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
Nov 7, 2016 SForm 4 →	Nov 8, 7:08 pm EST	Howard AlbertChief Risk Officer	16,000	$32.00	$512,000	146,231	−9.86%	plan?
Nov 7, 2016 MForm 4 →	Nov 8, 7:08 pm EST	Howard AlbertChief Risk Officer	16,000	$26.70	$427,200	161,739	—	plan?
Nov 4, 2016 FMForm 4 →	Nov 8, 7:09 pm EST	Robert BailensonChief Financial Officer	30,758	$29.15	$896,504	187,646	—	plan?
Oct 14, 2016 FGMForm 4 →	Nov 8, 7:10 pm EST	James M MichenerGeneral Counsel and Secretary	99,085	$29.13	$2,784,603	316,712	—	plan? late
Aug 31, 2016 AForm 4 →	Sep 2, 8:35 am EDT	Michael T O'KaneDirector	77	$27.77	$2,147	56,083	—	plan?
Aug 31, 2016 AForm 4 →	Sep 2, 8:31 am EDT	G Lawrence BuhlDirector	73	$27.77	$2,040	59,809	—	plan?
Aug 31, 2016 AForm 4 →	Sep 2, 8:29 am EDT	Francisco L BorgesDirector	32	$27.77	$901	210,621	—	plan?
Aug 10, 2016 AGForm 4 →	Sep 2, 8:33 am EDT	Patrick W KennyDirector	1,331	$27.77	$3,491	70,440	—	plan? late
Jun 1, 2016 AForm 4 →	Jun 2, 4:39 pm EDT	Michael T O'KaneDirector	78	$27.25	$2,137	56,005	—	plan?
Jun 1, 2016 AForm 4 →	Jun 2, 4:37 pm EDT	Patrick W KennyDirector	128	$27.25	$3,475	71,519	—	plan?
Jun 1, 2016 AForm 4 →	Jun 2, 4:35 pm EDT	G Lawrence BuhlDirector	74	$27.25	$2,030	59,736	—	plan?
Jun 1, 2016 AForm 4 →	Jun 2, 4:33 pm EDT	Francisco L BorgesDirector	33	$27.25	$896	210,367	—	plan?
May 23, 2016 PForm 4 →	Sep 2, 8:29 am EDT	Francisco L BorgesDirector	222	$27.11	$6,019	210,589	+0.11%	plan? late
May 16, 2016 GForm 4 →	May 17, 4:11 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	16,520	—	—	1,183,030	—	plan?
May 13, 2016 PForm 4 →	May 17, 4:11 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	13,000	$25.10	$326,300	1,199,550	+1.10%	plan?
May 3, 2016 AFForm 4 →	May 5, 5:46 pm EDT	Yukiko OmuraDirector	6,706	$25.72	$51,774	9,657	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:46 pm EDT	Michael T O'KaneDirector	5,667	$25.72	$25,051	55,927	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:45 pm EDT	Simon W LeathesDirector	6,706	$25.72	$51,774	13,081	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:45 pm EDT	Alan J KreczkoDirector	12,688	$25.72	$54,758	18,182	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:44 pm EDT	Patrick W KennyDirector	7,100	$25.72	$31,738	71,392	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:43 pm EDT	Thomas W JonesDirector	5,725	$25.72	$26,543	13,537	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:43 pm EDT	Bonnie L. HowardDirector	5,667	$25.72	$25,051	23,890	—	plan?
May 3, 2016 FForm 4 →	May 5, 5:42 pm EDT	Stephen A CozenDirector	974	$25.72	$25,051	70,083	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:41 pm EDT	G Lawrence BuhlDirector	5,667	$25.72	$25,051	59,661	—	plan?
May 3, 2016 AFForm 4 →	May 5, 5:41 pm EDT	Francisco L BorgesDirector	17,370	$25.72	$79,603	210,334	—	plan?
Mar 23, 2016 AForm 4 →	Mar 24, 1:55 pm EDT	Michael T O'KaneDirector	84	$25.23	$2,126	52,208	—	plan?
Mar 23, 2016 AForm 4 →	Mar 24, 1:54 pm EDT	Patrick W KennyDirector	137	$25.23	$3,457	66,760	—	plan?
Mar 23, 2016 AForm 4 →	Mar 24, 1:53 pm EDT	Stephen A CozenDirector	80	$25.23	$2,020	71,057	—	plan?
Mar 23, 2016 AForm 4 →	Mar 24, 1:52 pm EDT	G Lawrence BuhlDirector	80	$25.23	$2,020	55,942	—	plan?
Mar 23, 2016 AForm 4 →	Mar 24, 1:50 pm EDT	Francisco L BorgesDirector	35	$25.23	$892	199,154	—	plan?
Feb 24, 2016 AForm 4 →	Feb 26, 4:44 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	102,965	—	—	1,186,550	—	plan?
Feb 24, 2016 AForm 4 →	Feb 26, 4:43 pm EST	Bruce E. SternExecutive Officer,*	14,415	—	—	111,599	—	plan?
Feb 24, 2016 AForm 4 →	Feb 26, 4:42 pm EST	James M MichenerGeneral Counsel and Secretary	20,593	—	—	315,797	—	plan?
Feb 24, 2016 AForm 4 →	Feb 26, 4:41 pm EST	Russell B. Brewer IIChief Surveillance Officer	22,652	—	—	132,413	—	plan?
Feb 24, 2016 AForm 4 →	Feb 26, 4:37 pm EST	Robert BailensonChief Financial Officer	22,652	—	—	186,404	—	plan?
Feb 24, 2016 AForm 4 →	Feb 26, 4:36 pm EST	Howard AlbertChief Risk Officer	13,386	—	—	145,739	—	plan?
Feb 7, 2016 FMForm 4 →	Feb 9, 5:11 pm EST	Bruce E. SternExecutive Officer,*	16,603	$23.73	$142,594	97,184	—	plan?
Feb 7, 2016 FMForm 4 →	Feb 9, 5:10 pm EST	James M MichenerGeneral Counsel and Secretary	20,185	$23.73	$154,601	295,204	—	plan?
Feb 7, 2016 FMForm 4 →	Feb 9, 5:06 pm EST	Russell B. Brewer IIChief Surveillance Officer	21,436	$23.73	$184,287	109,761	—	plan?
Feb 7, 2016 FMForm 4 →	Feb 9, 5:04 pm EST	Robert BailensonChief Financial Officer	15,744	$23.73	$134,383	163,752	—	plan?
Feb 7, 2016 FMForm 4 →	Feb 9, 5:02 pm EST	Howard AlbertChief Risk Officer	7,477	$23.73	$65,922	132,353	—	plan?
Dec 2, 2015 AForm 4 →	Dec 3, 5:15 pm EST	Michael T O'KaneDirector	74	$26.37	$1,954	52,124	—	plan?
Dec 2, 2015 AForm 4 →	Dec 3, 5:15 pm EST	Patrick W KennyDirector	120	$26.37	$3,177	66,623	—	plan?
Dec 2, 2015 AForm 4 →	Dec 3, 5:14 pm EST	Stephen A CozenDirector	70	$26.37	$1,856	70,977	—	plan?
Dec 2, 2015 AForm 4 →	Dec 3, 5:13 pm EST	G Lawrence BuhlDirector	70	$26.37	$1,856	55,862	—	plan?
Dec 2, 2015 AForm 4 →	Dec 3, 5:13 pm EST	Francisco L BorgesDirector	31	$26.37	$819	199,119	—	plan?
Sep 2, 2015 AForm 4 →	Sep 3, 5:11 pm EDT	Michael T O'KaneDirector	75	$25.99	$1,945	52,050	—	plan?
Sep 2, 2015 AForm 4 →	Sep 3, 5:10 pm EDT	Patrick W KennyDirector	122	$25.99	$3,162	66,502	—	plan?
Sep 2, 2015 AForm 4 →	Sep 3, 5:10 pm EDT	Stephen A CozenDirector	71	$25.99	$1,847	70,907	—	plan?
Sep 2, 2015 AForm 4 →	Sep 3, 5:09 pm EDT	G Lawrence BuhlDirector	71	$25.99	$1,847	55,792	—	plan?
Sep 2, 2015 AForm 4 →	Sep 3, 5:08 pm EDT	Francisco L BorgesDirector	31	$25.99	$816	199,088	—	plan?
Aug 4, 2015 AForm 4 →	Aug 5, 4:35 pm EDT	Alan J KreczkoDirector	9,752	—	—	9,752	—	plan?
Aug 4, 2015 AForm 4 →	Aug 5, 4:34 pm EDT	Thomas W JonesDirector	4,876	—	—	9,876	—	plan?
Jun 15, 2015 GForm 5 →	Feb 9, 2016, 5:07 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	18,951	—	—	1,083,585	—	plan?
Jun 3, 2015 AForm 4 →	Jun 4, 6:40 pm EDT	Michael T O'KaneDirector	67	$28.93	$1,937	51,975	—	plan?
Jun 3, 2015 AForm 4 →	Jun 4, 6:40 pm EDT	Patrick W KennyDirector	109	$28.93	$3,149	66,381	—	plan?
Jun 3, 2015 AForm 4 →	Jun 4, 6:39 pm EDT	Stephen A CozenDirector	64	$28.93	$1,840	70,836	—	plan?
Jun 3, 2015 AForm 4 →	Jun 4, 6:38 pm EDT	G Lawrence BuhlDirector	64	$28.93	$1,840	55,721	—	plan?
Jun 3, 2015 AForm 4 →	Jun 4, 6:37 pm EDT	Francisco L BorgesDirector	28	$28.93	$812	199,056	—	plan?
May 12, 2015 SForm 4 →	May 14, 4:30 pm EDT	Stephen A CozenDirector	17,000	$26.97	$458,490	70,772	−19.4%	plan?
May 5, 2015 AFForm 4 →	May 7, 4:22 pm EDT	Stephen A CozenDirector	5,488	$25.99	$22,637	87,772	—	plan?
May 5, 2015 AFForm 4 →	May 7, 4:21 pm EDT	Francisco L BorgesDirector	15,994	$25.99	$50,681	199,028	—	plan?
May 5, 2015 AFForm 4 →	May 7, 4:21 pm EDT	G Lawrence BuhlDirector	5,488	$25.99	$22,637	55,657	—	plan?
May 5, 2015 AFForm 4 →	May 7, 4:16 pm EDT	Bonnie L. HowardDirector	5,488	$25.99	$22,637	20,171	—	plan?
May 5, 2015 AFForm 4 →	May 7, 4:16 pm EDT	Patrick W KennyDirector	6,924	$25.99	$29,966	66,272	—	plan?
May 5, 2015 AFForm 4 →	May 7, 4:15 pm EDT	Simon W LeathesDirector	6,427	$25.99	$47,042	10,401	—	plan?
May 5, 2015 FForm 4 →	May 7, 4:14 pm EDT	Robin Monro-DaviesDirector	1,810	$25.99	$47,042	66,868	—	plan?
May 5, 2015 AFForm 4 →	May 7, 4:13 pm EDT	Michael T O'KaneDirector	5,488	$25.99	$22,637	51,908	—	plan?
May 5, 2015 AFForm 4 →	May 7, 4:12 pm EDT	Yukiko OmuraDirector	6,427	$25.99	$47,042	6,977	—	plan?
Apr 7, 2015 FMForm 4 →	Apr 9, 4:56 pm EDT	James M MichenerGeneral Counsel and Secretary	31,985	$14.95	$478,028	288,049	—	plan?
Mar 30, 2015 GForm 4 →	Apr 7, 5:10 pm EDT	Michael T O'KaneDirector	4,000	—	—	48,162	—	plan? late
Mar 19, 2015 GForm 4 →	Apr 7, 5:09 pm EDT	Dominic FredericoPresident/CEO/Deputy Chairman, Director	4,200	—	—	1,101,580	—	plan? late
Mar 4, 2015 AForm 4 →	Mar 6, 4:26 pm EST	Michael T O'KaneDirector	74	$26.04	$1,928	52,162	—	plan?
Mar 4, 2015 AForm 4 →	Mar 6, 4:26 pm EST	Robin Monro-DaviesDirector	74	$26.04	$1,928	68,678	—	plan?
Mar 4, 2015 AForm 4 →	Mar 6, 4:26 pm EST	Patrick W KennyDirector	120	$26.04	$3,134	61,654	—	plan?
Mar 4, 2015 AForm 4 →	Mar 6, 4:26 pm EST	Stephen A CozenDirector	70	$26.04	$1,831	84,026	—	plan?
Mar 4, 2015 AForm 4 →	Mar 6, 4:24 pm EST	G Lawrence BuhlDirector	70	$26.04	$1,831	51,911	—	plan?
Mar 4, 2015 AForm 4 →	Mar 6, 4:24 pm EST	Francisco L BorgesDirector	31	$26.04	$808	186,934	—	plan?
Feb 9, 2015 DFMForm 4 →	Feb 11, 5:00 pm EST	Bruce E. SternExecutive Officer,*	16,287	$25.22	$203,707	91,651	—	plan?
Feb 9, 2015 DFMForm 4 →	Feb 11, 5:00 pm EST	Russell B. Brewer IIChief Surveillance Officer	20,669	$25.22	$245,194	103,857	—	plan?
Feb 9, 2015 DFMForm 4 →	Feb 11, 4:59 pm EST	Howard AlbertChief Risk Officer	8,199	$25.22	$103,241	129,459	—	plan?
Feb 9, 2015 DFMForm 4 →	Feb 11, 4:59 pm EST	Robert B MillsChief Operating Officer	13,544	$25.22	$169,025	248,519	—	plan?
Feb 9, 2015 DFMForm 4 →	Feb 11, 4:58 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	558,263	$22.38	$9,429,385	1,105,780	—	plan?
Feb 9, 2015 DFMForm 4 →	Feb 11, 4:58 pm EST	Robert BailensonChief Financial Officer	15,759	$25.22	$190,386	159,334	—	plan?
Feb 9, 2015 DFMForm 4 →	Feb 11, 4:57 pm EST	James M MichenerGeneral Counsel and Secretary	19,034	$25.22	$203,960	280,034	—	plan?
Feb 4, 2015 AForm 4 →	Feb 6, 5:27 pm EST	Dominic FredericoPresident/CEO/Deputy Chairman, Director	87,959	—	—	1,056,983	—	plan?
Feb 4, 2015 AForm 4 →	Feb 6, 5:26 pm EST	Bruce E. SternExecutive Officer,*	11,728	—	—	91,519	—	plan?
Feb 4, 2015 AForm 4 →	Feb 6, 5:25 pm EST	Russell B. Brewer IIChief Surveillance Officer	17,592	—	—	102,633	—	plan?
Feb 4, 2015 AForm 4 →	Feb 6, 5:25 pm EST	Howard AlbertChief Risk Officer	11,728	—	—	129,448	—	plan?
Feb 4, 2015 AForm 4 →	Feb 6, 5:24 pm EST	James M MichenerGeneral Counsel and Secretary	17,592	—	—	277,174	—	plan?
Feb 4, 2015 AForm 4 →	Feb 6, 5:24 pm EST	Robert BailensonChief Financial Officer	19,547	—	—	158,673	—	plan?
Dec 8, 2014 GForm 5 →	Jan 8, 2015, 5:44 pm EST	Patrick W KennyDirector	3,732	—	—	61,533	—	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.