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

SP Meridian Capital Form 4: 6,258-share sale, 5.28M remaining

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

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.

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 6,258 shs ($106K)
Type Security Shares Price Value
Sale Common Stock 6,258 $16.90 $106K
Holdings After Transaction: Common Stock — 5,282,994 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 did SPMA’s insiders report in this Form 4?
A sale of 6,258 shares of Sound Point Meridian Capital, Inc. common stock at $16.90 per share on 10/15/2025.

How many shares do the reporting persons beneficially own after the transaction for SPMA?
They beneficially own 5,282,994 shares indirectly after the reported sale.

How is the SPMA ownership held by the reporting persons structured?
Shares are owned directly by AG Asset Strategies LLC; indirect beneficial ownership is attributed up the chain to Assured Guaranty entities per the footnote.

What was the transaction code and nature for SPMA?
Transaction code S, indicating an open-market sale.

What is the relationship of the reporting person to Sound Point Meridian Capital, Inc.?
The relationship indicated includes Director status.

Was the Form 4 for SPMA filed by multiple reporting persons?
Yes. The form indicates it was filed by more than one reporting person.
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)
10/15/2025
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 10/15/2025 S 6,258 D $16.9 5,282,994 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. 10/17/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty US Holdings Inc. 10/17/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Municipal Holdings Inc. 10/17/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc. 10/17/2025
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc., sole member of AG Asset Strategies LLC 10/17/2025
** 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