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

Large holder AG Asset Strategies sells Sound Point Meridian Capital (SPMC) shares

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

Rhea-AI Filing Summary

AG Asset Strategies LLC, a 10% owner of Sound Point Meridian Capital, Inc., reported small open-market sales of common stock. On January 23, 2026, the entity sold 305 shares at $14.2917 per share. On January 27, 2026, it sold an additional 4,562 shares at $14.3061 per share. After these transactions, AG Asset Strategies LLC indirectly held 5,269,690 shares of common stock through a chain of wholly owned subsidiaries up to Assured Guaranty Ltd., which is 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 4,867 shs ($70K)
Type Security Shares Price Value
Sale Common Stock 4,562 $14.3061 $65K
Sale Common Stock 305 $14.2917 $4K
Holdings After Transaction: Common Stock — 5,269,690 shares (Indirect, See footnote)
Footnotes (1)
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Form 4 Insider Transactions: What Each Field Means →
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)
01/23/2026
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 01/23/2026 S 305 D $14.2917 5,274,252 I See footnote(1)
Common Stock 01/27/2026 S 4,562 D $14.3061 5,269,690 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. 01/27/2026
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty US Holdings Inc. 01/27/2026
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Municipal Holdings Inc. 01/27/2026
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc. 01/27/2026
/s/ Nicole Idoko, as Assistant Secretary for Assured Guaranty Inc., sole member of AG Asset Strategies LLC 01/27/2026
** 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

FAQ

What insider transactions were reported for Sound Point Meridian Capital (SPMC)?

Two small insider sales were reported. AG Asset Strategies LLC sold 305 shares of Sound Point Meridian Capital on January 23, 2026, and 4,562 shares on January 27, 2026, both in open-market transactions at prices around $14.30 per share.

Who is the reporting owner in this Sound Point Meridian Capital (SPMC) Form 4?

AG Asset Strategies LLC is the direct owner. The shares are held by AG Asset Strategies LLC, which is owned through a chain of wholly owned subsidiaries up to Assured Guaranty Ltd., making the other listed entities indirect beneficial owners of the reported securities.

How many Sound Point Meridian Capital (SPMC) shares does the reporting owner hold after the transactions?

Indirect holdings total 5,269,690 shares. Following the January 2026 sales, AG Asset Strategies LLC reported beneficial ownership of 5,269,690 shares of Sound Point Meridian Capital common stock, reflecting only a modest reduction from its prior reported position.

At what prices were the Sound Point Meridian Capital (SPMC) shares sold?

The sales occurred near $14.30 per share. On January 23, 2026, 305 shares were sold at $14.2917 per share, and on January 27, 2026, 4,562 shares were sold at $14.3061 per share in open-market transactions.

Are the Sound Point Meridian Capital (SPMC) shares held directly by Assured Guaranty Ltd.?

No, they are held directly by AG Asset Strategies LLC. The filing states that AG Asset Strategies LLC owns the shares, while Assured Guaranty Inc. and its parent entities, including Assured Guaranty Ltd., are indirect beneficial owners through a wholly owned subsidiary structure.

What is the ownership role of AG Asset Strategies LLC in Sound Point Meridian Capital (SPMC)?

AG Asset Strategies LLC is a 10% owner. The Form 4 identifies it, and the related Assured Guaranty entities, as 10% owners of Sound Point Meridian Capital, disclosing their significant beneficial ownership and recent small sales of common stock.