XAI Octagon Floating Rate & Alternative Income Trust Ownership

Who are the major shareholders and have insiders been buying or selling?

Recent Insider Transactions

NYSE:XFLT Recent Insider Transactions by Companies or Individuals
Date	Value	Name	Entity	Shares	Max Price
21 Feb 25	BuyUS$12,760	John Spence	Individual	2,000	US$6.38
19 Feb 25	BuyUS$19,229	John Spence	Individual	3,000	US$6.41
19 Dec 24	BuyUS$13,000	John Spence	Individual	2,000	US$6.50
10 May 24	BuyUS$48,962	XA Investments LLC	Company	6,867	US$7.13

Insider Trading Volume

Insider Buying: XFLT insiders have bought more shares than they have sold in the past 3 months.

Ownership Breakdown

What is the ownership structure of XFLT?
Owner Type	Number of Shares	Ownership Percentage
Individual Insiders	1,261,518	2.16%
Institutions	8,115,336	13.9%
General Public	49,007,097	83.9%

Dilution of Shares: Shareholders have not been meaningfully diluted in the past year.

Top Shareholders

Top 25 shareholders own 13.72% of the company

Ownership	Name	Shares	Current Value	Change %	Portfolio %
1.77%	Thomas J. Herzfeld Advisors, Inc.	1,036,151	US$6.0m	0%	1.9%
1.31%	Eagle Point Credit Management LLC	765,361	US$4.4m	0%	9.64%
1.23%	Envestnet Asset Management, Inc.	717,984	US$4.1m	0%	no data
1.05%	Belpointe Asset Management LLC	613,462	US$3.5m	-2.21%	0.22%
0.95%	John Spence	552,607	US$3.2m	0.92%	no data
0.87%	Theodore Brombach	506,422	US$2.9m	2.65%	no data
0.85%	Jonathan Roberts Advisory Group, Inc.	497,462	US$2.9m	142%	0.09%
0.61%	UBS Asset Management AG	358,169	US$2.1m	68.5%	no data
0.61%	LPL Financial Corporation, Asset Management Arm	357,103	US$2.1m	2.5%	no data
0.54%	Cresset Asset Management, LLC	316,564	US$1.8m	0%	0.01%
0.5%	Consolidated Portfolio Review Corp	291,464	US$1.7m	7.78%	0.27%
0.42%	Lido Advisors, LLC	248,082	US$1.4m	0%	0.01%
0.34%	Cambridge Investment Research Advisors, Inc.	196,076	US$1.1m	-13%	no data
0.32%	Choreo, LLC	185,014	US$1.1m	22.4%	0.02%
0.31%	Chicago Partners Investment Group LLC	179,691	US$1.0m	-16.9%	0.04%
0.3%	Kestra Advisory Services, LLC	175,312	US$1.0m	16.9%	0.01%
0.29%	Virtus ETF Advisers LLC	167,042	US$960.5k	16.1%	0.36%
0.27%	Mariner, LLC	158,964	US$914.0k	3.23%	no data
0.26%	Bard Associates Inc.	149,247	US$858.2k	-5.48%	0.31%
0.18%	Private Advisor Group, LLC	103,859	US$597.2k	7.11%	no data
0.18%	Morgan Stanley, Investment Banking and Brokerage Investments	103,458	US$594.9k	8.36%	no data
0.15%	Samalin Investment Counsel, LLC	88,444	US$508.6k	10.4%	0.22%
0.15%	Triumph Capital Management	88,202	US$507.2k	6.44%	0.17%
0.14%	Philip Franklin	80,449	US$462.6k	0%	no data
0.13%	Susquehanna International Group, LLP, Asset Management Arm	75,323	US$433.1k	0%	no data

Company Analysis and Financial Data Status

Data	Last Updated (UTC time)
Company Analysis	2025/05/09 23:47
End of Day Share Price	2025/05/09 00:00
Earnings	N/A
Annual Earnings	N/A

Data Sources

The data used in our company analysis is from S&P Global Market Intelligence LLC. The following data is used in our analysis model to generate this report. Data is normalised which can introduce a delay from the source being available.

Package	Data	Timeframe	Example US Source ^*
Company Financials	10 years	Income statement Cash flow statement Balance sheet	SEC Form 10-K SEC Form 10-Q
Analyst Consensus Estimates	+3 years	Forecast financials Analyst price targets	Analyst Research Reports Blue Matrix
Market Prices	30 years	Stock prices Dividends, Splits and Actions	ICE Market Data SEC Form S-1
Ownership	10 years	Top shareholders Insider trading	SEC Form 4 SEC Form 13D
Management	10 years	Leadership team Board of directors	SEC Form 10-K SEC Form DEF 14A
Key Developments	10 years	Company announcements	SEC Form 8-K

^* Example for US securities, for non-US equivalent regulatory forms and sources are used.

Unless specified all financial data is based on a yearly period but updated quarterly. This is known as Trailing Twelve Month (TTM) or Last Twelve Month (LTM) Data. Learn more.

Analysis Model and Snowflake

Details of the analysis model used to generate this report is available on our Github page, we also have guides on how to use our reports and tutorials on Youtube.

Learn about the world class team who designed and built the Simply Wall St analysis model.

Industry and Sector Metrics

Our industry and section metrics are calculated every 6 hours by Simply Wall St, details of our process are available on Github.

Analyst Sources

XAI Octagon Floating Rate & Alternative Income Trust is covered by 2 analysts. 0 of those analysts submitted the estimates of revenue or earnings used as inputs to our report. Analysts submissions are updated throughout the day.

Analyst	Institution
Matthew Howlett	B. Riley Securities, Inc.
Christopher Testa	B. Riley Wealth