Welcome to our dedicated page for Sound Point Meridian Capital SEC filings (Ticker: SPMC), 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.
This page provides access to U.S. Securities and Exchange Commission filings for Sound Point Meridian Capital, Inc. (NYSE: SPMC), an externally managed, non-diversified closed-end management investment company. The company has registered as an investment company under the Investment Company Act of 1940, as amended, and its common stock and preferred shares (SPMA and SPME) are registered under Section 12(b) of the Securities Exchange Act of 1934, as reflected in its Form 8-K disclosures.
Through its SEC filings, Sound Point Meridian Capital reports information relevant to its CLO-focused investment strategy and capital structure. Current reports on Form 8-K have disclosed items such as quarterly financial results, management’s unaudited estimates of net asset value (NAV) per share as of specific month-end dates, and the declaration of common and preferred stock distributions. Filings also document capital markets transactions, including offerings of preferred shares, and corporate governance developments such as the appointment of a new Chief Financial Officer.
Investors reviewing SPMC filings can expect to find details on net investment income (NII), realized and unrealized gains or losses on investments, GAAP net income or net loss, and portfolio metrics such as the weighted average effective yield of the CLO equity portfolio and look-through exposure to underlying loans or corporate obligors. The company’s disclosures also identify its 8.00% Series A Preferred Stock due 2029 and 7.875% Series B Preferred Stock due 2030, along with their New York Stock Exchange trading symbols.
On Stock Titan, these filings are updated as they are made available on EDGAR, and AI-powered tools can help summarize lengthy documents such as current reports and other SEC submissions. This allows readers to quickly understand key points from Sound Point Meridian Capital’s regulatory disclosures, including distribution declarations, portfolio updates, and material events reported under specific items of Form 8-K, while retaining the ability to review the full original filings for complete detail.
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. (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.