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  4. [Form 4] Sound Point Meridian Capital, Inc. Insider Trading Activity

AG Asset Strategies reports small SPMC stock sale, holds 5.28M

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Sound Point Meridian Capital, Inc. insider AG Asset Strategies LLC, a director and more than 10% owner through a chain of Assured Guaranty entities, reported a small open-market sale of common stock. On 11/17/2025, the reporting person sold 102 shares of common stock at a price of $16.4 per share, coded as a sale transaction.

After this trade, the reporting person indirectly beneficially owned 5,280,154 shares of Sound Point Meridian Capital common stock, held through AG Asset Strategies LLC and its parent companies. The filing reflects indirect ownership by Assured Guaranty Inc., Assured Guaranty Municipal Holdings Inc., Assured Guaranty US Holdings Inc., and Assured Guaranty Ltd., each of which is listed as an indirect beneficial owner of the reported securities.

Positive

  • None.

Negative

  • None.
Insider ASSURED GUARANTY LTD, Assured Guaranty US Holdings Inc., Assured Guaranty Municipal Holdings Inc., Assured Guaranty Inc., AG Asset Strategies LLC
Role 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner
Sold 102 shs ($2K)
Type Security Shares Price Value
Sale Common Stock 102 $16.40 $2K
Holdings After Transaction: Common Stock — 5,280,154 shares (Indirect, See footnote)
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.

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Form 4 Insider Transactions: What Each Field Means →

FAQ

What insider transaction did Sound Point Meridian Capital (SPMC) disclose?

The company disclosed that AG Asset Strategies LLC, an insider that is a director and more than 10% owner, sold 102 shares of Sound Point Meridian Capital common stock on 11/17/2025 in an open-market sale coded as a sale transaction.

At what price were the SPMC shares sold in this Form 4 filing?

The reported transaction shows that 102 shares of Sound Point Meridian Capital common stock were sold at a price of $16.4 per share.

How many Sound Point Meridian Capital shares does the reporting person own after the sale?

Following the reported transaction, the reporting person indirectly beneficially owned 5,280,154 shares of Sound Point Meridian Capital common stock.

Is the ownership in SPMC held directly or indirectly by the reporting person?

The shares are held indirectly. They are owned directly by AG Asset Strategies LLC, with indirect beneficial ownership attributed to Assured Guaranty Inc., Assured Guaranty Municipal Holdings Inc., Assured Guaranty US Holdings Inc., and Assured Guaranty Ltd.

What is the relationship of the reporting person to Sound Point Meridian Capital (SPMC)?

The reporting person is identified as a Director and a 10% Owner of Sound Point Meridian Capital, Inc.

Does this Form 4 involve any derivative securities of SPMC?

The filing includes a table for derivative securities, but no derivative transactions or holdings are reported; only common stock is listed in the non-derivative securities table.

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).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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)
11/17/2025
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 11/17/2025 S 102 D $16.4 5,280,154 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*
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)
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*
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)
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. 11/19/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty US Holdings Inc. 11/19/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Municipal Holdings Inc. 11/19/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc. 11/19/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc., sole member of AG Asset Strategies LLC 11/19/2025
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR