Welcome to our dedicated page for Sound Point Meridian Cap SEC filings (Ticker: SPMA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Sound Point Meridian Capital, Inc. has called its 2025 annual stockholder meeting for December 17, 2025 at 10:00 a.m. in New York to elect directors. Holders of common and preferred stock, with 20,496,910 common shares and 2,300,000 shares each of Series A and Series B preferred outstanding as of November 5, 2025, will vote together on independent Class I director Douglas T. Healy and preferred holders will separately vote on Class II director and CEO Ujjaval Desai.
The board has five members, three of whom are independent, and operates audit, nominating, and valuation oversight committees composed entirely of independent directors. Independent directors receive a $125,000 annual fee, with actual fiscal 2025 compensation ranging from $73,370 to $99,588. The external adviser earns a 1.75% base management fee on Total Equity Base plus a 20% incentive fee on pre-incentive fee net investment income, receiving $6,020,455 in base fees and $11,215,635 in incentive fees for the year ended March 31, 2025.
Major shareholders include SPMC Feeder Fund LP with 47.93% and AG Asset Strategies LLC with 25.76% of common stock, while Karpus Management, Inc. holds 18.19% of Series A and 53.03% of Series B preferred shares. The board unanimously recommends voting FOR each director nominee.
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.
Sound Point Meridian Capital, Inc. filed an 8-K stating it issued a press release announcing financial results for the second fiscal quarter ended September 30, 2025, portfolio activity through October 31, 2025, and other updates.
The press release is furnished as Exhibit 99.1 and incorporated by reference.
Sound Point Meridian Capital, Inc. reported an unaudited estimate of its net asset value per share for common stock at $16.12 to $16.22 as of October 31, 2025. This range reflects management’s point-in-time assessment of the company’s portfolio value on a per-share basis and was disclosed under Other Events. The update offers a snapshot of intrinsic value for comparison with market pricing of the company’s equity securities.
Sound Point Meridian Capital, Inc. announced a planned CFO transition. The Board appointed Daniel Fabian to succeed Kevin Gerlitz as Chief Financial Officer, effective December 31, 2025. The change follows Mr. Gerlitz’s departure to pursue other opportunities on the same date.
Fabian joined Sound Point Capital Management in May 2025 and serves as Global CFO with 20+ years in asset management, previously President & COO at Alcentra. The company states there are no selection arrangements, no family relationships, and no related‑party transactions requiring disclosure for Fabian.
Sound Point Meridian Capital, Inc. reported that it has declared both common and preferred dividends for the fourth fiscal quarter of 2026.
The distributions cover the monthly periods ending January 30, 2026, February 27, 2026, and March 31, 2026. The announcement applies to the company’s common stock (NYSE: SPMC) and its preferred shares, including the 8.00% Series A Preferred Stock due 2029 (NYSE: SPMA) and the 7.875% Series B Preferred Stock due 2030 (NYSE: SPME). A press release with details was furnished as Exhibit 99.1.
Sound Point Meridian Capital, Inc. (SPMC): Form 4 insider activity
AG Asset Strategies LLC, an indirect holder affiliated with Assured Guaranty entities, reported open‑market sales of common stock across three days. Transactions were: 1,882 shares on 10/24/2025 at $16.64, 590 shares on 10/27/2025 at $16.70, and 266 shares on 10/28/2025 at $16.69. After these trades, the filer reported beneficial ownership of 5,280,256 shares held indirectly.
The filing indicates the reporting person’s relationship includes Director status, and it was filed by more than one reporting person. A footnote clarifies a chain of indirect ownership from AG Asset Strategies LLC up through Assured Guaranty Inc., Assured Guaranty Municipal Holdings Inc., Assured Guaranty US Holdings Inc., and Assured Guaranty Ltd.
Sound Point Meridian Capital, Inc. reported insider open‑market purchases by its Chairman and Director. On 10/20/2025, 5,000 common shares were purchased at a weighted average price of $15.61 (range $15.34–$15.79); on 10/21/2025, 2,000 shares at $15.31 (range $15.29–$15.34); on 10/22/2025, 1,000 shares at $15.60.
Following these trades, beneficial ownership was 95,090 shares directly, plus 815.039 shares held indirectly by SPC Consolidator LLC.
Sound Point Meridian Capital, Inc. reported insider open‑market purchases by its Chief Executive Officer and Director. On 10/20/2025, the reporting person bought 12,000 shares of common stock at a weighted average price of $15.36, executed across trades from $15.35 to $15.39. On 10/22/2025, an additional 8,000 shares were bought at a weighted average price of $15.71, within a $15.65 to $15.75 range.
Following these transactions, the filing shows 78,579 shares beneficially owned, held directly. The footnotes state the reporting person will provide detailed trade breakdowns upon request.
Sound Point Meridian Capital, Inc. reported an insider transaction. Reporting persons disclosed an open-market sale of 6,258 shares of common stock on 10/15/2025 at $16.90 per share.
Following the sale, 5,282,994 shares were beneficially owned indirectly, with ownership held through AG Asset Strategies LLC as noted in the footnote. The filing was made by more than one reporting person, including entities within the Assured Guaranty corporate group.
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