified as an Other: Sub‑Adviser Senior Adviser. The standard tables for non‑derivative and derivative securities are included in the form. The document is signed by Andrew David Gordon on 11/14/2025.
XAI Octagon Floating Rate & Alternative Income Trust (XFLT) disclosed an annual insider ownership update on Form 5 for the fiscal year ended 09/30/2025. A director reported 2,787.469 common shares of beneficial interest, held directly, and 8,000 preferred shares, also held directly. The footnote states that the common share total includes 636.799 shares received through the XFLT Dividend Reinvestment Plan. No derivative securities were reported.
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 will redeem all 1,596,000 outstanding 6.50% Series 2026 Term Preferred Shares on October 31, 2025 at $25.00 per share, equal to their liquidation preference.
Holders of these preferred shares will also receive accumulated quarterly dividends of $0.40625 per share for the period from July 31, 2025 to October 30, 2025, payable to shareholders of record on October 15, 2025. After the redemption and dividend payment, the trust expects no accumulated unpaid dividends on this series, and the redeemed shares will cease to be outstanding.