---
schema_version: "secwatch.filing_event.v1"
accession: "0001213900-23-076402"
form_type: "8-K"
ticker: "XFLT"
cik: "0001703079"
company_name: "XAI Octagon Floating Rate & Alternative Income Trust"
filed_at: "2023-09-13T23:59:59+00:00"
generated_at: "2026-06-10T19:11:18.636873+00:00"
event_type: "other"
sentiment: "neutral"
materiality_score: 0.25
calibrated_materiality_score: 0.25
confidence: "high"
source: SEC EDGAR
---

# XFLT appoints Equiniti Trust as transfer agent, replacing DST Systems

## Summary
- Equiniti Trust Company appointed as sole transfer agent and registrar effective Sept 13, 2023.
- Prior transfer agent DST Systems terminated; DST agreement to end Sept 25, 2023.
- Initial term of three years, auto-renewing for successive one-year periods unless 90-day notice given.
- Equiniti also serves as Plan Agent under the Fund's Dividend Reinvestment Plan.
- No material financial terms disclosed; routine administrative service provider change.

## SEC filing metadata
- accession: 0001213900-23-076402
- form_type: 8-K
- ticker: XFLT
- cik: 0001703079
- company_name: XAI Octagon Floating Rate & Alternative Income Trust
- filed_at: 2023-09-13T23:59:59+00:00
- event_type: other
- sentiment: neutral
- materiality_score: 0.25
- calibrated_materiality_score: 0.25
- confidence: high
- sec_items: 1.01, 1.02, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1703079/000121390023076402/0001213900-23-076402-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1703079/000121390023076402/ea161621_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001213900-23-076402
- JSON: https://secwatch.observer/filing/0001213900-23-076402.json
- Plain text: https://secwatch.observer/filing/0001213900-23-076402.txt

## Key facts
- Material Agreements
  XAI Octagon Floating Rate & Alternative Income Trust entered into Equiniti Agreement with Equiniti Trust Company, LLC (effective 2023-09-13).
  - Action: entry
  - Counterparty: Equiniti Trust Company, LLC
  - Effective: 2023-09-13
  source text: XAI Octagon Floating Rate & Alternative Income Term Trust (NYSE: XFLT) (the “Trust”) has entered into a new Transfer Agency and Registrar Services Agreement (the “Equiniti Agreement”) with Equiniti Trust Company, LLC (“Equiniti”), which was formerly known as American Stock Transfer & Trust Company, LLC, pursuant to which Equiniti began serving as the Trust’s transfer agent and registrar effective September 13, 2023.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1703079/000121390023076402/0001213900-23-076402-index.htm
- Material Agreements
  XAI Octagon Floating Rate & Alternative Income Trust terminated DST Agreement with DST Systems, Inc..
  - Action: termination
  - Counterparty: DST Systems, Inc.
  source text: Equiniti replaced the Trust’s prior transfer agent, DST Systems, Inc. (“DST”) and accordingly, the services provided to the Trust by DST under the Trust’s transfer agency agreement with DST (the “DST Agreement”) were terminated effective that same day.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1703079/000121390023076402/0001213900-23-076402-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.