Welcome to our dedicated page for Sound Point Meridian Capital SEC filings (Ticker: SPME), 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. 7.875% Series B Preferred Shares due 2030 (SPME) provides access to regulatory documents filed by Sound Point Meridian Capital, Inc., the issuer of this series of term preferred stock. These filings are made as part of the company’s obligations as a closed-end management investment company registered under the Investment Company Act of 1940 and as an issuer with securities listed on the New York Stock Exchange.
Forms 8-K are a key source of information for investors in SPME. Recent 8-K filings describe material events such as quarterly financial results, management’s unaudited estimates of the range of net asset value per share of common stock as of specific month-end dates, and changes in senior officers. They also confirm that the company’s common stock, its 8.00% Series A Preferred Stock due 2029, and its 7.875% Series B Preferred Stock due 2030 are registered and listed on the NYSE under the symbols SPMC, SPMA, and SPME, respectively.
Other filings incorporate press releases that detail net asset value per share of common stock, net investment income, realized and unrealized gains and losses on investments, and weighted average effective yields on the CLO equity portfolio. These documents also discuss the number of unique underlying loans to which the company has indirect exposure through its CLO investments and the concentration of exposure to the largest obligors.
Distribution-related information for SPME is also reflected in company disclosures. Press releases filed as exhibits to Forms 8-K outline monthly distributions on the 7.875% Series B Term Preferred Stock due 2030, specifying record dates, payable dates, and the per-share amounts that correspond to the stated annual distribution rate of 7.875% of the $25.00 liquidation preference. By reviewing these filings, investors can see how the company reports on income, portfolio characteristics, and capital structure elements that relate to SPME.
On Stock Titan, SEC documents for Sound Point Meridian Capital, Inc. are paired with AI-powered summaries that highlight the main points of lengthy filings. This helps readers quickly understand key disclosures about net asset value estimates, distribution declarations, portfolio metrics, and governance changes, while still allowing full access to the original SEC reports for detailed review.
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.
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. reported that management’s unaudited estimate of the net asset value (NAV) per share of its common stock was between
Sound Point Meridian Capital, Inc. filed a current report to note that it issued a press release on August 12, 2025. The press release announced the company’s financial results for its first fiscal quarter ended June 30, 2025, provided information on portfolio activity through July 31, 2025, and included other corporate updates.
The press release is attached as Exhibit 99.1 and incorporated by reference, and the report is signed by Chief Executive Officer Ujjaval Desai.
Sound Point Meridian Capital, Inc. entered into a First Amendment to its CIBC Credit Facility that increases the maximum facility size from $125 million to $150 million and extends the facility maturity to August 4, 2028. Proceeds may be used for working capital and general corporate purposes. The amendment prohibits voluntary prepayments or reductions of commitments prior to August 6, 2026; after that date voluntary prepayments are allowed and are not subject to prepayment premiums. The amendment revises the calculation and timing of the facility commitment fee so the fee is payable only on the unused portion of aggregate commitments in excess of the greater of the total outstanding principal balance and a 70% minimum utilization. The amendment also permits one extension of the maturity date for up to 364 days subject to extension fees and customary conditions. Except as described, the other material terms remain unchanged.