Brian P. Smith Files Form 3 for Sound Point Alternative Income Fund
| Field | Detail |
|---|---|
| Company | Sound Point Alternative Income Fund |
| Form Type | 3 |
| Filed Date | Mar 24, 2026 |
| Risk Level | low |
| Pages | 1 |
| Reading Time | 2 min |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: insider-filing, form-3, initial-ownership, regulatory-disclosure
TL;DR
**New insider Brian P. Smith just filed a Form 3 for Sound Point Alternative Income Fund, signaling his initial ownership.**
AI Summary
Brian P. Smith, a new insider, filed a Form 3 on March 24, 2026, indicating his initial beneficial ownership in Sound Point Alternative Income Fund. This filing establishes his position as an insider, likely a director or officer, and is a routine disclosure required by the SEC. For investors, this matters because it signals a new individual with a vested interest in the company's performance, and future filings from Mr. Smith (Forms 4 and 5) will show his buying or selling activity, which can be a valuable indicator of insider sentiment.
Why It Matters
This filing introduces a new insider, Brian P. Smith, to Sound Point Alternative Income Fund, whose future trading activity could signal confidence or concern about the company's prospects.
Risk Assessment
Risk Level: low — This is a routine disclosure filing for a new insider and does not inherently indicate a significant risk or opportunity.
Analyst Insight
Investors should monitor future Form 4 filings from Brian P. Smith for any buying or selling activity, as these transactions can provide insights into insider sentiment regarding Sound Point Alternative Income Fund.
Key Players & Entities
- Brian P. Smith (person) — Reporting Person
- Sound Point Alternative Income Fund (company) — Issuer
- UMB FUND SERVICES, INC. (company) — Mailing Address for Issuer
Forward-Looking Statements
- Brian P. Smith will file subsequent Forms 4 or 5 to report changes in his ownership. (Brian P. Smith) — high confidence, target: Ongoing
FAQ
What is the purpose of a Form 3 filing?
A Form 3 is an 'Initial statement of beneficial ownership of securities' filed by an insider (like an officer, director, or 10%+ shareholder) when they first become subject to the reporting requirements for a company, as indicated by the filing description 'Form 3 - Initial statement of beneficial ownership of securities'.
Who is the reporting person in this filing?
The reporting person is Brian P. Smith, as explicitly stated in the filing under 'Smith Brian P. ( Reporting )'.
What is the CIK for the reporting person?
The CIK for Brian P. Smith is 0001987638, as listed in the filing under 'CIK : 0001987638'.
When was this Form 3 filed and accepted by the SEC?
This Form 3 was filed on 2026-03-24 and accepted on 2026-03-24 14:03:31, according to the 'Filing Date' and 'Accepted' fields.
What is the CIK for the Issuer, Sound Point Alternative Income Fund?
The CIK for the Issuer, Sound Point Alternative Income Fund, is 0002028174, as stated in the filing under 'Sound Point Alternative Income Fund ( Issuer ) CIK : 0002028174'.
Filing Stats: 410 words · 2 min read · ~1 pages · Grade level 8.9 · Accepted 2026-03-24 14:03:31
Filing Documents
- ownership.html (3)
- ownership.xml (3) — 2KB
- 0001213900-26-033403.txt ( ) — 4KB
From the Filing
SEC FORM 3 SEC Form 3 FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 OMB APPROVAL OMB Number: 3235-0104 Estimated average burden hours per response: 0.5 1. Name and Address of Reporting Person * Smith Brian P. (Last) (First) (Middle) 770 FAIRFIELD ROAD NW (Street) ATLANTA GEORGIA 30327 (City) (State) (Zip) UNITED STATES (Country) 2. Date of Event Requiring Statement (Month/Day/Year) 03/23/2026 3. Issuer Name and Ticker or Trading Symbol Sound Point Alternative Income Fund [ SAFTX ] 3a. Foreign Trading Symbol 5. If Amendment, Date of Original Filed (Month/Day/Year) 4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) President 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person Table I - Non-Derivative Securities Beneficially Owned 1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5) Sound Point Alternative Income Fund (SAFTX, SAFDX, SAFNX) 0 D Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5) Date Exercisable Expiration Date Title Amount or Number of Shares Explanation of Responses: /s/ Brian Smith 03/23/2026 ** Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. * Form 3: SEC 1473 (03-26)