SPMC · Sound Point Meridian Capital, Inc.
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 3, 4 and 5. Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-02-13 | Ketchum Stephen |
Director, Chairman |
Buy↑
|
Common Stock, par value $0.001 per share
|
1,000 |
| 2026-02-13 | Forstenhausler Matthew E. |
Director |
Buy↑
|
Common Stock, par value $0.001 per share
|
2,000 |
| 2026-01-29 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
237 |
| 2026-01-27 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
4,562 |
| 2026-01-23 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
305 |
| 2026-01-14 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
1,650 |
| 2026-01-13 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
165 |
| 2026-01-12 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
3,782 |
| 2025-12-19 | Forstenhausler Matthew E. |
Director |
Buy↑
|
Common Stock, par value $0.001 per share
|
1,000 |
| 2025-12-18 | Forstenhausler Matthew E. |
Director |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $13.51 to $13.60. The Reporting Person hereby undertakes to provide, upon request, to the staff of the SEC, Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (2) to this Form 4. |
Common Stock, par value $0.001 per share
|
4,118 |
| 2025-12-17 | Forstenhausler Matthew E. |
Director |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $13.57 to $13.75. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission ("SEC"), Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common Stock, par value $0.001 per share
|
1,200 |
| 2025-12-16 | Desai Ujjaval |
Director, Chief Executive Officer |
Buy↑
|
Common stock, par value $0.001 per share
|
1,000 |
| 2025-12-15 | Desai Ujjaval |
Director, Chief Executive Officer |
Buy↑
Filing footnotes — Common stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $13.59 to $13.60. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common stock, par value $0.001 per share
|
1,000 |
| 2025-12-12 | Desai Ujjaval |
Director, Chief Executive Officer |
Buy↑
|
Common stock, par value $0.001 per share
|
1,162 |
| 2025-11-17 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
102 |
| 2025-10-28 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
266 |
| 2025-10-27 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
590 |
| 2025-10-24 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
1,882 |
| 2025-10-22 | Ketchum Stephen |
Director, Chairman |
Buy↑
|
Common Stock, par value $0.001 per share
|
1,000 |
| 2025-10-22 | Desai Ujjaval |
Director, Chief Executive Officer |
Buy↑
Filing footnotes — Common stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $15.65 to $15.75. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission ("SEC"), Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common stock, par value $0.001 per share
|
8,000 |
| 2025-10-21 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $15.29 to $15.34. The Reporting Person hereby undertakes to provide, upon request, to the staff of the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (2) to this Form 4. |
Common Stock, par value $0.001 per share
|
2,000 |
| 2025-10-20 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $15.34 to $15.79. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission ("SEC"), Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common Stock, par value $0.001 per share
|
5,000 |
| 2025-10-20 | Desai Ujjaval |
Director, Chief Executive Officer |
Buy↑
Filing footnotes — Common stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $15.35 to $15.39. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission ("SEC"), Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common stock, par value $0.001 per share
|
12,000 |
| 2025-10-15 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
6,258 |
| 2025-10-14 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
1,227 |
| 2025-10-13 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
3,195 |
| 2025-10-09 | ASSURED GUARANTY LTD |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
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. |
Common Stock
(I)
|
3,409 |
| 2025-04-11 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $18.49 to $18.50. The Reporting Person hereby undertakes to provide, upon request, to the staff of the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (3) to this Form 4. |
Common Stock, par value $0.001 per share
|
2,000 |
| 2025-04-10 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $18.00 to $18.30. The Reporting Person hereby undertakes to provide, upon request, to the staff of the SEC, the Issuer, or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (2) to this Form 4. |
Common Stock, par value $0.001 per share
|
2,000 |
| 2025-04-09 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $18.33 to $18.63. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission ("SEC"), Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common Stock, par value $0.001 per share
|
2,000 |
| 2024-11-21 | Forstenhausler Matthew E. |
Director |
Buy↑
|
Common Stock, par value $0.001 per share
|
1,000 |
| 2024-11-21 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $20.25 to $20.3839. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (2) to this Form 4. |
Common Stock, par value $0.001 per share
|
4,000 |
| 2024-11-20 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $20.28 to $20.4723. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common Stock, par value $0.001 per share
|
2,000 |
| 2024-11-20 | Healy Douglas Taylor |
Director |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $20.25 to $20.29. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, SoundPoint Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common Stock, par value $0.001 per share
|
500 |
| 2024-11-20 | Lewin Lana |
Director |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $20.44 to $20.45. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, SoundPoint Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common Stock, par value $0.001 per share
|
492 |
| 2024-11-19 | Ketchum Stephen |
Director, Chairman |
Buy↑
|
Common Stock, par value $0.001 per share
|
1,000 |
| 2024-11-15 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Direct)
The price reported in Column 4 is a weighted average price. The shares were bought in multiple transactions at prices ranging from $19.6804 to $19.9499. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, Sound Point Meridian Capital, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares bought at each separate price within the range set forth in this footnote (1) to this Form 4. |
Common Stock, par value $0.001 per share
|
8,000 |
| 2024-11-14 | Ketchum Stephen |
Director, Chairman |
Buy↑
|
Common Stock, par value $0.001 per share
|
1,000 |
| 2024-08-30 | Forstenhausler Matthew E. |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2024-08-28 | Ketchum Stephen |
Director, Chairman |
Buy↑
|
Common Stock, par value $0.001 per share
|
7,326 |
| 2024-06-17 | Desai Ujjaval |
Director, Chief Executive Officer |
Buy↑
|
Common stock, par value $0.001 per share
|
50,001 |
| 2024-06-17 | Ketchum Stephen |
Director, Chairman |
Buy↑
Filing footnotes — Common Stock, par value $0.001 per share (Indirect)
Represents 50,001 shares held by SPC Consolidator LLC ("SPC), of which the reporting person is the Managing Member. Accordingly the reporting person may be deemed to have or share beneficial ownership of the shares held by SPC. The reporting person disclaims beneficial ownership of all of the securities that are or may be beneficially owned by SPC or any of its affiliates except to the extent of his pecuniary interest therein. |
Common Stock, par value $0.001 per share
(I)
|
50,001 |
| 2024-06-17 | Gerlitz Kevin |
Chief Financial Officer |
Buy↑
|
Common stock, par value $0.001 per share
|
5,000 |
| 2024-06-13 | Ketchum Stephen |
Director, Chairman |
Other↑
|
No Securities Owned
|
0 |
| 2024-06-13 | Sound Point Meridian Management Company, LLC |
Insider |
Other↑
|
No Securities Owned
|
0 |
| 2024-06-13 | Sayago Andrea |
Secretary |
Other↑
|
No Securities Owned
|
0 |
| 2024-06-13 | Lipiner Steven |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2024-06-13 | Healy Douglas Taylor |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2024-06-13 | Gerlitz Kevin |
Chief Financial Officer |
Other↑
|
No Securities Owned
|
0 |
| 2024-06-13 | Sound Point Capital Management, LP |
Insider |
Other↑
|
No Securities Owned
|
0 |