Sound Point Meridian Capital Reports Director/Officer Changes
Ticker: SPME · Form: 8-K · Filed: Jul 26, 2024 · CIK: 1930147
Sentiment: neutral
Topics: management-change, corporate-governance
TL;DR
Sound Point Meridian Capital is shuffling its board and execs, filing an 8-K on 7/26.
AI Summary
Sound Point Meridian Capital, Inc. filed an 8-K on July 26, 2024, reporting changes related to its directors and officers. Specifically, the filing details the departure of certain officers and the election of new directors, along with information on compensatory arrangements for its key personnel.
Why It Matters
Changes in a company's board of directors and executive officers can signal shifts in strategy, governance, or operational focus.
Risk Assessment
Risk Level: medium — Changes in directorship and officers can indicate internal shifts that may impact the company's future direction and performance.
Key Players & Entities
- Sound Point Meridian Capital, Inc. (company) — Registrant
- July 26, 2024 (date) — Date of report
- 212.895.2280 (phone_number) — Business phone
- 375 Park Avenue, 33rd Floor, New York, NY 10152 (address) — Business address
FAQ
What specific items are being reported in this 8-K filing?
This 8-K filing reports on the departure of directors or certain officers, the election of directors, the appointment of certain officers, and compensatory arrangements of certain officers.
What is the exact name of the registrant as specified in its charter?
The exact name of the registrant is Sound Point Meridian Capital, Inc.
In which state was Sound Point Meridian Capital, Inc. incorporated?
Sound Point Meridian Capital, Inc. was incorporated in Delaware.
What is the principal executive office address for Sound Point Meridian Capital, Inc.?
The principal executive office address is 375 Park Avenue, 34th Floor, New York, New York 10152.
What is the telephone number for Sound Point Meridian Capital, Inc.'s principal executive offices?
The telephone number is (212) 895-2293.
Filing Stats: 579 words · 2 min read · ~2 pages · Grade level 11.6 · Accepted 2024-07-26 16:25:45
Key Financial Figures
- $0.001 — ch registered Common Stock, par value $0.001 per share SPMC New York Stock Excha
Filing Documents
- soundpoint_8k.htm (8-K) — 25KB
- 0001829126-24-005035.txt ( ) — 194KB
- spmc-20240726.xsd (EX-101.SCH) — 3KB
- spmc-20240726_lab.xml (EX-101.LAB) — 33KB
- spmc-20240726_pre.xml (EX-101.PRE) — 22KB
- soundpoint_8k_htm.xml (XML) — 4KB
02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Effective July 26, 2024, the Board of Directors of Sound Point Meridian Capital, Inc., a closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, as amended (the "Company"), accepted the resignation of Ivana Kovai as Chief Compliance Officer ("CCO") of the Company and appointed Lucas D. Foss to succeed Ms. Kovai as CCO of the Company, effective upon the resignation of Ms. Kovai. The appointment was made in connection with the departure of Ms. Kovacic from ALPS Fund Services, Inc. ("SS&C ALPS") to pursue other opportunities effective July 26, 2024. Mr. Foss will serve as CCO of the Company until his successor is duly appointed or until his resignation or removal. Mr. Foss, age 46, joined SS&C ALPS in November 2017. He currently serves as Director, Fund Compliance and Governance, at SS&C Registered Fund Services and has over 23 years of experience within the fund services industry. He is the President of two series trusts that include both proprietary and non-proprietary registered funds. He also leads the Fund CCO Services group and reports to multiple boards as the funds' CCO. Mr. Foss received a B.A. in Economics from the University of Vermont and holds the Certified Securities Compliance Professional (CSCP) designation. 1
SIGNATURES
SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Sound Point Meridian Capital, Inc. Date: July 26, 2024 By: /s/ Ujjaval Desai Name: Ujjaval Desai Title: Chief Executive Officer 2