Company · CIK 0001273813 · SIC 6351 — Surety Insurance · NYSE

ASSURED GUARANTY LTD · AGO

Insider activity reported against this company. All insider holders · Files at: Sound Point Direct Lending BDC, SAFTX. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $332k · 2sales $13.1M · 11net −$12.7M

Open-market trades as an insider elsewherebuys $5.2M · 1sales $0 · 0net $5.2M

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Aug 20, 2026 GForm 4 →	Aug 21, 5:14 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	23,331	—	—	1,275,219	—
Jul 1, 2026 FForm 4 →	Jul 6, 5:38 pm EDT	Benjamin G. RosenblumCFO	1,156	$81.39	$94,087	61,448	—
Jun 17, 2026 GForm 4 →	Jun 18, 4:56 pm EDT	Francisco L BorgesDirector	26,747	—	—	153,111	—
Mar 5, 2019 SForm 4 →	Mar 6, 4:33 pm EST	G Lawrence BuhlDirector	3,873	$43.77	$169,521	55,479	−6.53%	plan?
Mar 5, 2019 MForm 4 →	Mar 6, 4:33 pm EST	G Lawrence BuhlDirector	3,873	$11.13	$43,106	59,352	—	plan?
Feb 27, 2019 AForm 4 →	Mar 1, 6:57 pm EST	Bruce E. SternExecutive Officer	6,983	—	—	166,005	—	plan?
Feb 27, 2019 AForm 4 →	Mar 1, 6:54 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	59,850	—	—	1,310,229	—	plan?
Feb 27, 2019 AForm 4 →	Mar 1, 6:52 pm EST	Stephen DonnarummaChief Credit Officer	5,985	—	—	93,229	—	plan?
Feb 27, 2019 AForm 4 →	Mar 1, 6:50 pm EST	Ling ChowGeneral Counsel and Secretary	9,975	—	—	79,851	—	plan?
Feb 27, 2019 AForm 4 →	Mar 1, 6:47 pm EST	Russell B. Brewer IIChief Surveillance Officer	10,973	—	—	201,906	—	plan?
Feb 27, 2019 AForm 4 →	Mar 1, 6:45 pm EST	Robert BailensonChief Financial Officer	14,963	—	—	269,767	—	plan?
Feb 27, 2019 AForm 4 →	Mar 1, 6:43 pm EST	Howard AlbertChief Risk Officer	5,985	—	—	187,085	—	plan?
Feb 24, 2019 FMForm 4 →	Feb 26, 6:17 pm EST	Russell B. Brewer IIChief Surveillance Officer	78,627	$41.55	$1,384,571	190,933	—	plan?
Feb 24, 2019 FMForm 4 →	Feb 26, 6:16 pm EST	Robert BailensonChief Financial Officer	78,590	$41.55	$1,383,033	254,804	—	plan?
Feb 24, 2019 FMForm 4 →	Feb 26, 6:14 pm EST	Howard AlbertChief Risk Officer	46,493	$41.55	$819,408	181,100	—	plan?
Feb 24, 2019 FMForm 4 →	Feb 26, 6:13 pm EST	Bruce E. SternExecutive Officer	50,056	$41.55	$881,940	159,022	—	plan?
Feb 24, 2019 FMForm 4 →	Feb 26, 6:13 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	333,691	$41.55	$5,308,470	1,250,379	—	plan?
Feb 24, 2019 FMForm 4 →	Feb 26, 6:12 pm EST	Stephen DonnarummaChief Credit Officer	37,036	$41.55	$683,165	87,244	—	plan?
Feb 22, 2019 FForm 4 →	Feb 26, 6:17 pm EST	Ling ChowGeneral Counsel and Secretary	1,902	$41.55	$79,028	69,876	—	plan?
Feb 21, 2019 FForm 4 →	Feb 22, 1:04 pm EST	Ling ChowGeneral Counsel and Secretary	1,252	$41.53	$51,996	71,778	—	plan?
Feb 13, 2019 MForm 4 →	Feb 14, 5:14 pm EST	Patrick W KennyDirector	2,153	$11.13	$23,963	61,021	—	plan?
Feb 4, 2019 FForm 4 →	Feb 5, 5:10 pm EST	Ling ChowGeneral Counsel and Secretary	863	$40.49	$34,943	73,030	—	plan?
Jan 23, 2019 FMForm 4 →	Jan 24, 5:51 pm EST	Stephen DonnarummaChief Credit Officer	8,237	$20.19	$166,324	83,092	—	plan?
Jan 3, 2019 FMForm 4 →	Jan 4, 5:22 pm EST	Michael T O'KaneDirector	5,011	$17.20	$86,214	56,616	—	plan?
Dec 14, 2018 GForm 5 →	Jan 4, 2019, 5:24 pm EST	Patrick W KennyDirector	600	—	—	58,868	—	plan?
Dec 10, 2018 MForm 4 →	Dec 11, 7:08 pm EST	Bruce E. SternExecutive Officer	6,723	$17.44	$117,249	150,684	—	plan?
Dec 3, 2018 SForm 4 →	Dec 6, 5:31 pm EST	Stephen DonnarummaChief Credit Officer	4,713	$41.83	$197,129	80,850	−5.51%	plan?
Dec 3, 2018 MForm 4 →	Dec 6, 5:31 pm EST	Stephen DonnarummaChief Credit Officer	7,241	$10.53	$76,283	82,485	—	plan?
Sep 21, 2018 FMForm 4 →	Sep 24, 6:38 pm EDT	Ling ChowGeneral Counsel and Secretary	10,326	$23.39	$241,557	73,893	—	plan?
Sep 21, 2018 SForm 4 →	Sep 24, 6:36 pm EDT	Russell B. Brewer IIChief Surveillance Officer	29,362	$42.36	$1,243,774	178,952	−14.1%	plan?
Sep 21, 2018 MForm 4 →	Sep 24, 6:36 pm EDT	Russell B. Brewer IIChief Surveillance Officer	29,362	$18.88	$554,290	208,314	—	plan?
Sep 13, 2018 SForm 4 →	Sep 14, 5:29 pm EDT	Robert BailensonChief Financial Officer	16,723	$40.42	$675,944	242,786	−6.44%	plan?
Sep 13, 2018 MForm 4 →	Sep 14, 5:29 pm EDT	Robert BailensonChief Financial Officer	16,723	$11.46	$191,649	259,509	—	plan?
Sep 6, 2018 SForm 4 →	Sep 7, 4:49 pm EDT	Patrick W KennyDirector	4,300	$41.21	$177,203	59,468	−6.74%	plan?
Aug 30, 2018 SForm 4 →	Sep 4, 7:52 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	212,055	$40.82	$8,656,162	1,172,128	−15.3%	plan?
Jun 26, 2018 GMForm 4 →	Sep 4, 7:52 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	226,815	$12.72	$2,698,239	1,208,060	—	plan? late
Jun 13, 2018 SForm 4 →	Jun 14, 4:32 pm EDT	Howard AlbertChief Risk Officer	13,361	$37.70	$503,645	173,331	−7.16%	plan?
Jun 13, 2018 MForm 4 →	Jun 14, 4:32 pm EDT	Howard AlbertChief Risk Officer	13,361	$9.96	$133,016	176,692	—	plan?
May 16, 2018 GMForm 4 →	Sep 7, 4:49 pm EDT	Patrick W KennyDirector	5,500	$11.13	$47,859	63,768	—	plan? late
May 1, 2018 AFForm 4 →	May 3, 8:40 pm EDT	Yukiko OmuraDirector	5,754	$36.52	$61,208	13,810	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:38 pm EDT	Michael T O'KaneDirector	4,894	$36.52	$29,800	53,881	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:37 pm EDT	Simon W LeathesDirector	5,754	$36.52	$61,208	17,234	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:35 pm EDT	Alan J KreczkoDirector	10,002	$36.52	$62,303	30,213	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:33 pm EDT	Patrick W KennyDirector	6,641	$36.52	$52,552	60,668	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:31 pm EDT	Thomas W JonesDirector	4,894	$36.52	$29,800	19,606	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:30 pm EDT	Bonnie L. HowardDirector	4,894	$36.52	$29,800	29,959	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:27 pm EDT	G Lawrence BuhlDirector	4,894	$36.52	$29,800	55,479	—	plan?
May 1, 2018 AFForm 4 →	May 3, 8:23 pm EDT	Francisco L BorgesDirector	16,643	$36.52	$104,557	227,817	—	plan?
Feb 24, 2018 FForm 4 →	Feb 26, 6:20 pm EST	Ling ChowGeneral Counsel and Secretary	979	$36.67	$35,900	71,737	—	plan?
Feb 21, 2018 AForm 4 →	Feb 23, 5:00 pm EST	Bruce E. SternExecutive Officer	11,442	—	—	143,961	—	plan?
Feb 21, 2018 AForm 4 →	Feb 23, 4:58 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	82,237	—	—	1,186,240	—	plan?
Feb 21, 2018 AForm 4 →	Feb 23, 4:57 pm EST	Stephen DonnarummaChief Credit Officer	8,581	—	—	78,322	—	plan?
Feb 21, 2018 AFForm 4 →	Feb 23, 4:55 pm EST	Ling ChowGeneral Counsel and Secretary	23,395	$37.19	$33,954	72,716	—	plan?
Feb 21, 2018 AForm 4 →	Feb 23, 4:53 pm EST	Russell B. Brewer IIChief Surveillance Officer	15,732	—	—	178,952	—	plan?
Feb 21, 2018 AForm 4 →	Feb 23, 4:51 pm EST	Robert BailensonChief Financial Officer	21,453	—	—	242,786	—	plan?
Feb 21, 2018 AForm 4 →	Feb 23, 4:49 pm EST	Howard AlbertChief Risk Officer	9,296	—	—	173,331	—	plan?
Feb 13, 2018 FMForm 4 →	Feb 15, 4:56 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	360,879	$28.56	$10,307,288	1,104,003	—	plan?
Feb 4, 2018 FMForm 4 →	Feb 6, 4:45 pm EST	Howard AlbertChief Risk Officer	40,806	$35.19	$610,547	164,035	—	plan?
Feb 4, 2018 FMForm 4 →	Feb 6, 4:42 pm EST	Bruce E. SternExecutive Officer	40,803	$35.19	$610,441	132,519	—	plan?
Feb 4, 2018 FMForm 4 →	Feb 6, 4:37 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	285,668	$35.19	$3,862,103	1,064,882	—	plan?
Feb 4, 2018 FForm 4 →	Feb 6, 4:36 pm EST	Ling ChowGeneral Counsel and Secretary	1,072	$35.23	$37,763	51,147	—	plan?
Feb 4, 2018 FMForm 4 →	Feb 6, 4:34 pm EST	Robert BailensonChief Financial Officer	67,909	$35.19	$1,014,000	221,333	—	plan?
Feb 4, 2018 FMForm 4 →	Feb 6, 4:31 pm EST	Russell B. Brewer IIChief Surveillance Officer	60,574	$35.19	$893,474	163,220	—	plan?
Dec 14, 2017 GForm 5 →	Feb 6, 2018, 4:32 pm EST	G Lawrence BuhlDirector	2,545	—	—	52,217	—	plan?
Sep 28, 2017 SForm 4 →	Sep 29, 5:03 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	1	$37.60	$22	1,014,720	−0.00%	plan?
Jun 20, 2017 FMForm 4 →	Jun 21, 4:27 pm EDT	Robert BailensonChief Financial Officer	17,857	$31.40	$560,730	211,054	—	plan?
Jun 14, 2017 GForm 4 →	Sep 29, 5:03 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	16,075	—	—	998,645	—	plan? late
May 12, 2017 GForm 5 →	Feb 6, 2018, 4:39 pm EST	Patrick W KennyDirector	2,400	—	—	56,905	—	plan?
May 10, 2017 SForm 4 →	May 11, 4:24 pm EDT	Howard AlbertChief Risk Officer	12,000	$39.19	$470,280	157,314	−7.09%	plan?
May 10, 2017 MForm 4 →	May 11, 4:24 pm EDT	Howard AlbertChief Risk Officer	12,000	$23.27	$279,240	169,314	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:59 pm EDT	Yukiko OmuraDirector	5,895	$38.02	$78,777	11,408	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:58 pm EDT	Michael T O'KaneDirector	4,839	$38.02	$38,628	50,619	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:57 pm EDT	Simon W LeathesDirector	5,895	$38.02	$78,777	14,832	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:55 pm EDT	Alan J KreczkoDirector	10,113	$38.02	$88,815	23,623	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:54 pm EDT	Patrick W KennyDirector	7,871	$38.02	$48,666	59,305	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:53 pm EDT	Thomas W JonesDirector	4,839	$38.02	$38,628	16,344	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:51 pm EDT	Bonnie L. HowardDirector	4,839	$38.02	$38,628	26,697	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:50 pm EDT	G Lawrence BuhlDirector	4,839	$38.02	$38,628	54,762	—	plan?
May 2, 2017 AFForm 4 →	May 4, 4:48 pm EDT	Francisco L BorgesDirector	16,091	$38.02	$120,599	216,900	—	plan?
Mar 10, 2017 GForm 5 →	Feb 6, 2018, 4:41 pm EST	James M MichenerGeneral Counsel and Secretary	550	—	—	337,495	—	plan?
Mar 2, 2017 FMForm 4 →	Mar 6, 4:23 pm EST	James M MichenerGeneral Counsel and Secretary	154,292	$29.29	$4,518,608	338,045	—	plan?
Feb 22, 2017 AForm 4 →	Feb 24, 4:37 pm EST	Bruce E. SternExecutive Officer	8,816	—	—	125,769	—	plan?
Feb 22, 2017 AForm 4 →	Feb 24, 4:36 pm EST	James M MichenerGeneral Counsel and Secretary	12,594	—	—	313,613	—	plan?
Feb 22, 2017 AForm 4 →	Feb 24, 4:34 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	69,270	—	—	1,014,155	—	plan?
Feb 22, 2017 AForm 4 →	Feb 24, 4:33 pm EST	Howard AlbertChief Risk Officer	7,872	—	—	157,314	—	plan?
Feb 22, 2017 AForm 4 →	Feb 24, 4:32 pm EST	Russell B. Brewer IIChief Surveillance Officer	13,854	—	—	153,426	—	plan?
Feb 22, 2017 AForm 4 →	Feb 24, 4:30 pm EST	Robert BailensonChief Financial Officer	16,373	—	—	208,911	—	plan?
Feb 5, 2017 FMForm 4 →	Feb 7, 4:44 pm EST	Bruce E. SternExecutive Officer	32,611	$40.01	$564,421	116,953	—	plan?
Feb 5, 2017 FMForm 4 →	Feb 7, 4:42 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	243,612	$40.01	$4,022,205	944,885	—	plan?
Feb 5, 2017 FMForm 4 →	Feb 7, 4:39 pm EST	Russell B. Brewer IIChief Surveillance Officer	48,925	$40.01	$835,529	139,572	—	plan?
Feb 5, 2017 FMForm 4 →	Feb 7, 4:37 pm EST	Robert BailensonChief Financial Officer	48,524	$40.01	$872,858	192,538	—	plan?
Feb 5, 2017 FMForm 4 →	Feb 7, 4:36 pm EST	Howard AlbertChief Risk Officer	27,785	$40.01	$501,045	149,442	—	plan?
Feb 2, 2017 FGMForm 4 →	Feb 7, 4:46 pm EST	James M MichenerGeneral Counsel and Secretary	48,715	$40.01	$801,120	301,019	—	plan? late
Jan 6, 2017 DMForm 4 →	Jan 9, 4:45 pm EST	Michael T O'KaneDirector	24,984	—	—	47,812	—	plan?
Jan 6, 2017 DForm 4 →	Jan 9, 4:44 pm EST	James M MichenerGeneral Counsel and Secretary	23,062	$38.73	$893,191	293,650	—	plan?
Jan 6, 2017 DMForm 4 →	Jan 9, 4:41 pm EST	Francisco L BorgesDirector	10,478	—	—	207,153	—	plan?
Jan 6, 2017 DForm 4 →	Jan 9, 4:39 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	297,131	$38.73	$11,507,884	902,173	—	plan?
Jan 6, 2017 DMForm 4 →	Jan 9, 4:36 pm EST	G Lawrence BuhlDirector	23,732	—	—	51,955	—	plan?
Dec 21, 2016 DGMForm 4 →	Jan 9, 2017, 4:42 pm EST	Patrick W KennyDirector	43,624	—	—	53,994	—	plan? late
Nov 7, 2016 FMForm 4 →	Nov 8, 7:10 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	317,859	$29.27	$9,303,272	1,199,304	—	plan?

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Mar 5, 2019 MForm 4 →	Mar 6, 4:33 pm EST	G Lawrence BuhlDirector	3,873	—	—	3,153	—
Feb 24, 2019 MForm 4 →	Feb 26, 6:17 pm EST	Russell B. Brewer IIChief Surveillance Officer	22,652	—	—	29,586	—
Feb 24, 2019 MForm 4 →	Feb 26, 6:16 pm EST	Robert BailensonChief Financial Officer	22,652	—	—	37,826	—
Feb 24, 2019 MForm 4 →	Feb 26, 6:14 pm EST	Howard AlbertChief Risk Officer	13,386	—	—	17,168	—
Feb 24, 2019 MForm 4 →	Feb 26, 6:13 pm EST	Bruce E. SternExecutive Officer	14,415	—	—	20,258	—
Feb 24, 2019 MForm 4 →	Feb 26, 6:13 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	102,965	—	—	151,507	—
Feb 24, 2019 MForm 4 →	Feb 26, 6:12 pm EST	Stephen DonnarummaChief Credit Officer	10,297	—	—	16,138	—
Feb 13, 2019 MForm 4 →	Feb 14, 5:14 pm EST	Patrick W KennyDirector	2,153	—	—	7,108	—
Jan 23, 2019 MForm 4 →	Jan 24, 5:51 pm EST	Stephen DonnarummaChief Credit Officer	5,000	—	—	8,844	—
Jan 3, 2019 MForm 4 →	Jan 4, 5:22 pm EST	Michael T O'KaneDirector	3,873	—	—	0	—
Dec 10, 2018 MForm 4 →	Dec 11, 7:08 pm EST	Bruce E. SternExecutive Officer	6,723	—	—	19,600	—
Dec 3, 2018 MForm 4 →	Dec 6, 5:31 pm EST	Stephen DonnarummaChief Credit Officer	7,241	—	—	13,844	—
Sep 21, 2018 MForm 4 →	Sep 24, 6:38 pm EDT	Ling ChowGeneral Counsel and Secretary	6,241	—	—	0	—
Sep 21, 2018 MForm 4 →	Sep 24, 6:36 pm EDT	Russell B. Brewer IIChief Surveillance Officer	29,362	—	—	0	—
Sep 13, 2018 MForm 4 →	Sep 14, 5:29 pm EDT	Robert BailensonChief Financial Officer	16,723	—	—	0	—
Sep 6, 2018 MForm 4 →	Sep 7, 4:49 pm EDT	Patrick W KennyDirector	4,300	—	—	4,306	—
Aug 30, 2018 MForm 4 →	Sep 4, 7:52 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	212,055	—	—	0	—
Jun 13, 2018 MForm 4 →	Jun 14, 4:32 pm EDT	Howard AlbertChief Risk Officer	13,361	—	—	0	—
Feb 21, 2018 AForm 4 →	Feb 23, 5:00 pm EST	Bruce E. SternExecutive Officer	11,442	—	—	34,673	—
Feb 21, 2018 AForm 4 →	Feb 23, 4:58 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	82,237	—	—	254,472	—
Feb 21, 2018 AForm 4 →	Feb 23, 4:57 pm EST	Stephen DonnarummaChief Credit Officer	8,581	—	—	26,435	—
Feb 21, 2018 AForm 4 →	Feb 23, 4:55 pm EST	Ling ChowGeneral Counsel and Secretary	9,296	—	—	9,296	—
Feb 21, 2018 AForm 4 →	Feb 23, 4:53 pm EST	Russell B. Brewer IIChief Surveillance Officer	15,732	—	—	52,238	—
Feb 21, 2018 AForm 4 →	Feb 23, 4:51 pm EST	Robert BailensonChief Financial Officer	21,453	—	—	60,478	—
Feb 21, 2018 AForm 4 →	Feb 23, 4:49 pm EST	Howard AlbertChief Risk Officer	9,296	—	—	30,554	—
Feb 13, 2018 MForm 4 →	Feb 15, 4:56 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	200,000	—	—	384,910	—
Feb 4, 2018 MForm 4 →	Feb 6, 4:45 pm EST	Howard AlbertChief Risk Officer	11,728	—	—	21,258	—
Feb 4, 2018 MForm 4 →	Feb 6, 4:42 pm EST	Bruce E. SternExecutive Officer	11,728	—	—	23,231	—
Feb 4, 2018 MForm 4 →	Feb 6, 4:37 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	87,959	—	—	172,235	—
Feb 4, 2018 MForm 4 →	Feb 6, 4:34 pm EST	Robert BailensonChief Financial Officer	19,547	—	—	39,025	—
Feb 4, 2018 MForm 4 →	Feb 6, 4:31 pm EST	Russell B. Brewer IIChief Surveillance Officer	17,592	—	—	36,506	—
Jun 20, 2017 MForm 4 →	Jun 21, 4:27 pm EDT	Robert BailensonChief Financial Officer	10,000	—	—	49,094	—
May 10, 2017 MForm 4 →	May 11, 4:24 pm EDT	Howard AlbertChief Risk Officer	12,000	—	—	0	—
Mar 2, 2017 MForm 4 →	Mar 6, 4:23 pm EST	James M MichenerGeneral Counsel and Secretary	89,362	—	—	0	—
Feb 22, 2017 AForm 4 →	Feb 24, 4:37 pm EST	Bruce E. SternExecutive Officer	8,816	—	—	34,959	—
Feb 22, 2017 AForm 4 →	Feb 24, 4:36 pm EST	James M MichenerGeneral Counsel and Secretary	12,594	—	—	50,779	—
Feb 22, 2017 AForm 4 →	Feb 24, 4:34 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	69,270	—	—	260,194	—
Feb 22, 2017 AForm 4 →	Feb 24, 4:33 pm EST	Howard AlbertChief Risk Officer	7,872	—	—	32,986	—
Feb 22, 2017 AForm 4 →	Feb 24, 4:32 pm EST	Russell B. Brewer IIChief Surveillance Officer	13,854	—	—	54,098	—
Feb 22, 2017 AForm 4 →	Feb 24, 4:30 pm EST	Robert BailensonChief Financial Officer	16,373	—	—	58,572	—
Feb 5, 2017 MForm 4 →	Feb 7, 4:46 pm EST	James M MichenerGeneral Counsel and Secretary	14,021	—	—	38,185	—
Feb 5, 2017 MForm 4 →	Feb 7, 4:44 pm EST	Bruce E. SternExecutive Officer	9,252	—	—	26,143	—
Feb 5, 2017 MForm 4 →	Feb 7, 4:42 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	71,541	—	—	190,924	—
Feb 5, 2017 AForm 4 →	Feb 7, 4:39 pm EST	Russell B. Brewer IIChief Surveillance Officer	14,021	—	—	40,244	—
Feb 5, 2017 MForm 4 →	Feb 7, 4:37 pm EST	Robert BailensonChief Financial Officer	13,354	—	—	42,199	—
Feb 5, 2017 MForm 4 →	Feb 7, 4:36 pm EST	Howard AlbertChief Risk Officer	7,631	—	—	25,114	—
Jan 6, 2017 MForm 4 →	Jan 9, 4:45 pm EST	Michael T O'KaneDirector	16,654	—	—	0	—
Jan 6, 2017 MForm 4 →	Jan 9, 4:42 pm EST	Patrick W KennyDirector	27,080	—	—	0	—
Jan 6, 2017 MForm 4 →	Jan 9, 4:41 pm EST	Francisco L BorgesDirector	6,985	—	—	0	—
Jan 6, 2017 MForm 4 →	Jan 9, 4:36 pm EST	G Lawrence BuhlDirector	15,821	—	—	0	—
Nov 30, 2016 AForm 4 →	Dec 2, 4:16 pm EST	Michael T O'KaneDirector	60	—	—	16,654	—
Nov 30, 2016 AForm 4 →	Dec 2, 4:14 pm EST	Patrick W KennyDirector	98	—	—	27,080	—
Nov 30, 2016 AForm 4 →	Dec 2, 4:11 pm EST	G Lawrence BuhlDirector	57	—	—	15,821	—
Nov 30, 2016 AForm 4 →	Dec 2, 4:08 pm EST	Francisco L BorgesDirector	25	—	—	6,985	—
Nov 7, 2016 MForm 4 →	Nov 8, 7:10 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	166,667	—	—	0	—
Nov 7, 2016 MForm 4 →	Nov 8, 7:08 pm EST	Howard AlbertChief Risk Officer	16,000	—	—	0	—
Nov 4, 2016 MForm 4 →	Nov 8, 7:10 pm EST	James M MichenerGeneral Counsel and Secretary	50,000	—	—	0	—
Nov 4, 2016 MForm 4 →	Nov 8, 7:09 pm EST	Robert BailensonChief Financial Officer	16,000	—	—	0	—
Feb 24, 2016 AForm 4 →	Feb 26, 4:44 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	102,965	—	—	262,465	—
Feb 24, 2016 AForm 4 →	Feb 26, 4:43 pm EST	Bruce E. SternExecutive Officer,*	14,415	—	—	35,395	—
Feb 24, 2016 AForm 4 →	Feb 26, 4:42 pm EST	James M MichenerGeneral Counsel and Secretary	20,593	—	—	52,206	—
Feb 24, 2016 AForm 4 →	Feb 26, 4:41 pm EST	Russell B. Brewer IIChief Surveillance Officer	22,652	—	—	54,265	—
Feb 24, 2016 AForm 4 →	Feb 26, 4:37 pm EST	Robert BailensonChief Financial Officer	22,652	—	—	55,553	—
Feb 24, 2016 AForm 4 →	Feb 26, 4:36 pm EST	Howard AlbertChief Risk Officer	13,386	—	—	32,745	—
Feb 7, 2016 MForm 4 →	Feb 9, 5:11 pm EST	Bruce E. SternExecutive Officer,*	6,200	—	—	20,980	—
Feb 7, 2016 MForm 4 →	Feb 9, 5:10 pm EST	James M MichenerGeneral Counsel and Secretary	8,000	—	—	31,613	—
Feb 7, 2016 MForm 4 →	Feb 9, 5:06 pm EST	Russell B. Brewer IIChief Surveillance Officer	8,000	—	—	31,613	—
Feb 7, 2016 MForm 4 →	Feb 9, 5:04 pm EST	Robert BailensonChief Financial Officer	5,900	—	—	32,901	—
Feb 7, 2016 MForm 4 →	Feb 9, 5:02 pm EST	Howard AlbertChief Risk Officer	2,750	—	—	19,359	—
Apr 7, 2015 MForm 4 →	Apr 9, 4:56 pm EDT	James M MichenerGeneral Counsel and Secretary	20,000	—	—	0	—
Feb 9, 2015 MForm 4 →	Feb 11, 5:00 pm EST	Bruce E. SternExecutive Officer,*	6,774	—	—	27,180	—
Feb 9, 2015 MForm 4 →	Feb 11, 5:00 pm EST	Russell B. Brewer IIChief Surveillance Officer	9,032	—	—	39,613	—
Feb 9, 2015 MForm 4 →	Feb 11, 4:59 pm EST	Howard AlbertChief Risk Officer	3,387	—	—	22,109	—
Feb 9, 2015 MForm 4 →	Feb 11, 4:59 pm EST	Robert B MillsChief Operating Officer	5,645	—	—	15,544	—
Feb 9, 2015 MForm 4 →	Feb 11, 4:58 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	279,590	—	—	0	—
Feb 9, 2015 MForm 4 →	Feb 11, 4:58 pm EST	Robert BailensonChief Financial Officer	6,774	—	—	38,801	—
Feb 9, 2015 MForm 4 →	Feb 11, 4:57 pm EST	James M MichenerGeneral Counsel and Secretary	9,032	—	—	39,613	—
Feb 4, 2015 AForm 4 →	Feb 6, 5:27 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	87,959	—	—	272,423	—
Feb 4, 2015 AForm 4 →	Feb 6, 5:26 pm EST	Bruce E. SternExecutive Officer,*	11,728	—	—	33,954	—
Feb 4, 2015 AForm 4 →	Feb 6, 5:25 pm EST	Russell B. Brewer IIChief Surveillance Officer	17,592	—	—	48,645	—
Feb 4, 2015 AForm 4 →	Feb 6, 5:25 pm EST	Howard AlbertChief Risk Officer	11,728	—	—	25,496	—
Feb 4, 2015 AForm 4 →	Feb 6, 5:24 pm EST	Robert BailensonChief Financial Officer	19,547	—	—	45,575	—
Feb 5, 2014 AForm 4 →	Feb 6, 2015, 5:24 pm EST	James M MichenerGeneral Counsel and Secretary	17,592	—	—	48,645	—	late

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Jul 22, 2026 PForm 4 →	Jul 24, 5:10 pm EDT	Sound Point Direct Lending BDCno symbol	209,388	$24.83	$5,200,000	1,212,106	+20.9%

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

No reported derivative activity in this period.