SPMC on NYSE

Sound Point Meridian Capital, Inc.

Investment fund registered in the United States, active since 2022. Summary from the record

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Last updated Oct 19, 2026.

Overview

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  • TickerSPMC on NYSE2
  • HeadquartersWilmington, United States2
  • Incorporated inDE3
  • Business address375 Park Avenue, 33Rd Floor, New York, Ny 101523
  • Legal formCorporation2
  • Kind of organizationInvestment fund2
  • LEI2138003DILFQKEPAD8712
  • StatusActive2
  • LEI statusIssued and current2
  • Registered addressC/O CORPORATION SERVICE COMPANY, 19808 Wilmington, United States2
  • Registered withDivision of Corporations, Department of State, 67984892

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Leadership

Who has led Sound Point Meridian Capital, Inc., and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. Ujjaval Desai2024–now

Chief financial officer

  1. Kevin Gerlitz2024
  2. Daniel Steven Fabian2026–now
2025
Board members and other officers (8)

Named in SEC Form D filings

People the company listed in its private-offering notices.

  • DirectorLana Lewin-Ross named Mar 13, 2025 to Mar 13, 202614
  • DirectorStephen Ketchum named Mar 13, 2025 to Mar 13, 202614

Former names

  • Sound Point Meridian Capital, LLCMay 20, 2022 to Jan 12, 20243

Timeline

  1. Jun 13, 2024New chief executive Ujjaval Desai becomes CEO4
  2. May 13, 2022Founded Sound Point Meridian Capital, Inc. is founded2

Filings

203 filings to the SEC since October 2021: 44 major events, 39 insider forms, 5 large holders, 2 private raises, 113 other. The latest 20:

  1. Oct 9, 20268-K EDGAR
  2. Sep 8, 20268-K EDGAR
  3. Aug 28, 20264 EDGAR
  4. Aug 27, 2026NPORT-P EDGAR
  5. Aug 12, 2026N-PX EDGAR
  6. Aug 12, 20268-K EDGAR
  7. Jul 14, 20268-K EDGAR
  8. Jun 9, 2026N-CEN EDGAR
  9. Jun 8, 20268-K EDGAR
  10. May 28, 2026N-CSR EDGAR
  11. May 28, 2026NPORT-P EDGAR
  12. May 27, 20268-K EDGAR
  13. May 20, 20268-K EDGAR
  14. May 11, 20268-K EDGAR
  15. Apr 9, 20268-K EDGAR
  16. Mar 18, 202640-17G EDGAR
  17. Mar 13, 2026D EDGAR
  18. Mar 10, 20268-K EDGAR
  19. Mar 2, 2026NPORT-P EDGAR
  20. Feb 18, 20264 EDGAR

The 203 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

46 open-market trades by officers, directors and large owners since October 2021: 31 buys and 15 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Aug 27, 2026Forstenhausler Matthew E.DirectorBuy2,400$9.29$22.3KForm 4
Aug 26, 2026Forstenhausler Matthew E.DirectorBuy1,600$9.21$14.7KForm 4
Aug 26, 2026Forstenhausler Matthew E.DirectorSale2,427$9.20$22.3KForm 4
Feb 13, 2026Forstenhausler Matthew E.DirectorBuy2,000$11.50$23.0KForm 4
Feb 13, 2026Ketchum StephenChairmanBuy1,000$11.40$11.4KForm 4
Jan 29, 2026Assured Guaranty US Holdings Inc.10% ownerSale237$14.32$3.4KForm 4
Jan 27, 2026ASSURED GUARANTY LTD10% ownerSale4,562$14.31$65.3KForm 4
Jan 23, 2026ASSURED GUARANTY LTD10% ownerSale305$14.29$4.4KForm 4
Jan 14, 2026Assured Guaranty US Holdings Inc.10% ownerSale1,650$14.48$23.9KForm 4
Jan 13, 2026Assured Guaranty US Holdings Inc.10% ownerSale165$14.50$2.4KForm 4
Jan 12, 2026Assured Guaranty US Holdings Inc.10% ownerSale3,782$14.72$55.7KForm 4
Dec 19, 2025Forstenhausler Matthew E.DirectorBuy1,000$13.60$13.6KForm 4
Dec 18, 2025Forstenhausler Matthew E.DirectorBuy4,118$13.60$56.0KForm 4
Dec 17, 2025Forstenhausler Matthew E.DirectorBuy1,200$13.70$16.4KForm 4
Dec 16, 2025Desai UjjavalChief Executive OfficerBuy1,000$13.37$13.4KForm 4
Dec 15, 2025Desai UjjavalChief Executive OfficerBuy1,000$13.60$13.6KForm 4
Dec 12, 2025Desai UjjavalChief Executive OfficerBuy1,162$13.84$16.1KForm 4
Nov 17, 2025Assured Guaranty Municipal Holdings Inc.10% ownerSale102$16.40$1.7KForm 4
Oct 28, 2025Assured Guaranty Inc.10% ownerSale266$16.69$4.4KForm 4
Oct 27, 2025Assured Guaranty Inc.10% ownerSale590$16.70$9.9KForm 4

All 46 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Money raised

Private offerings the company reported to the SEC on Form D.

  1. Jan 17, 2025Filed a private offering of equity Form D: $25 million offered in all Form D
  2. Jan 17, 2025Filed a private offering of equity Form D: $25 million offered in all Form D

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Kim, LLC10,790,928$106.8M30.5%No change
Bank Of America Corp /de/500,000$5.0M0.0%No change
Goldman Sachs Group Inc474,329$4.7M0.0%−763
Everest Private Wealth100,437$994.3K0.4%+3,618
Allied Private Wealth LLC94,982$984.0K0.6%New
Virtus Investment Advisers, LLC52,537$520.1K0.1%−14,605
Advisory Solutions Group, LLC31,935$316.2K0.1%New
Oppenheimer & Co Inc21,700$214.8K0.0%+8,000
Cerity Partners LLC15,243$150.9K0.0%−5,027
Raymond James Financial Inc12,484$123.6K0.0%New
Prosperity Financial Group, Inc.10,199$101.0K0.0%New
UBS Group AG9,059$89.7K0.0%+4,739
Morgan Stanley5,127$50.8K0.0%−2,887
Strategic Wealth Partners, Ltd.3,500$34.6K0.0%New
Osaic Holdings, Inc.111$1.1K0.0%New

13F reports cover disclosed long positions in U.S. stocks only.

Sources

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