As of November 6, 2026, 2 holders' latest Schedule 13D or 13G filings report owning 5% or more of XAI Octagon Floating Rate & Alternative Income Trust. The largest reported stake is Sun Life Assurance Co of Canada's, at 65%. 5 filings are on record since November 5, 2025 (Schedule 13G, November 5, 2025).
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Key facts
- · Reporting person: Sit Investment Associates, Inc. · Sole voting: 0 · Shared voting: 637,994 · Sole dispositive: 0 · Shared dispositive: 637,994 · SCHEDULE 13G/A, 2026-05-05
- · Holder: Sit Investment Associates, Inc. · Percent: 7.2% · SCHEDULE 13G
- · Reporting person: Karpus Management, Inc. · Sole voting: 0 · Shared voting: 0 · Sole dispositive: 0 · Shared dispositive: 0 · SCHEDULE 13G/A, 2025-11-07
- · Reporting person: Sun Life Assurance Co of Canada · Sole voting: 5,000,000 · Shared voting: 0 · Sole dispositive: 5,000,000 · Shared dispositive: 0 · SCHEDULE 13G, 2025-11-05
- · Holder: Sun Life Assurance Co of Canada · Percent: 65% · SCHEDULE 13G
XAI Octagon Floating Rate & Alternative Income Trust has 5 Schedule 13D or 13G filings on record since 2025-11-05. 2 holders' latest filing reports 5% or more of common stock. Each figure below is the holder's own, as filed, with the filing linked.
Holders
| Holder | Percent | Shares | Latest | Event date |
|---|---|---|---|---|
| Sun Life Assurance Co of Canada | 65% | 5,000,000 | SCHEDULE 13G, 2025-11-05 | 2025-10-31 |
| Sun Life Assurance Co of Canada | 65% | 5,000,000 | SCHEDULE 13G, 2025-11-05 | 2025-10-31 |
| Sit Investment Associates, Inc. | 4.2% | 637,994 | SCHEDULE 13G/A, 2026-05-05 | 2026-04-30 |
| Karpus Management, Inc. | 0% | 0 | SCHEDULE 13G/A, 2025-11-07 | 2025-10-31 |
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More on XAI Octagon Floating Rate & Alternative Income Trust and the records around it.
XAI Octagon Floating Rate & Alternative Income Trust elsewhere on the record
Companies that share a holder
- Sun Life Assurance Co of Canada also filed stake reports on 4 other companies: CION Ares Diversified Credit Fund (Nov 2026), Ares Dynamic Credit Allocation Fund, Inc. (Oct 2026), Crescent Private Credit Income Corp (Aug 2025)
- Sun Life Assurance Co of Canada also filed stake reports on 4 other companies: CION Ares Diversified Credit Fund (Nov 2026), Ares Dynamic Credit Allocation Fund, Inc. (Oct 2026), Crescent Private Credit Income Corp (Aug 2025)
- Sit Investment Associates, Inc. also filed stake reports on 67 other companies: TCW STRATEGIC INCOME FUND INC (Nov 2026), Western Asset Premier Bond Fund (Nov 2026), Blackstone Long-Short Credit Income Fund (Oct 2026)
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Voting and dispositive power, as filed
| Reporting person | Sole voting | Shared voting | Sole dispositive | Shared dispositive | Filing |
|---|---|---|---|---|---|
| Sun Life Assurance Co of Canada | 5,000,000 | 0 | 5,000,000 | 0 | SCHEDULE 13G, 2025-11-05 |
| Sun Life Financial Inc | 0 | 5,000,000 | 0 | 5,000,000 | SCHEDULE 13G, 2025-11-05 |
| Sit Investment Associates, Inc. | 0 | 637,994 | 0 | 637,994 | SCHEDULE 13G/A, 2026-05-05 |
| Sit Fixed Income Advisors II, LLC | 0 | 637,994 | 0 | 637,994 | SCHEDULE 13G/A, 2026-05-05 |
| Karpus Management, Inc. | 0 | 0 | 0 | 0 | SCHEDULE 13G/A, 2025-11-07 |
The latest filing identifies XAI Octagon Floating Rate & Alternative Income Trust by CUSIP 98400T106 and gives its principal executive office as 321 North Clark Street, Suite 2430, Chicago, IL 60654 (SCHEDULE 13G/A, 2026-05-05).
Timeline
| Filed | Holder | Percent | Filing |
|---|---|---|---|
| 2025-11-05 | Sun Life Assurance Co of Canada | 65% | SCHEDULE 13G |
| 2025-11-05 | Sun Life Assurance Co of Canada | 65% | SCHEDULE 13G |
| 2025-11-07 | Karpus Management, Inc. | 0% | SCHEDULE 13G/A |
| 2026-01-06 | Sit Investment Associates, Inc. | 7.2% | SCHEDULE 13G |
| 2026-05-05 | Sit Investment Associates, Inc. | 4.2% | SCHEDULE 13G/A |
Questions about who owns XAI Octagon Floating Rate & Alternative Income Trust
Who owns XAI Octagon Floating Rate & Alternative Income Trust?
On this page, 2 holders' latest ownership filings report 5% or more of XAI Octagon Floating Rate & Alternative Income Trust: Sun Life Assurance Co of Canada (65%, Schedule 13G, filed 2025-11-05) and Sun Life Assurance Co of Canada (65%, Schedule 13G, filed 2025-11-05).
Who are the largest shareholders of XAI Octagon Floating Rate & Alternative Income Trust?
By the share each holder's latest filing reports, the largest holders of XAI Octagon Floating Rate & Alternative Income Trust on this page are Sun Life Assurance Co of Canada (65%) and Sun Life Assurance Co of Canada (65%).
When did Sun Life Assurance Co of Canada buy into XAI Octagon Floating Rate & Alternative Income Trust?
The filings give report dates, not purchase dates. The earliest filing from Sun Life Assurance Co of Canada on this page is the Schedule 13G, filed 2025-11-05, reporting 65%.
Is this an audit or a full list?
Neither. The ownership list on this page covers only Schedule 13D and 13G filings, which holders make once they own 5% or more of a class of shares (an amendment can report a stake that has since fallen below 5%); 5 such filings are shown here. It is not an audit and not a full cap table: holders who never reached 5% are not listed, and a stake can change after its latest filing.
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Where this comes from
Anyone who comes to own more than 5% of a class of a listed company's voting shares has to tell the SEC. A holder who may seek to change or influence the company files Schedule 13D, and has to say in Item 4, "Purpose of Transaction", what it intends to do. A holder with no such intent, such as many index and passive funds, may file the shorter Schedule 13G. Both are amended when the stake changes, including when it falls below 5%.
Every row here is one of those filings, linked to the filing itself. Percentages and share counts are exactly as the holder filed them, for the holder the filing names; an amendment showing a lower figure is shown as filed. Item 4 text is quoted word for word. Where a 13D's Item 4 contains a sentence stating a definite intent to influence the company, that sentence is marked and quoted; the page does not describe the holder or its motives beyond the words it filed. Nothing here is investment advice.