Assured Guaranty Form 4: sells 7,831 SPMC shares via affiliate

Assured Guaranty–affiliated entities filed a Form 4 reporting open‑market sales of Sound Point Meridian Capital, Inc. (SPMC) common stock held indirectly through AG Asset Strategies LLC.

Accepted by SEC EDGAR 10/14/2025 - 07:20 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Assured Guaranty–affiliated entities filed a Form 4 reporting open‑market sales of Sound Point Meridian Capital, Inc. (SPMC) common stock held indirectly through AG Asset Strategies LLC. On 10/09/2025, they sold 3,409 shares at $17.78; on 10/13/2025, 3,195 shares at $17.51; and on 10/14/2025, 1,227 shares at $17.38.

Following these transactions, the group beneficially owned 5,289,252 shares of SPMC common stock, held indirectly. A footnote states the securities are owned directly by AG Asset Strategies LLC, whose sole member is Assured Guaranty Inc., and that entity is wholly owned through subsidiaries up to Assured Guaranty Ltd.

Insider Trade Summary

Net Seller: 7,831 shares

Net Sell 3 txns

Insider ASSURED GUARANTY LTD, AG Asset Strategies LLC, Assured Guaranty Municipal Holdings Inc., Assured Guaranty Inc., Assured Guaranty US Holdings Inc.

Role 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner

Sold 7,831 shs ($138K)

Share of Position Sold 0.15%

Type	Security	Shares	Price	Value
Sale	Common Stock	1,227	$17.38	$21K
Sale	Common Stock	3,195	$17.51	$56K
Sale	Common Stock	3,409	$17.78	$61K

Holdings After Transaction: Common Stock — 5,289,252 shares (Indirect, See footnote)

Holdings Before and After: Common Stock, 5,297,083 to 5,289,252 shares (Indirect, See footnote)

Other Insiders: 1 other insider reported open-market sales of this stock in the 30 days up to this filing.

Footnotes (1)

1. F1. The reported securities are owned directly by AG Asset Strategies LLC, which is owned by its member, Assured Guaranty Inc. Assured Guaranty Inc. is wholly-owned by Assured Guaranty Municipal Holdings Inc. Assured Guaranty Municipal Holdings Inc. is wholly-owned by Assured Guaranty US Holdings Inc., which is wholly-owned by Assured Guaranty Ltd. Each of the reporting persons, other than AG Asset Strategies LLC, is an indirect beneficial owner of the reported securities.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did AGO-affiliated entities report on Form 4 regarding SPMC?

They reported open‑market sales of SPMC common stock on 10/09/2025, 10/13/2025, and 10/14/2025, totaling 7,831 shares.

How many SPMC shares did the AGO-affiliated group sell and at what prices?

3,409 shares at $17.78, 3,195 shares at $17.51, and 1,227 shares at $17.38.

How many SPMC shares were beneficially owned after the reported sales?

They beneficially owned 5,289,252 SPMC common shares after the transactions.

Who directly owns the reported SPMC shares?

AG Asset Strategies LLC directly owns the shares, with indirect ownership attributed up the chain to Assured Guaranty Ltd.

Which issuer is involved in this Form 4 filing?

Sound Point Meridian Capital, Inc. (ticker SPMC).

What is the nature of ownership reported by AGO-affiliated entities?

Indirect beneficial ownership through AG Asset Strategies LLC and its parent entities.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

ASSURED GUARANTY LTD

(Last) (First) (Middle)

30 WOODBOURNE AVENUE, 5TH FLOOR

(Street)

HAMILTON D0 HM 08

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Sound Point Meridian Capital, Inc. [ SPMC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
10/09/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/09/2025		S		3,409	D	$17.78	5,293,674	I	See footnote(1)
Common Stock	10/13/2025		S		3,195	D	$17.51	5,290,479	I	See footnote(1)
Common Stock	10/14/2025		S		1,227	D	$17.38	5,289,252	I	See footnote(1)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

1. Name and Address of Reporting Person^*

ASSURED GUARANTY LTD

(Last) (First) (Middle)

30 WOODBOURNE AVENUE, 5TH FLOOR

(Street)

HAMILTON D0 HM 08

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

AG Asset Strategies LLC

(Last) (First) (Middle)

1633 BROADWAY, 23RD FLOOR

(Street)

NEW YORK NY 10019

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Assured Guaranty Municipal Holdings Inc.

(Last) (First) (Middle)

1633 BROADWAY, 23RD FLOOR

(Street)

NEW YORK NY 10019

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Assured Guaranty Inc.

(Last) (First) (Middle)

1633 BROADWAY, 23RD FLOOR

(Street)

NEW YORK NY 10019

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Assured Guaranty US Holdings Inc.

(Last) (First) (Middle)

1633 BROADWAY, 23RD FLOOR

(Street)

NEW YORK NY 10019

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

Explanation of Responses:

1. The reported securities are owned directly by AG Asset Strategies LLC, which is owned by its member, Assured Guaranty Inc. Assured Guaranty Inc. is wholly-owned by Assured Guaranty Municipal Holdings Inc. Assured Guaranty Municipal Holdings Inc. is wholly-owned by Assured Guaranty US Holdings Inc., which is wholly-owned by Assured Guaranty Ltd. Each of the reporting persons, other than AG Asset Strategies LLC, is an indirect beneficial owner of the reported securities.

	/s/ Nicole Idoko, as Authorized Signatory for Assured Guaranty Ltd.	10/14/2025
	/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty US Holdings Inc.	10/14/2025
	/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Municipal Holdings Inc.	10/14/2025
	/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc.	10/14/2025
	/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc., sole member of AG Asset Strategies LLC	10/14/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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