XFLT · XAI Floating Rate & Alternative Income Trust · Holdings

$17.03 -0.01 (-0.06%) At close · Oct 21

Market Cap

$260.45M

15.23M

Volume · Oct 21 63.21K Avg daily vol (3M) 85.46K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of XFLT: 13F, 13D and 13G, insiders and funds →

Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.

The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.

Quarter:

Holders: 60

Total Value: $81,413,868

Total Shares: 4,615,668

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 60 13F filers

Top Holder

14.5%

of institutional value

Top 5

53.8%

of institutional value

Top 10

77.0%

of institutional value

HHI

774

Broadly held

Who Holds XFLT

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 59 filers, like-for-like change +12.3%; actively managed books +14.0%; index-like books +2.8%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	67.3%	31	+9.0%	4	5
Adviser	2.0%	1	+48.6%	0	0
Bank	1.4%	6	-57.5%	0	0
Broker-dealer	0.8%	1	-6.0%	0	0
Non-US	0.0%	1	-16.1%	0	0
Holding company	14.5%	2	+4.0%	0	1
Exempt adviser	0.0%	0	—	0	0
Unknown	13.9%	17	+80.7%	5	1

Style	Share	Filers	Change	New	Exited
Index-like	14.2%	2	+2.8%	0	1
Systematic-like	10.3%	4	+178.6%	1	0
Concentrated	10.1%	5	-22.2%	0	3
Diversified active	65.4%	48	+11.7%	8	3
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	49.1%	33	+16.1%	5	4
Medium turnover	23.3%	12	+10.3%	1	2
High turnover	16.1%	9	+13.0%	3	0
Unknown	11.4%	5	+0.8%	0	1
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	11.9%	5	+1.6%	0	1
Medium horizon	2.5%	9	-27.2%	2	2
Long horizon	59.4%	37	+23.8%	5	3
Unknown	26.2%	8	+1.1%	2	1
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	34.7%	22	+20.1%	3	2
$1B to $10B	24.0%	14	-21.3%	3	4
$10B to $100B	11.3%	12	+3.4%	1	0
$100B or more	30.1%	11	+59.5%	2	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	10.1%	22	+8.8%	3	4
Pooled investment vehicles	14.4%	3	+186.3%	1	1
Registered funds and BDCs	24.8%	4	-15.8%	0	0
Pension and profit sharing plans	7.9%	1	+0.6%	0	0
Diversified	10.1%	1	0.0%	0	0
Other investment advisers	0.0%	0	—	0	0
Unknown	32.7%	28	+19.8%	5	2

Private funds	Share	Filers	Change	New	Exited
Hedge funds	34.4%	7	+1.9%	2	2
Private equity funds	0.0%	2	+9.0%	0	0
Real estate funds	3.4%	2	0.0%	0	0
Other private funds	14.8%	3	-10.7%	0	2
No private funds	14.7%	17	+84.0%	2	0
Mixed private funds	0.0%	0	-100.0%	0	1
Private funds, type not stated	0.0%	0	—	0	0
Unknown	32.7%	28	+19.8%	5	2

Location	Share	Filers	Change	New	Exited
United States	98.1%	54	+15.0%	9	7
Outside the US	1.9%	5	-48.8%	0	0

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 3 holders with no observed 2026-03-31 13F.

Conviction and Crowding

59 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

3.39% of filers hold it in their top 10

Mar 31, 2026: 3

Holders above 5%

median weight 0.002%

Mar 31, 2026: 2

Crowding

—

no cover-page share count is dated within about a year of the quarter end

Private-fund advisers

—

of shares outstanding

Institutional ownership

—

no cover-page share count is dated within about a year of the quarter end

Top 10 holders

77.0%

of 13F shares, Herfindahl 0.077

Active holders

+14.0%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 7.8 quarters

Under 1 year 41.7% 1 to 3 years 39.8% 3 years or more 18.5% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$23.01

estimated per share

Mar 31, 2026: $27.53

Quarter-end price

$17.55

implied by 13F values

Estimated gain or loss

-23.7%

price against the estimated cost

Estimated at a loss

100.0%

of costed 13F value

Estimated cost covers 39.5% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Fund Ownership of XFLT by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0.31% of shares outstanding.

Fund type	Of shares outstanding	Change	Shares	Funds
Index funds	0.00%	0.00 pp	0	0
Index ETFs	0.31%	-0.01 pp	47,332	1
Active ETFs	0.00%	-0.04 pp	0	0
Active funds	4.56%	+0.69 pp	694,637	11
Unclassified	0.00%	0.00 pp	0	0
All registered funds	4.87%	+0.64 pp	741,969	12

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 32 Adviser 1 Bank 6 Broker-dealer 1 Non-US 1 Holding company 2 Unknown 17

Showing 60 of 60

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

SIT INVESTMENT ASSOCIATES INC

$11,109,044

13.65%

632,994

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SIT FIXED INCOME ADVISORS II LLC /ADV	632,994	$11,109,044	100.0%	Sole

MORGAN STANLEY

$10,872,257

13.35%

619,502

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	20,679	$362,915	3.3%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	598,823	$10,509,342	96.7%	Defined

Eagle Point Credit Management LLC

$7,719,402

9.48%

439,852

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Eagle Point Defensive Income Management LLC	439,852	$7,719,402	100.0%	Defined

Matisse Capital

$6,073,984

7.46%

346,096

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 1	78,096	$1,370,584	22.6%	Other
Held directly	268,000	$4,703,400	77.4%	Sole

Bulldog Investors, LLP

$5,554,575

6.82%

316,500

CITADEL ADVISORS LLC

$5,033,708

6.18%

286,821

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	12,004	$210,670	4.2%	Defined
Held directly	274,817	$4,823,038	95.8%	Defined

ABSOLUTE INVESTMENT ADVISERS, LLC

$4,610,916

5.66%

239,902

GUGGENHEIM CAPITAL LLC

$3,899,258

4.79%

222,180

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GUGGENHEIM FUNDS DISTRIBUTORS, LLC	221,954	$3,895,292	99.9%	Defined
SECURITY INVESTORS LLC	226	$3,966	0.1%	Defined

Thomas J. Herzfeld Advisors, Inc.

$3,486,974

4.28%

198,688

ENVESTNET ASSET MANAGEMENT INC

$2,865,704

3.52%

163,288

Cresset Asset Management, LLC

$2,526,410

3.10%

143,955

LANDSCAPE CAPITAL MANAGEMENT, L.L.C.

$2,504,506

3.08%

142,707

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Landscape High Leverage Fund, LP	26,554	$466,022	18.6%	Defined
LANDSCAPE OFFSHORE HL FUND LTD.	74,050	$1,299,577	51.9%	Defined
Held directly	42,103	$738,907	29.5%	Sole

RIVERNORTH CAPITAL MANAGEMENT, LLC

$1,609,931

1.98%

91,734

Invesco Ltd.

$1,561,773

1.92%

88,990

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Invesco Investment Advisers LLC	59,347	$1,041,539	66.7%	Defined
Invesco Capital Management LLC	29,643	$520,234	33.3%	Defined

J.W. COLE ADVISORS, INC.

$1,551,718

1.91%

88,417

Arlington Capital Management, Inc.

$1,029,061

1.26%

58,636

Closed-End Fund Advisors, Inc.

$996,436

1.22%

56,777

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$949,490

1.17%

54,102

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	54,102	$949,490	100.0%	Other

Virtus Investment Advisers, LLC

$802,421

0.99%

45,722

LPL Financial LLC

$639,855

0.79%

36,459

UBS Group AG

$601,052

0.74%

34,248

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	34,248	$601,052	100.0%	Defined

ROBINSON CAPITAL MANAGEMENT, LLC

$500,175

0.61%

28,500

JANE STREET GROUP, LLC

$453,790

0.56%

25,857

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	15,042	$263,987	58.2%	Defined
Jane Street Global Trading, LLC	10,815	$189,803	41.8%	Defined

Private Advisor Group, LLC

$446,033

0.55%

25,415

Belpointe Asset Management LLC

$421,551

0.52%

24,020

Kestra Advisory Services, LLC

$406,264

0.50%

23,149

HRT FINANCIAL LP

$404,088

0.50%

23,025

CHOREO, LLC

$390,469

0.48%

22,249

XTX Topco Ltd

$386,573

0.47%

22,027

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
XTX EXECUTION SERVICES LLC joint	22,027	$386,573	100.0%	Defined

TORONTO DOMINION BANK

$377,342

0.46%

21,501

Samalin Investment Counsel, LLC

$342,663

0.42%

19,525

OSAIC HOLDINGS, INC.

$290,136

0.36%

16,532

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	16,532	$290,136	100.0%	Defined

Cetera Investment Advisers

$272,077

0.33%

15,503

Apollon Wealth Management, LLC

$221,674

0.27%

12,631

ROYAL BANK OF CANADA

$108,054

0.13%

6,157

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	6,105	$107,142	99.2%	Defined
RBC Rochdale, LLC	52	$912	0.8%	Defined

EverSource Wealth Advisors, LLC

$87,750

0.11%

5,000

CoreCap Advisors, LLC

$55,910

0.07%

2,909

Global Retirement Partners, LLC

$50,561

0.06%

2,881

HALBERT HARGROVE GLOBAL ADVISORS, LLC

$38,440

0.05%

2,000

Triumph Capital Management

$31,751

0.04%

1,652

BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC

$29,817

0.04%

1,699

Pinnacle Wealth Planning Services, Inc.

$17,550

0.02%

1,000

BNP PARIBAS ARBITRAGE, SA

$13,478

0.02%

768

Rockefeller Capital Management L.P.

$12,652

0.02%

721

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER TRUST COMPANY, N.A.	698	$12,249	96.8%	Defined
ROCKEFELLER FINANCIAL LLC	23	$403	3.2%	Defined

FIFTH THIRD BANCORP

$11,249

0.01%

641

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	641	$11,249	100.0%	Defined

COMPASS FINANCIAL MANAGEMENT LLC

$9,073

0.01%

517

WPG Advisers, LLC

$7,634

0.01%

435

Quent Capital, LLC

$5,967

0.01%

340

HIGHLINE WEALTH PARTNERS LLC

$5,766

0.01%

300

SWAN Capital LLC

$4,317

0.01%

246

Byrne Asset Management LLC

$3,844

0.00%

200

ST GERMAIN D J CO INC

$3,159

0.00%

180

Allied Private Wealth LLC

$2,667

0.00%

152

WHITTIER TRUST CO OF NEVADA INC

$1,755

0.00%

100

Allworth Financial LP

$1,035

0.00%

Comprehensive Financial Planning, Inc./PA

$52

0.00%

WELLS FARGO & COMPANY/MN

$35

0.00%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO CLEARING SERVICES, LLC	2	$35	100.0%	Defined

HUNTINGTON NATIONAL BANK

$22

0.00%

DANSKE BANK A/S

$17

0.00%

FNY Investment Advisers, LLC

0.00%

200

Key facts CIK 1703079 CUSIP 98400T304 13F (30d) 8 filings 8 filers Visit website Investor relations