XFLTNYSEFiscal year ends September 30
XAI Floating Rate & Alternative Income Trust
$17.69−0.52 (-2.86%)
Close on Oct 19, 2026
- Market cap
- –
- P/E (TTM)
- –
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
4M
Shares held, 13F filers
Institutional holders
59
14 new, 6 sold out
Net institutional buying
1M
In Q2 2026
Insider trades, 12 months
1 buys · 0 sales
Net bought $19.50K
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Sun Life Assurance Co of Canada | 5,000,000 | 65.00% | 13G (passive) | Oct 31, 2025 |
| Sun Life Financial Inc | 5,000,000 | 65.00% | 13G (passive) | Oct 31, 2025 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of XFLT | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Sit Investment Associates Inc | 632,994 | – | $11.11K | −30,000 | 0.21% |
| Morgan Stanley | 619,502 | – | $10.87M | +17,308 | 0.00% |
| Eagle Point Credit Management LLC | 439,852 | – | $7.72M | – | 11.66% |
| Matisse Capital | 346,096 | – | $6.07M | +2,000 | 2.43% |
| Bulldog Investors, LLP | 316,500 | – | $5.55M | +129,570 | 1.22% |
| Citadel Advisors LLC | 286,821 | – | $5.03M | New | 0.00% |
| Guggenheim Capital LLC | 222,180 | – | $3.90M | +69,642 | 0.02% |
| Thomas J. Herzfeld Advisors, Inc. | 198,688 | – | $3.49M | +139,143 | 1.07% |
| Envestnet Asset Management Inc | 163,288 | – | $2.87M | New | 0.00% |
| Cresset Asset Management, LLC | 143,955 | – | $2.53M | – | 0.01% |
| Landscape Capital Management, L.L.C. | 142,707 | – | $2.50M | −1,520 | 0.16% |
| Rivernorth Capital Management, LLC | 91,734 | – | $1.61M | New | 0.08% |
| Invesco Ltd. | 88,990 | – | $1.56M | +29,106 | 0.00% |
| J.W. Cole Advisors, Inc. | 88,417 | – | $1.55M | New | 0.03% |
| Arlington Capital Management, Inc. | 58,636 | – | $1.03M | New | 0.64% |
| Closed-End Fund Advisors, Inc. | 56,777 | – | $996.44K | +4,946 | 0.97% |
| Susquehanna International Group, Llp | 54,102 | – | $949.49K | +32,467 | 0.00% |
| Virtus Investment Advisers, Inc. | 45,722 | – | $802.42K | −10,036 | 0.19% |
| LPL Financial LLC | 36,459 | – | $639.85K | −2,338 | 0.00% |
| UBS Group AG | 34,248 | – | $601.05K | −5,280 | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 59 | 4M | 14 / 17 | 15 / 6 | 1M | 0M |
| Q1 2026 | 51 | 3M | 51 / 0 | 0 / 0 | 3M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of XFLT | Value | % of fund | As of |
|---|---|---|---|---|---|
| Matisse Discounted Closed-End Fund Strategy | 150,000 | – | $2.63M | 3.51% | Jun 30, 2026 |
| Matisse Discounted Bond CEF Strategy | 118,000 | – | $2.07M | 3.88% | Jun 30, 2026 |
| Modern Capital Tactical Income Fund | 83,081 | – | $1.46M | 2.15% | Jun 30, 2026 |
| Virtus Private Credit Strategy ETF | 45,722 | – | $860.03K | 2.83% | Jul 31, 2026 |
| Invesco Zacks Multi-Asset Income ETF | 29,239 | – | $549.99K | 0.44% | Jul 31, 2026 |
| Robinson Opportunistic Income Fund | 28,300 | – | $496.67K | 4.66% | Jun 30, 2026 |
| Multi-Hedge Strategies Fund | 167 | – | $2.93K | 0.01% | Jun 30, 2026 |
| Guggenheim Multi-Hedge Strategies Fund | 59 | – | $1.04K | 0.01% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Theodore J. Brombach | President & CEO, Director | 571,210 | Dec 30, 2025 |
| John Yogi Spence | Vice President | 599,312 | Feb 19, 2026 |
| Benjamin McCulloch | Secretary & CLO | 11,491 | Dec 30, 2025 |
| Kimberly Ann Flynn | Vice President | 46,708 | Dec 30, 2025 |
| Lisa Woo | Assistant Treasurer | – | Mar 20, 2025 |
| Madeline Arment | Assistant Treasurer | – | Feb 27, 2025 |
| William T. Meyers | Director | 8,000 | Nov 14, 2025 |
| Andrew David Gordon | – | 4,272 | Nov 14, 2025 |
| Lauren Kristen Law | – | 20,000 | Oct 27, 2025 |
| Scott C. Jones | – | 0 | Sep 12, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| John Yogi Spence Vice President | Feb 19, 2026 | Buy | +5,000 | $3.90 | $19.50K | 561,792 |
| Kimberly Ann Flynn Vice President | Dec 24, 2025 | Other | +3,504 | – | – | 46,708 |
| Benjamin McCulloch Secretary & CLO | Dec 24, 2025 | Other | +3,389 | – | – | 11,491 |
| John Yogi Spence Vice President | Dec 24, 2025 | Gift | −7,811 | – | – | 16,104 |
| Theodore J. Brombach President & CEO, Director | Dec 24, 2025 | Gift | −7,811 | – | – | 16,104 |
| Lauren Kristen Law – | Oct 24, 2025 | Buy | +20,000 | $5.01 | $100.20K | 20,000 |
| Scott C. Jones – | Sep 11, 2025 | Sale | −13,008.63 | $5.62 | $73.11K | 0 |
| John Yogi Spence Vice President | Feb 21, 2025 | Buy | +2,000 | $6.38 | $12.76K | 551,806 |
| John Yogi Spence Vice President | Feb 19, 2025 | Buy | +3,000 | $6.41 | $19.23K | 549,806 |
| John Yogi Spence – | Dec 19, 2024 | Buy | +2,000 | $6.50 | $13.00K | 546,806 |
| Theodore J. Brombach President & CEO, Director | Dec 18, 2024 | Other | −6,052 | – | – | 20,734 |
| John Yogi Spence Vice President | Dec 18, 2024 | Other | −6,052 | – | – | 20,734 |
| Benjamin McCulloch Secretary & CLO | Dec 18, 2024 | Other | +2,857 | – | – | 7,131 |
| Kimberly Ann Flynn Vice President | Dec 18, 2024 | Other | +3,004 | – | – | 43,204 |
| Theodore J. Brombach President & CEO | Jul 17, 2024 | Other | −831 | – | – | 25,498 |
| John Yogi Spence – | Jul 17, 2024 | Buy | −831 | – | – | 25,498 |
| Theodore J. Brombach President & CEO | Jul 10, 2024 | Other | −2,390 | – | – | 25,498 |
| John Yogi Spence – | Jul 10, 2024 | Other | −2,390 | – | – | 25,498 |
| John Yogi Spence – | May 21, 2024 | Gift | −6,000 | – | – | 531,763 |
| John Yogi Spence – | May 10, 2024 | Buy | +3,450 | $7.13 | $24.60K | 27,401 |
| Theodore J. Brombach President & CEO | May 10, 2024 | Buy | +3,450 | $7.13 | $24.60K | 27,401 |
| John Yogi Spence – | May 9, 2024 | Buy | +3,417 | $7.13 | $24.36K | 23,951 |
| Theodore J. Brombach President & CEO | May 9, 2024 | Buy | +3,417 | $7.13 | $24.36K | 23,951 |
| Theodore J. Brombach President & CEO | Dec 12, 2023 | Buy | +825 | $7.05 | $5.82K | 19,327 |
| John Yogi Spence – | Dec 12, 2023 | Buy | +825 | $7.05 | $5.82K | 19,327 |
| Kimberly Ann Flynn Vice President | Dec 11, 2023 | Other | +2,400 | – | – | 40,200 |
| Theodore J. Brombach President & CEO | Dec 11, 2023 | Other | −5,409 | – | – | 18,502 |
| John Yogi Spence – | Dec 11, 2023 | Other | −5,409 | – | – | 18,502 |
| Benjamin McCulloch Secretary & CLO | Dec 11, 2023 | Other | +2,209 | – | – | 3,661 |
| John Yogi Spence – | Dec 5, 2023 | Buy | +6,000 | $6.89 | $41.34K | 23,684 |
| Theodore J. Brombach President & CEO | Dec 5, 2023 | Buy | +6,000 | $6.89 | $41.34K | 23,684 |
| Theodore J. Brombach President & CEO | Nov 13, 2023 | Buy | +289 | $7.08 | $2.05K | 17,684 |
| John Yogi Spence – | Nov 13, 2023 | Buy | +289 | $7.08 | $2.05K | 17,684 |
| John Yogi Spence – | Jul 24, 2023 | Gift | −4,000 | – | – | 520,285 |
| John Yogi Spence – | Dec 22, 2022 | Buy | +500 | $6.33 | $3.17K | 515,997 |
| Theodore J. Brombach President & CEO | Nov 11, 2022 | Buy | +3,050 | $6.67 | $20.34K | 15,050 |
| John Yogi Spence – | Nov 11, 2022 | Buy | +3,050 | $6.67 | $20.34K | 15,050 |
| John Yogi Spence – | Nov 10, 2022 | Buy | +754 | $6.64 | $5.01K | 11,645 |
| John Yogi Spence – | Nov 10, 2022 | Buy | +891 | $6.63 | $5.91K | 10,891 |
| John Yogi Spence – | Nov 10, 2022 | Buy | +355 | $6.65 | $2.36K | 12,000 |
| Theodore J. Brombach President & CEO | Nov 10, 2022 | Buy | +891 | $6.63 | $5.91K | 10,891 |
| Theodore J. Brombach President & CEO | Nov 10, 2022 | Buy | +355 | $6.65 | $2.36K | 12,000 |
| Theodore J. Brombach President & CEO | Nov 10, 2022 | Buy | +754 | $6.64 | $5.01K | 11,645 |
| Theodore J. Brombach President & CEO | Nov 9, 2022 | Buy | +918 | $6.56 | $6.02K | 10,000 |
| Theodore J. Brombach President & CEO | Nov 9, 2022 | Buy | +1,082 | $6.53 | $7.07K | 9,082 |
| John Yogi Spence – | Nov 9, 2022 | Buy | +1,082 | $6.53 | $7.07K | 9,082 |
| John Yogi Spence – | Nov 9, 2022 | Buy | +918 | $6.56 | $6.02K | 10,000 |
| Theodore J. Brombach President & CEO | Nov 9, 2022 | Buy | +1,082 | $6.53 | $7.07K | 9,082 |
| Theodore J. Brombach President & CEO | Nov 9, 2022 | Buy | +918 | $6.56 | $6.02K | 10,000 |
| John Yogi Spence – | Nov 9, 2022 | Buy | +1,082 | $6.53 | $7.07K | 9,082 |
| John Yogi Spence – | Nov 9, 2022 | Buy | +918 | $6.56 | $6.02K | 10,000 |
| Theodore J. Brombach President & CEO | Nov 8, 2022 | Buy | +1,800 | $6.50 | $11.70K | 8,000 |
| Theodore J. Brombach President & CEO | Nov 8, 2022 | Buy | +2,100 | $6.49 | $13.63K | 6,200 |
| Theodore J. Brombach President & CEO | Nov 8, 2022 | Buy | +100 | $6.38 | $638 | 4,100 |
| John Yogi Spence – | Nov 8, 2022 | Buy | +100 | $6.38 | $638 | 4,100 |
| John Yogi Spence – | Nov 8, 2022 | Buy | +1,800 | $6.50 | $11.70K | 8,000 |
| John Yogi Spence – | Nov 8, 2022 | Buy | +2,100 | $6.49 | $13.63K | 6,200 |
| Theodore J. Brombach President & CEO | Nov 8, 2022 | Buy | +100 | $6.38 | $638 | 4,100 |
| Theodore J. Brombach President & CEO | Nov 8, 2022 | Buy | +2,100 | $6.49 | $13.63K | 6,200 |
| Theodore J. Brombach President & CEO | Nov 8, 2022 | Buy | +1,800 | $6.50 | $11.70K | 8,000 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.