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. director reported buying additional common stock in three open-market transactions. On December 17, 2025, the director purchased 1,200 shares of common stock at a weighted average price of $13.70 per share, with individual trade prices ranging from $13.57 to $13.75, bringing beneficial ownership to 2,200 shares afterward. On December 18, 2025, the director purchased 4,118 shares at a weighted average price of $13.60, with trade prices between $13.51 and $13.60, increasing beneficial ownership to 6,318 shares. On December 19, 2025, a further 1,000 shares were bought at $13.60 per share, resulting in total beneficial ownership of 7,318 shares of common stock held directly.
Sound Point Meridian Capital, Inc.'s chief executive and director reported buying a total of 3,162 shares of common stock in mid-December 2025. The purchases occurred on December 12, 15 and 16, 2025 in three separate transactions. Reported prices were $13.84, a weighted-average $13.60 per share from trades between $13.59 and $13.60, and $13.37 per share. After these purchases, the insider directly owned 81,741 shares of the company’s common stock.
Sound Point Meridian Capital, Inc. reported an updated internal valuation of its common stock. Management’s unaudited estimate of the company’s net asset value (NAV) per share as of November 30, 2025 was in a range between $14.66 and $14.76. NAV represents the value of the company’s assets minus its liabilities on a per-share basis, and this range gives investors a snapshot of what management believes the underlying portfolio was worth at that date.
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. (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.