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.
The SEC filings page for Sound Point Meridian Capital, Inc. 8.00% Series A Preferred Shares Due 2029 (NYSE: SPMA) provides access to regulatory documents filed by Sound Point Meridian Capital, Inc., a closed-end management investment company registered under the Investment Company Act of 1940, as amended. These filings cover the Company’s common stock and its preferred stock, including the 8.00% Series A Preferred Stock due 2029 and the 7.875% Series B Preferred Stock due 2030.
Current reports on Form 8-K include disclosures of material events such as earnings announcements, management’s unaudited estimates of net asset value per share of common stock, ranges of net investment income and realized gains or losses, and declarations of common and preferred dividends. Certain 8-K filings also describe capital markets transactions, including the establishment of an equity distribution agreement that permits the Company and a selling stockholder to sell common shares in an at-the-market offering, and the use of a shelf registration statement on Form N-2.
Proxy materials filed on Schedule 14A (DEF 14A) outline governance matters relevant to holders of both common and preferred stock. The definitive proxy statement describes the annual meeting of stockholders, the election of directors by common and preferred stockholders (voting together or separately as a single class, depending on the seat), and the record date and quorum requirements. These documents help investors understand how preferred stockholders, including holders of SPMA, participate in corporate governance.
Other filings referenced in the Company’s disclosures include shelf registration statements on Form N-2 and related prospectus supplements that support offerings of common stock and preferred stock. These materials describe the securities being offered, including the 8.00% Series A Preferred Stock due 2029, and the intended use of proceeds, such as acquiring investments in line with the Company’s investment objective, making distributions to stockholders, and general corporate purposes.
On Stock Titan, investors can use AI-powered tools to read summaries of lengthy filings, highlight key items such as dividend declarations affecting SPMA, and follow real-time updates as new 8-K, proxy, or registration documents are filed with the SEC’s EDGAR system. This makes it easier to track how regulatory disclosures relate to the Company’s CLO-focused investment strategy, capital structure, and the 8.00% Series A Term Preferred Stock due 2029.
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.
Sound Point Meridian Capital, Inc. provided unaudited estimates of its net asset value and earnings metrics as of and for the quarter ended September 30, 2025.
Management estimates net asset value per common share between $16.86 and $16.96. Estimated net investment income is between $0.49 and $0.59 per common share, and estimated realized results range from a gain of $0.00 to a loss of ($0.10) per common share.
Sound Point Meridian Capital, Inc. entered an equity distribution agreement allowing it to issue and sell, from time to time, up to
The company plans to use substantially all net proceeds from its sales to acquire investments consistent with its investment strategy, make distributions to stockholders, and for general corporate purposes, and may also repay preferred stock or borrowings under its credit agreement. Oppenheimer & Co. Inc., Lucid Capital Markets, LLC, and B. Riley Securities, Inc. will act as placement agents and receive commissions of up to