Mga Batayang Estadistika
| LEI | 5493000UC0RBBNDHI717 |
| CIK | 874501 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Ambac Financial Group, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 7, 2025 |
Exhibit 10.3 This AMENDMENT NO. 1 TO CREDIT AGREEMENT, dated as of June 10, 2025 (this "Amendment"), by and among CIRRATA GROUP LLC, a Delaware limited liability company (“Cirrata Group”), CIRRATA V LLC, a Delaware limited liability company (“Cirrata V”) and Cirrata V UK Limited, a private company limited by shares incorporated under the laws of England and Wales with company number 15854655 (“Cir |
|
| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 7, 2025 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 7, 2025 |
Exhibit 10.4 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Executive Officers with Employment Agreements) Effective as of July 9, 2025 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. 2024 Incentive Compensation Plan (the “Incentive Plan”). This Agreement evi |
|
| August 7, 2025 |
Exhibit 10.5 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of July 9, 2025 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2024 Incentive Compensation Plan (the “Incentive Plan”) in the form of restricted stock units. In addition to the |
|
| August 7, 2025 |
Ambac's Second Quarter 2025 Summary Results Exhibit 99.1 Ambac Reports Second Quarter 2025 Results •Total revenue from continuing operations increased 8% for the quarter to $55 million •Total P&C premium production increased 110% for the quarter to $346 million •Wisconsin OCI recommends approval for the sale of AAC and sets hearing date for September 3rd, 2025 NEW YORK, NY, August 7, 2025 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: |
|
| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as spe |
|
| July 7, 2025 |
EX-99.1 Exhibit 99.1 Ambac Financial Group and Oaktree announce an extension to the stock purchase agreement for the Financial Guarantee business NEW YORK – July 7, 2025 – Ambac Financial Group, Inc. (NYSE: AMBC) (“Ambac”) today announced the extension from July 3, 2025, to December 31, 2025 of the term of the stock purchase agreement relating to the sale of its legacy financial guarantee business |
|
| July 7, 2025 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. One World Trade Center, 40th Floor New York, New York 10007 July 3, 2025 American Acorn Corporation c/o Oaktree Capital Management, L.P. 333 S. Grand Ave., 28th Floor Los Angeles, CA 90071 Re: Letter Agreement Ladies and Gentlemen: This letter agreement (this “Letter Agreement”) is made and entered into between Ambac Financial Group, Inc. (the “Company”) an |
|
| July 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 7, 2025 (July 3, 2025) Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file nu |
|
| July 7, 2025 |
EX-2.1 Exhibit 2.1 FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT This First Amendment (this “Amendment”) to the Stock Purchase Agreement (as defined below), dated as of July 3, 2025, is entered into by and between Ambac Financial Group, Inc., a Delaware corporation (“AFG”) and American Acorn Corporation (“Acorn”), a Delaware corporation. AFG and Acorn are also each referred to herein as a “Party” an |
|
| June 16, 2025 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 10, 2025 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| May 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 28, 2025 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| May 12, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2025 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| May 12, 2025 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports First Quarter 2025 Results •Total revenue from continuing P&C operations increased 27% for the quarter to $63 million •Total P&C premium production increased 70% for the quarter to $318 million NEW YORK, NY, May 12, 2025 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), an insurance holding company, today reported its results for the First Qu |
|
| May 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as sp |
|
| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| April 11, 2025 |
AMBAC FINANCIAL GROUP, INC. 2024 ANNUAL REPORT 3 FINANCIAL HIGHLIGHTS Net Loss From Continuing 0perations ($59) MILLION +89% +70% Adjusted EBITDA $9 MILLION Three-Year Premium CAGR 89% Shareholders’ Equity $857 MILLION REVENUE FROM CONTINUING OPERATIONS (in millions) $54 2022 2023 2024 $125 $236 MGA PARTNERS 17 2022 2023 2024 27 46 +74% P&C PREMIUM PRODUCTION (in millions) $282 2022 2023 2024 $504 |
|
| March 6, 2025 |
Exhibit 19.1 Ambac Financial Group, Inc. Insider Trading Policy You are responsible for seeing that you do not violate federal or state securities laws or this Policy. We designed this Policy to promote compliance with the federal securities laws and protect you and Ambac Financial Group, Inc. and its affiliates (collectively, “Ambac”) from the serious liabilities and penalties that can result fro |
|
| March 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Reg |
|
| March 6, 2025 |
Form of Restricted Stock Unit Award Agreement for directors Exhibit A AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT <[Insert Name]> (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2024 Incentive Compensation Plan (the “Plan”) in the form of restricted stock units (the “Award”). The Award shall be effective as of <[Insert Date]> (the “Grant Date”). The Award shall be subject to the following terms |
|
| March 6, 2025 |
Power of Attorney for directors of Ambac Financial Group, Inc. Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENT, that each person whose signature appears below constitutes and appoints each of Stephen M. Ksenak and William J. White, as such person's true and lawful attorney-in-fact and agent, each with full power of substitution and resubstitution, for such person and in their name, place and stead, in any and all capacities, to sign Ambac Fin |
|
| March 6, 2025 |
List of Subsidiaries of Ambac Financial Group, Inc. Exhibit 21.1 List of Subsidiaries of Ambac Financial Group, Inc. The following is a list of significant and other subsidiaries of Ambac Financial Group, Inc. The state of incorporation of each subsidiary is included in parentheses after its name. Name State of Incorporation All Trans Risk Solutions, LLC (New Jersey) Ambac Asset Management, Inc. (Delaware) Ambac Assurance Corporation (Wisconsin) Am |
|
| February 26, 2025 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports Fourth Quarter and Full Year 2024 Results •Total revenue from continuing operations increased 89% for the year to $236 million •Total Specialty P&C Insurance premium increased 74% for the year to $876 million NEW YORK, NY, February 26, 2025 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), an insurance holding company, today reported its resu |
|
| February 26, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 26, 2025 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| November 12, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| November 12, 2024 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports Third Quarter 2024 Results and Approval of a $50 Million Stock Repurchase Program NEW YORK, NY, November 12, 2024 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported its results for the quarter ended September 30, 2024. Third Quarter 2024 Highlights •Net loss of $(28) million or $(0.63) per d |
|
| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant a |
|
| October 16, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 16, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R. |
|
| October 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| September 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| September 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| September 17, 2024 |
PRELIMINARY UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION Exhibit 99.2 PRELIMINARY UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION The following preliminary unaudited pro forma combined financial information gives effect to the following transactions by Ambac Financial Group, Inc (“Ambac”), collectively the “Transactions”: •Ambac’s disposition of 100% of the common stock of Ambac Assurance Corporation (“AAC”) under the terms of a Stock Purchase Agreem |
|
| September 17, 2024 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 17, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I. |
|
| September 17, 2024 |
Exhibit 99.1 Company registration number 10198821 (England and Wales) BEAT CAPITAL PARTNERS LIMITED UNAUDITED INTERIM REPORT AND CONDENSED CONSOLIDATED FINANCIAL STATEMENTS FOR THE SIX MONTH PERIODS ENDED 30 JUNE 2024 AND 30 JUNE 2023 COMPANY INFORMATION Directors N Anand M Cannan J P Cavanagh C Leblanc E Lieskovska A J T Milligan R Smith D Trick Secretaries K Baker H Marsden S Naher Company numbe |
|
| September 6, 2024 |
DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| September 4, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 4, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| September 4, 2024 |
Ambac Financial Group One World Trade Center, 41st Floor, New York, NY 10007 All Rights Reserved | 800-221-1854 | www. |
|
| August 9, 2024 |
As filed with the Securities and Exchange Commission on August 9, 2024 As filed with the Securities and Exchange Commission on August 9, 2024 File No. 333.245008 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333.245008 Under the Securities Act of 1933 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 13-3621676 (State of incorporat |
|
| August 9, 2024 |
As filed with the Securities and Exchange Commission on August 9, 2024 As filed with the Securities and Exchange Commission on August 9, 2024 File No. 333.xxxxx UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT Under the Securities Act of 1933 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 13-3621676 (State of incorporation) (I.R.S. employer identification no.) One Worl |
|
| August 9, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Ambac Financial Group, Inc. |
|
| August 6, 2024 |
Filed by Ambac Financial Group, Inc. Exhibit 99.1 Filed by Ambac Financial Group, Inc. pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Ambac Financial Group, Inc. Commission File No.: 1-10777 Date: August 6,2024 Ambac Financial Group, Inc. – Second Quarter 2024 Earnings Call, August 6, 2024 Forward-Looking Statements In this presentation, we have included statements that may constitute “forward-look |
|
| August 6, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 6, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 5, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 5, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 5, 2024 |
Investor Presentation Second Quarter 2024 Quarterly Highlights Filed by Ambac Financial Group, Inc. |
|
| August 5, 2024 |
Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AMBAC FINANCIAL GROUP, INC. Table of Contents ARTICLE I 1 NAME 1 ARTICLE II 1 REGISTERED OFFICE AND REGISTERED AGENT 1 ARTICLE III 1 CORPORATE PURPOSE 1 ARTICLE IV 1 CAPITAL STOCK 1 ARTICLE V 4 MEETINGS 4 ARTICLE VI 4 DEFINITIONS 4 ARTICLE VII 5 DIRECTORS AND OFFICERS 5 ARTICLE VIII 6 INDEMNIFICATION OF DIRECTORS, OFFICERS AND OTHERS |
|
| August 5, 2024 |
Results of Operations by Segment Filed by Ambac Financial Group, Inc. pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Ambac Financial Group, Inc. Commission File No.: 1-10777 Date: August 5,2024 Exhibit 99.1 Ambac Reports Second Quarter 2024 Results Closes the acquisition of Beat Capital Partners NEW YORK, NY, August 5, 2024 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or |
|
| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as spe |
|
| August 2, 2024 |
Exhibit 10.2 Execution Version CREDIT AGREEMENT Dated as of August 1, 2024 among CIRRATA GROUP LLC, as a Borrower, CIRRATA V LLC, as a Borrower, CIRRATA V UK LIMITED, as a Borrower AMBAC FINANCIAL GROUP, INC., as the Parent, UBS AG, STAMFORD BRANCH as the Agent, and THE LENDERS PARTY HERETO UBS SECURITIES LLC as Lead Arranger and Bookrunner TABLE OF CONTENTS PAGE Article 1 Definitions 1 Section 1. |
|
| August 2, 2024 |
a04-076exhibit993 PRELIMINARY UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION The following preliminary unaudited pro forma combined financial information gives effect to the following transactions by Ambac Financial Group, Inc (“Ambac”), collectively the “Transactions”: • Ambac’s disposition of 100% of the common stock of Ambac Assurance Corporation (“AAC”) under the terms of a Stock Purchase Agreement dated June 4, 2024, with American Acorn Corporation (“Buyer”), a Delaware corporation owned by funds managed by Oaktree Capital Management, L. |
|
| August 2, 2024 |
a04-075exhibit992 Company registration number 10198821 (England and Wales) BEAT CAPITAL PARTNERS LIMITED UNAUDITED INTERIM REPORT AND CONDENSED CONSOLIDATED FINANCIAL STATEMENTS FOR THE PERIOD ENDED 31 MARCH 2024 AND PERIOD ENDED 31 MARCH 2023 COMPANY INFORMATION Directors M Cannan J P Cavanagh J Consolino E Lieskovska A J T Milligan M Popoli P M Rayner B Schnitzer Secretaries K Baker H Marsden S |
|
| August 2, 2024 |
a04-075exhibit991 Company registration number 10198821 (England and Wales) BEAT CAPITAL PARTNERS LIMITED ANNUAL REPORT AND CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 DECEMBER 2023 BEAT CAPITAL PARTNERS LIMITED COMPANY INFORMATION Directors M Cannan J P Cavanagh J Consolino E Lieskovska A J T Milligan M Popoli P M Rayner B Schnitzer Secretaries K Baker H Marsden S Naher Company number |
|
| August 2, 2024 |
EXECUTION VERSION CERTAIN INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT (INDICATED BY “[***]”) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
|
| August 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 1, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 2, 2024 |
Strictly Confidential EXECUTION VERSION Exhibit 10.1 CERTAIN INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT (INDICATED BY “[***]”) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. (1) THE EXISTING SHAREHOLDERS (2) CIRRATA V LLC (3) AMBAC FINANCIAL GROUP, INC. and (4) BEAT CAPITAL PARTNERS LIMITED SHAREHOLDERS' AGREEMENT relating t |
|
| August 2, 2024 |
EX-FILING FEES Exhibit 107.1 CALCULATION OF FILING FEE TABLES Schedule 14A (Form Type) Ambac Financial Group, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Proposed Maximum Aggregate Value of Transaction Fee rate Amount of Filing Fee Fees to be Paid $420,000,000(1) 0.00014760 $61,992(2) Fees Previously Paid $ — $— Total Transaction Valuation $420,00 |
|
| August 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 1, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 2, 2024 |
Ambac Completes Acquisition of Beat Capital Partners Exhibit 99.1 Ambac Completes Acquisition of Beat Capital Partners New York-(BUSINESS WIRE)— Ambac Financial Group, Inc. (“Ambac”) (NYSE: AMBC), an insurance holding company, today announced the completion of its previously disclosed acquisition of Beat Capital Partners (“Beat”), a London-based insurance underwriting and managing general agency (MGA) incubation platform. Ambac purchased a 60% contr |
|
| August 2, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| August 1, 2024 |
Exhibit 4.2 AMBAC FINANCIAL GROUP, INC. as Issuer and The Bank of New York Mellon as Trustee INDENTURE DATED AS OF August 1, 2024 Subordinated Debt Securities TABLE OF CONTENTS Page Article I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION Section 1.1 Definitions 1 Section 1.2 Compliance Certificates and Opinions 9 Section 1.3 Form of Documents Delivered to Trustee 10 Section 1.4 Acts of H |
|
| August 1, 2024 |
Amended and Restated Certificate of Incorporation of Ambac Financial Group, Inc. Exhibit 3.1 Delaware The First State Page 1 I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE RESTATED CERTIFICATE OF “AMBAC FINANCIAL GROUP, INC.”, FILED IN THIS OFFICE ON THE SEVENTH DAY OF JUNE, A.D. 2024, AT 3:18 O’CLOCK P.M. 2261651 8100 SR# 20242812412 Authentication: 203672203 Date: 06-10-24 You may verify th |
|
| August 1, 2024 |
As filed with the Securities and Exchange Commission on August 1, 2024 Table of Contents As filed with the Securities and Exchange Commission on August 1, 2024 Registration No. |
|
| August 1, 2024 |
Calculation of Filing Fee Tables. Exhibit 107.1 Calculation of Filing Fee Tables Form S-3 (Form Type) Ambac Financial Group, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Regi |
|
| August 1, 2024 |
Exhibit 4.1 AMBAC FINANCIAL GROUP, INC. as Issuer and The Bank of New York Mellon as Trustee INDENTURE DATED AS OF August 1, 2024 Senior Debt Securities TABLE OF CONTENTS Page Article I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION Section 1.1 Definitions 1 Section 1.2 Compliance Certificates and Opinions 8 Section 1.3 Form of Documents Delivered to Trustee 9 Section 1.4 Acts of Holders |
|
| August 1, 2024 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York 13-5160382 (Ju |
|
| June 13, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 13, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| June 13, 2024 |
Ambac Financial Group One World Trade Center, 41st Floor, New York, NY 10007 All Rights Reserved | 800-221-1854 | www. |
|
| June 7, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 5, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| June 5, 2024 |
Filed by Ambac Financial Group, Inc. Exhibit 99.4 Filed by Ambac Financial Group, Inc. pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Ambac Financial Group, Inc. Commission File No.: 1-10777 Date: June 5, 2024 Dear Colleagues, This morning we made two major announcements—the sale of our legacy financial guarantee business and the acquisition of a controlling stake in Beat Capital Group, a London-ba |
|
| June 5, 2024 |
EXECUTION VERSION CERTAIN INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT (INDICATED BY “[***]”) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
|
| June 5, 2024 |
Filed by Ambac Financial Group, Inc. Exhibit 99.1 Filed by Ambac Financial Group, Inc. pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Ambac Financial Group, Inc. Commission File No.: 1-10777 Date: June 5, 2024 Ambac Financial Group, Inc. to Sell Legacy Financial Guarantee Business to Funds Managed by Oaktree NEW YORK, JUNE 5, 2024-Ambac Financial Group, Inc. (“Ambac”) (NYSE: AMBC), an insurance hol |
|
| June 5, 2024 |
Filed by Ambac Financial Group, Inc. Filed by Ambac Financial Group, Inc. pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Ambac Financial Group, Inc. Commission File No.: 1-10777 Date: June 5,2024 Ambac Financial Group, Inc. – Strategic Update Call, June 5, 2024 C O R P O R A T E P A R T I C I P A N T S Charles Sebaski, Head of Investor Relations Claude LeBlanc, President, Chief Executive Officer Da |
|
| June 5, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): (June 5, 2024) Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission fi |
|
| June 5, 2024 |
CERTAIN INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT (INDICATED BY “[***]”) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
|
| June 5, 2024 |
Ambac Financial Group One World Trade Center, 41st Floor, New York, NY 10007 All Rights Reserved | 800-221-1854 | www. |
|
| June 5, 2024 |
UBS AG, STAMFORD BRANCH 600 WASHINGTON BOULEVARD STAMFORD, CONNECTICUT 06901 UBS SECURITIES LLC 1285 AVENUE OF THE AMERICAS NEW YORK, NEW YORK 10019 June 4, 2024 Cirrata V LLC One World Trade Center New York, New York 10007 Attention: David Trick Project Brio $150,000,000 Bridge Facility Commitment Letter To the addressee set forth above: You have advised UBS AG, Stamford Branch (“UBS AG” or the “Initial Lender”) and UBS Securities LLC (“UBSS”, and together with UBS AG, the “Commitment Parties”, “us” or “we”) that Cirrata V LLC, a limited liability company organized under the laws of the State of Delaware (“you”) intends to consummate the transactions described in Exhibit A hereto. |
|
| June 5, 2024 |
EXECUTION VERSION CERTAIN INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT (INDICATED BY “[***]”) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
|
| June 5, 2024 |
Exhibit 99.2 Ambac Financial Group, Inc. to Acquire Majority Stake in Beat Capital Partners Acquisition of UK Underwriting Franchise and MGA Platform Strengthens Ambac’s Position as a Leading Specialty Program Insurance Platform NEW YORK, June 5, 2024-Ambac Financial Group, Inc. (“Ambac”) (NYSE: AMBC), an insurance holding company, has signed a definitive agreement to acquire a 60% controlling sta |
|
| June 5, 2024 |
Form of Warrant Agreement to be entered into at the closing of the AAC Transaction. Final Form CERTAIN INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT (INDICATED BY “[***]”) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
|
| June 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 5, 2024 (June 4, 2024) Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file nu |
|
| June 5, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 5, 2024 (June 4, 2024) Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) |
|
| June 5, 2024 |
Form of Investor Rights Agreement to be entered into at the closing of the AAC Transaction. Final Form CERTAIN INFORMATION HAS BEEN EXCLUDED FROM THIS AGREEMENT (INDICATED BY “[***]”) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
|
| May 6, 2024 |
Exhibit 10.2 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of March 13, 2024 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”) in the form of restricted stock units. In addition to th |
|
| May 6, 2024 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of March 13, 2024 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”) in the form of restricted stock units. In addition to th |
|
| May 6, 2024 |
Exhibit 10.3 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees with Employment Agreements) Effective as of March 13, 2024 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”). This Agreement evidences |
|
| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as sp |
|
| May 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. em |
|
| May 6, 2024 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports First Quarter 2024 Results NEW YORK, NY, May 6, 2024 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported its results for the quarter ended March 31, 2024. First Quarter 2024 Highlights •Net income of $20 million or $0.43 per diluted share and Adjusted net income of $38 million or $0.82 per di |
|
| May 6, 2024 |
Exhibit 10.4 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees without Employment Agreements) Effective as of March 13, 2024 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”). This Agreement evidenc |
|
| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| April 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| April 5, 2024 |
AMBC / Ambac Financial Group, Inc. / King Theodore Walker Cheng-de - SC 13G Passive Investment SC 13G 1 d824246dsc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* AMBAC FINANCIAL GROUP, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 023139884 (CUSIP Number) April 2, 2024 (Date of Event Which Requires Filing of this Statement) Check the |
|
| February 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Reg |
|
| February 27, 2024 |
Exhibit 10.1 OFFICE OF THE COMMISSIONER OF INSURANCE (OCI) STATE OF WISCONSIN - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - In the Matter of: STIPULATION AND ORDER Ambac Assurance Corporation, Respondent. Case No. 23-C45288 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
|
| February 27, 2024 |
Power of Attorney for directors of Ambac Financial Group, Inc. Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENT, that each person whose signature appears below constitutes and appoints each of Stephen M. Ksenak and William J. White, as such person's true and lawful attorney-in-fact and agent, each with full power of substitution and resubstitution, for such person and in their name, place and stead, in any and all capacities, to sign Ambac Fin |
|
| February 27, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 22, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| February 27, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2024 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| February 27, 2024 |
Exhibit 10.38 OFFICE OF THE COMMISSIONER OF INSURANCE (OCI) STATE OF WISCONSIN - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - In the Matter of: STIPULATION AND ORDER Ambac Assurance Corporation, Respondent. Case No. 23-C45288 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
|
| February 27, 2024 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports Fourth Quarter 2023 Results NEW YORK, NY, February 27, 2024 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported its results for the fourth quarter and year ended December 31, 2023. •Net loss of $(16) million or $(0.24) per diluted share and Adjusted net income of $10 million or $0.32 per dilu |
|
| February 27, 2024 |
Ambac Financial Group, Inc. - Recoupment Policy Exhibit 97.1 Ambac Financial Group, Inc. RECOUPMENT POLICY Statement of Intent. The Board of Directors (“Board”) of Ambac Financial Group, Inc. (“Ambac”) believes that it is in the best interest of Ambac and its stockholders to encourage outstanding leadership, accountability and responsible risk-taking that benefits the long-term success of Ambac and its subsidiaries (collectively, the “Company”) |
|
| February 27, 2024 |
List of Subsidiaries of Ambac Financial Group, Inc. Exhibit 21.1 List of Subsidiaries of Ambac Financial Group, Inc. The following is a list of significant and other subsidiaries of Ambac Financial Group, Inc. The state of incorporation of each subsidiary is included in parentheses after its name. Name State of Incorporation All Trans Risk Solutions, LLC (New Jersey) Ambac Asset Management, Inc. (Delaware) Ambac Assurance Corporation (Wisconsin) Am |
|
| February 13, 2024 |
AMBC / Ambac Financial Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0245-ambacfinancialgroupin.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: Ambac Financial Group Inc Title of Class of Securities: Common Stock CUSIP Number: 023139884 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box |
|
| February 9, 2024 |
SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ambac Financial Group Inc (Name of Issuer) Common Stock (Title of Class of Securities) 023139884 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
|
| November 7, 2023 |
Exhibit 10.2 DANIEL MCGINNIS EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (“Agreement”) is entered into as of the 5th day of October 2023, by and among Ambac Financial Group, Inc., a Delaware corporation (“AFG” or the “Company”), Daniel McGinnis, an individual (the “Executive”) and solely for the limited purposes set forth in Section 24 of this Agreement, Ambac Assurance Corporation, a Wisconsin |
|
| November 7, 2023 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports Third Quarter 2023 Results NEW YORK, NY, November 7, 2023 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported its results for the third quarter ended September 30, 2023. •Net income of $66 million or $1.41 per diluted share and Adjusted net income of $94 million or $2.00 per diluted share •Le |
|
| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant a |
|
| November 7, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 7, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R. |
|
| October 6, 2023 |
R. SHARON SMITH EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (“Agreement”) is entered into as of the 5th day of October 2023, by and among Ambac Financial Group, Inc., a Delaware corporation (“AFG” or the “Company”), R. Sharon Smith, an individual (the “Executive”) and solely for the limited purposes set forth in Section 24 of this Agreement, Ambac Assurance Corporation, a Wisconsin corporation |
|
| October 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 5, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S |
|
| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as spe |
|
| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 7, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 7, 2023 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports Second Quarter 2023 Results NEW YORK, NY, August 7, 2023 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported its results for the second quarter ended June 30, 2023. •Net loss of $(13) million or $(0.29) per diluted share and Adjusted net income of $3 million or $0.07 per diluted share •Specia |
|
| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 22, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| June 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| June 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 15, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| May 9, 2023 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of March 3, 2023 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”) in the form of restricted stock units. In addition to the |
|
| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. em |
|
| May 9, 2023 |
AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees with Employment Agreements) Effective as of [Date], 2023 (the “Grant Date”), [Name] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”). This Agreement evidences the Award, which shall consist of a |
|
| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as sp |
|
| May 9, 2023 |
Results of Operations by Segment Exhibit 99.1 Ambac Reports First Quarter 2023 Results NEW YORK, NY, May 9, 2023 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported its results for the quarter ended March 31, 2023. •Net loss of $(33) million or $(0.73) per diluted share and Adjusted net loss of $(14) million or $(0.30) per diluted share •Specialty P&C |
|
| May 9, 2023 |
Exhibit 10.4 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees without Employment Agreements) Effective as of [Date], 2023 (the “Grant Date”), [Name] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”). This Agreement evidences the Award, which sh |
|
| May 9, 2023 |
Exhibit 10.2 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of March 3, 2023 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the “Incentive Plan”) in the form of restricted stock units. In addition to the |
|
| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| April 28, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on May 09, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
|
| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 3, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| March 1, 2023 |
Exhibit 10.35 Certain identified information has been excluded from the exhibit because it is both not material and is the type that the registrant treats as confidential SETTLEMENT AGREEMENT AND RELEASE This settlement agreement and release (the “Agreement”) is made as of this 29th day of December, 2022 (the “Effective Date”), by and among Ambac Assurance Corporation (“Ambac”) and Nomura Credit & |
|
| March 1, 2023 |
Exhibit 10.5 AMENDED AND RESTATED EXPENSE SHARING AND COST ALLOCATION AGREEMENT This Amended and Restated Expense Sharing and Cost Allocation Agreement (this “Agreement”), is entered into as of May 1, 2021 (the “Effective Date”) by and among Ambac Assurance Corporation, a Wisconsin stock insurance corporation (“Ambac”), Ambac Financial Group, Inc. (“AFGI”) and their respective subsidiaries and aff |
|
| March 1, 2023 |
Power of Attorney for directors of Ambac Financial Group, Inc. Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENT, that each person whose signature appears below constitutes and appoints each of Stephen M. Ksenak and William J. White, as such person's true and lawful attorney-in-fact and agent, each with full power of substitution and resubstitution, for such person and in their name, place and stead, in any and all capacities, to sign Ambac Fin |
|
| March 1, 2023 |
Amended By-Laws of Ambac Financial Group, Inc. EXHIBIT 3.2 AMENDED BY-LAWS OF AMBAC FINANCIAL GROUP, INC. ARTICLE I. OFFICES Section 1.01. Registered Office. The registered office of Ambac Financial Group, Inc. (the “Corporation”) in the State of Delaware shall be at the principal office of The Corporation Trust Company in the City of Wilmington, County of New Castle, and the registered agent in charge thereof shall be The Corporation Trust Co |
|
| March 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Reg |
|
| March 1, 2023 |
List of Subsidiaries of Ambac Financial Group, Inc. Exhibit 21.1 List of Subsidiaries of Ambac Financial Group, Inc. The following is a list of significant and other subsidiaries of Ambac Financial Group, Inc. The state of incorporation of each subsidiary is included in parentheses after its name. Name State of Incorporation All Trans Risk Solutions, LLC (New Jersey) Ambac Asset Management, Inc. (Delaware) Ambac Assurance Corporation (Wisconsin) Am |
|
| March 1, 2023 |
Exhibit 10.34 Certain identified information has been excluded from the exhibit because it is both not material and is the type that the registrant treats as confidential. SETTLEMENT AGREEMENT AND RELEASE This Settlement Agreement and Release (together with the exhibits hereto, this “Agreement” or “Settlement Agreement”) signed and effective as of October 6, 2022 (the “Execution Date”) is entered |
|
| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 28, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| February 28, 2023 |
Exhibit 99.1 Ambac Reports Fourth Quarter 2022 Results Net income of $175 million ($3.86 per diluted share) and adjusted earnings of $190 million ($4.18 per diluted share) Reduced debt and accrued interest by $1.8 billion $121 million net gain related to RMBS representation and warranty litigation settlements Specialty P&C Insurance premium production of $90 million, up 172% from fourth quarter of |
|
| February 9, 2023 |
AMBC / Ambac Financial Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0222-ambacfinancialgroupin.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7)* Name of issuer: Ambac Financial Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 023139884 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box |
|
| January 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 26, 2023 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R. |
|
| January 27, 2023 |
Amended By-Laws of Ambac Financial Group, Inc. EXHIBIT 2.1 AMENDED BY-LAWS OF AMBAC FINANCIAL GROUP, INC. ARTICLE I. OFFICES Section 1.01. Registered Office. The registered office of Ambac Financial Group, Inc. (the “Corporation”) in the State of Delaware shall be at the principal office of The Corporation Trust Company in the City of Wilmington, County of New Castle, and the registered agent in charge thereof shall be The Corporation Trust Co |
|
| January 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 29, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| November 8, 2022 |
Exhibit 99.1 Ambac Reports Third Quarter 2022 Results Net income of $340 million and adjusted earnings of $338 million $319 million gain from $1.84 billion legacy RMBS representation and warranty litigation settlement Specialty P&C Insurance Platform production of $58 million, up 76% from third quarter of 2021 Book Value and Adjusted Book Value per Share up 29% and 34%, respectively, from the prio |
|
| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant a |
|
| November 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R. |
|
| October 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 6, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S |
|
| October 7, 2022 |
Ambac Settles RMBS Litigations Against Bank of America Exhibit 99.1 FOR IMMEDIATE RELEASE Ambac Settles RMBS Litigations Against Bank of America NEW YORK, Oct. 7, 2022-Ambac Financial Group (NYSE: AMBC), a financial services holding company whose subsidiaries include Ambac Assurance Corporation (?AAC?), today announced that AAC entered into an agreement to settle all of its claims against Bank of America and related entities for $1.84 billion. This se |
|
| October 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 7, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S |
|
| August 8, 2022 |
Exhibit 99.1 Ambac Reports Second Quarter 2022 Results Growth in Specialty P&C Production and Material De-Risking of the Legacy Financial Guarantee Portfolio Advances Ambac's Strategic Priorities Net income of $5 million and adjusted earnings of $13 million Specialty P&C Insurance Platform production totaled $65 million, up 168% from second quarter of 2021 Legacy Financial Guarantee Watch List and |
|
| August 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as spe |
|
| May 26, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 26, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| May 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| May 10, 2022 |
Exhibit 10.4 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees without Employment Agreements) Effective as of February 28, 2022 (the ?Grant Date?), [[FIRSTNAME]] [[LASTNAME]] (the ?Participant?) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?). This Agreement evid |
|
| May 10, 2022 |
Exhibit 10.3 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees with Employment Agreements) Effective as of February 28, 2022 (the ?Grant Date?), [[FIRSTNAME]] [[LASTNAME]] (the ?Participant?) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?). This Agreement evidenc |
|
| May 10, 2022 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of February 28, 2022 (the ?Grant Date?), [[FIRSTNAME]] [[LASTNAME]] (the ?Participant?) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?) in the form of restricted stock units. In addition to |
|
| May 10, 2022 |
Exhibit 10.2 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of February 28, 2022 (the ?Grant Date?), [[FIRSTNAME]] [[LASTNAME]] (the ?Participant?) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?) in the form of restricted stock units. In addition to |
|
| May 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as sp |
|
| May 10, 2022 |
Exhibit 99.1 Ambac Reports First Quarter 2022 Results Significant Progress in Strategic Initiatives Net income of $2 million and adjusted earnings of $14 million, including the impact of previously announced developments related to RMBS litigation and Puerto Rico Specialty P&C insurance production totaled $69 million, up 71% from first quarter 2021 Puerto Rico principal and interest exposure reduc |
|
| April 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| March 30, 2022 |
Ambac Authorizes Share Repurchase Program Exhibit 99.1 Ambac Authorizes Share Repurchase Program NEW YORK, March 30, 2022 ? Ambac Financial Group, Inc. (NYSE: AMBC) (?Ambac? or ?AFG?), a financial services holding company, announces that its Board of Directors has approved a share repurchase program, under which Ambac may opportunistically repurchase up to $20 million of the Company?s common shares at management?s discretion over the peri |
|
| March 30, 2022 |
Regulation FD Disclosure, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 30, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| March 30, 2022 |
Exhibit 99.2 Ambac Assurance Corporation Reports Preliminary First Quarter 2022 Impact of Recent Material Developments NEW YORK, March 30, 2022 ? Ambac Financial Group, Inc. (NYSE: AMBC) (?Ambac? or ?AFG?), a financial services holding company, announces that its subsidiary, Ambac Assurance Corporation (?AAC?), has provided updates regarding the implementation of the restructuring of a significant |
|
| March 18, 2022 |
AAC Releases Statement Regarding RMBS Litigation AAC Releases Statement Regarding RMBS Litigation NEW YORK-(BUSINESS WIRE)- Ambac Financial Group, Inc. |
|
| March 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 18, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| February 24, 2022 |
Power of Attorney for directors of Ambac Financial Group, Inc. Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENT, that each person whose signature appears below constitutes and appoints each of Stephen M. Ksenak and William J. White, as such person's true and lawful attorney-in-fact and agent, each with full power of substitution and resubstitution, for such person and in their name, place and stead, in any and all capacities, to sign Ambac Fin |
|
| February 24, 2022 |
AMBAC FINANCIAL GROUP, INC. SEVERANCE PAY PLAN (Applicable to terminations occurring on or after December 16, 2021) TABLE OF CONTENTS Page ARTICLE I ? INTRODUCTION 1 ARTICLE II ? DEFINITIONS AND INTERPRETATIONS 1 ARTICLE III ? ELIGIBILITY FOR SEVERANCE 4 ARTICLE IV ? CONDITIONS ON RECEIVING SEVERANCE BENEFITS 4 ARTICLE V ? SEVERANCE BENEFITS 4 ARTICLE VI ? MISCELLANEOUS PROVISIONS 6 ARTICLE VII ? |
|
| February 24, 2022 |
List of Subsidiaries of Ambac Financial Group, Inc. Exhibit 21.1 List of Subsidiaries of Ambac Financial Group, Inc. The following is a list of significant and other subsidiaries of Ambac Financial Group, Inc. The state of incorporation of each subsidiary is included in parentheses after its name. Name State of Incorporation Ambac Asset Management, Inc. (Delaware) Ambac Assurance Corporation (Wisconsin) Ambac Assurance UK Limited (United Kingdom In |
|
| February 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-10777 AMBAC FINANC |
|
| February 24, 2022 |
Ambac Reports Fourth Quarter 2021 Results Exhibit 99.1 Ambac Reports Fourth Quarter 2021 Results NEW YORK, NY, February 24, 2022 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported a net loss attributable to common stockholders of $22 million or $0.42(1) per diluted share and an adjusted loss(2) of $10 million or $0.16 per diluted share for the quarter ended D |
|
| February 24, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 24, 2022 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| February 9, 2022 |
AMBC / Ambac Financial Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: Ambac Financial Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 023139884 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is f |
|
| November 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 23, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| November 8, 2021 |
Ambac Reports Third Quarter 2021 Results Exhibit 99.1 Ambac Reports Third Quarter 2021 Results NEW YORK, NY, November 8, 2021 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG"), a financial services holding company, today reported net income attributable to common stockholders of $17 million or $0.35(1) per diluted share and adjusted income(2) of $25 million or $0.53 per diluted share for the quarter ended Sept |
|
| November 8, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R. |
|
| November 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant a |
|
| August 5, 2021 |
Ambac Reports Second Quarter 2021 Results Exhibit 99.1 Ambac Reports Second Quarter 2021 Results NEW YORK, NY, August 5, 2021 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac" or "AFG")), a financial services holding company, today reported a net loss attributable to common stockholders of $29 million or $0.63(1) per diluted share and adjusted loss(2) of $13 million or $0.30 per diluted share for the quarter ended June 3 |
|
| August 5, 2021 |
Exhibit 99.1 Ambac Appoints Lisa G. Iglesias to Its Board of Directors NEW YORK, NY, August 4, 2021 - Ambac Financial Group, Inc. (the ?Company?) (NYSE: AMBC), a financial services holding company, announced the appointment of Lisa G. Iglesias as a member of its Board of Directors, effective today. Ms. Iglesias will be a member of the Board?s Audit Committee. The Company also announced that Alexan |
|
| August 5, 2021 |
Form of Quarterly Non-Executive Director RSU Award Agreement Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT <[Insert Name]> (the ?Participant?) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Plan?) in the form of restricted stock units (the ?Award?). The Award shall be effective as of <[Insert Date]> (the ?Grant Date?). The Award shall be subject to the following ter |
|
| August 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as spe |
|
| July 6, 2021 |
Exhibit 4.1 Execution Copy SITKA HOLDINGS, LLC as Issuer and THE BANK OF NEW YORK MELLON as Trustee and Note Collateral Agent INDENTURE DATED AS OF JULY 6, 2021 PROVIDING FOR THE ISSUANCE OF FLOATING RATE SENIOR SECURED NOTES TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION Section 101. Definitions 1 Section 102. Other Definitions 15 Section 103. Rules of Co |
|
| July 6, 2021 |
Ambac Closes Senior Secured Note Offering Exhibit 99.1 Ambac Closes Senior Secured Note Offering NEW YORK, NY, July 6, 2021 (BUSINESS WIRE) ? Ambac Financial Group, Inc. (NYSE: AMBC) (?Ambac?), a financial services holding company, today announced that its newly formed special purpose entity, Sitka Holdings, LLC (?Sitka? or the ?Issuer?), has closed its previously announced offering of its LIBOR plus 4.50% Floating Rate Senior Secured Not |
|
| July 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 6, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| July 6, 2021 |
Financial Guaranty Insurance Policy, dated July 6, 2021, issued by Ambac Assurance Corporation Exhibit 10.2 Home Office: Administrative Office: Ambac Assurance Corporation c/o CT Corporation Systems 44 East Mifflin Street Madison, Wisconsin 53703 Ambac Assurance Corporation One World Trade Center New York, New York 10007 Telephone: (212) 668-0340 Financial Guaranty Insurance Policy Policy Number: SF0959BE Obligor: Sitka Holdings, LLC, a Cayman Islands limited liability company, as the issue |
|
| July 6, 2021 |
Exhibit 10.1 Execution Copy COLLATERAL AGREEMENT made by SITKA HOLDINGS, LLC, in favor of THE BANK OF NEW YORK MELLON as Note Collateral Agent and Trustee DATED AS OF July 6, 2021 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS Section 1.1 Definitions 1 Section 1.2 Other Definitional Provisions 3 ARTICLE II GRANT OF SECURITY INTEREST Section 2.1 Grant 4 Section 2.2 Excluded Assets 5 Section 2.3 Est |
|
| July 6, 2021 |
Exhibit 4.3 Execution Copy PROMISSORY NOTE AND SECURITY AGREEMENT Amount: New York, New York $1,175,000,000 July 6, 2021 FOR VALUE RECEIVED, the undersigned, Ambac Assurance Corporation, a Wisconsin-domiciled insurance company (the ?Ambac Note Issuer?), hereby promises to pay to Sitka Holdings, LLC, a Cayman Islands limited liability company (together with its successors or assigns, the ?Holder?), |
|
| June 30, 2021 |
Executive Stock Deferral Plan dated June 24, 2021 Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. EXECUTIVE STOCK DEFERRAL PLAN The purpose of this Ambac Financial Group, Inc. Executive Stock Deferral Plan is to provide Eligible Executives of the Company and its Subsidiaries with the opportunity to defer the receipt of RSUs and PSUs granted to them by the Company. Article I Definitions Section 1.1.?Account? shall mean a bookkeeping record of the accumul |
|
| June 30, 2021 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 24, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| June 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 25, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| June 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 24, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| May 26, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 25, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| May 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 25, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| May 10, 2021 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of March 8, 2021 (the ?Grant Date?), [[FIRSTNAME]] [[LASTNAME]] (the ?Participant?) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?) in the form of restricted stock units. In addition to the |
|
| May 10, 2021 |
Stock Unit Award Agreement between Ambac Financial Group, Inc. and Exhibit 10.2 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of March 8, 2021 (the ?Grant Date?), [[FIRSTNAME]] [[LASTNAME]] (the ?Participant?) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?) in the form of restricted stock units. In addition to the |
|
| May 10, 2021 |
Ambac Reports First Quarter 2021 Results Exhibit 99.1 Ambac Reports First Quarter 2021 Results NEW YORK, NY, May 10, 2021 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac"), a financial services holding company, today reported Net Income attributable to common stockholders of $17 million or $0.08(1) per diluted share and Adjusted Earnings(2) of $41 million or $0.59 per diluted share for the quarter ended March 31, 2021. |
|
| May 10, 2021 |
Exhibit 10.4 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees without Employment Agreements) Effective as of [Date], 2021 (the ?Grant Date?), [Name] (the ?Participant?) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?). This Agreement evidences the Award, which sh |
|
| May 10, 2021 |
Exhibit 10.3 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees with Employment Agreements) Effective as of [Date], 2021 (the ?Grant Date?), [Name] (the ?Participant?) has been granted an Award under the Ambac Financial Group, Inc. 2020 Incentive Compensation Plan (the ?Incentive Plan?). This Agreement evidences the Award, which shall |
|
| May 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| May 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as sp |
|
| April 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| April 12, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5)* Name of issuer: Ambac Financial Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 023139884 Date of Event Which Requires Filing of this Statement: March 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is file |
|
| March 1, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 1, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| March 1, 2021 |
Power of Attorney for directors of Ambac Financial Group, Inc. Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENT, that each person whose signature appears below constitutes and appoints each of Stephen M. Ksenak and William J. White, as such person's true and lawful attorney-in-fact and agent, each with full power of substitution and resubstitution, for such person and in their name, place and stead, in any and all capacities, to sign Ambac Fin |
|
| March 1, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-10777 AMBAC FINANC |
|
| March 1, 2021 |
Ambac Reports Fourth Quarter 2020 Results Exhibit 99.1 Ambac Reports Fourth Quarter 2020 Results ?Net Loss of $14 million or $0.31 per diluted share and Adjusted Earnings(1) of $4 million or $0.08 per diluted share for the Quarter Ended December 31, 2020 ?Book Value per Share increased $0.98 to $23.57 and Adjusted Book Value per Share increased $0.61 to $20.05 from September 30, 2020 to December 31, 2020 NEW YORK, NY, March 1, 2021 (BUSIN |
|
| March 1, 2021 |
List of Subsidiaries of Ambac Financial Group, Inc. Exhibit 21.1 List of Subsidiaries of Ambac Financial Group, Inc. The following is a list of significant and other subsidiaries of Ambac Financial Group, Inc. The state of incorporation of each subsidiary is included in parentheses after its name. Name State of Incorporation Ambac Asset Management, Inc. (Delaware) Ambac Assurance Corporation (Wisconsin) Ambac Assurance UK Limited (United Kingdom In |
|
| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 4)* Name of issuer: Ambac Financial Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 023139884 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is f |
|
| January 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 19, 2021 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R. |
|
| December 31, 2020 |
Regulation FD Disclosure - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 31, 2020 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| December 28, 2020 |
Regulation FD Disclosure - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 23, 2020 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| December 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 23, 2020 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R |
|
| November 9, 2020 |
Ambac Reports Third Quarter 2020 Results Exhibit 99.1 Ambac Reports Third Quarter 2020 Results NEW YORK, NY, November 9, 2020 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac"), a financial services holding company whose subsidiaries include run-off financial guarantors, Ambac Assurance Corporation ("AAC") and Ambac Assurance UK Limited ("Ambac UK"), today reported a Net Loss attributable to common stockholders of $108 |
|
| November 9, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 9, 2020 Ambac Financial Group, Inc. (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R. |
|
| November 9, 2020 |
Exhibit 10.2 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees with Employment Agreements) Effective as of [Date], 2020 (the “Grant Date”), [Name] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. Incentive Compensation Plan (the “Incentive Plan”). This Agreement evidences the Award, which shall cons |
|
| November 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant a |
|
| November 9, 2020 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of [[GRANTDATE]] (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. Incentive Compensation Plan (the “Incentive Plan”) and in accordance with the Ambac Financial Group, Inc. Long-Te |
|
| August 12, 2020 |
As filed with the Securities and Exchange Commission on August 12, 2020 File No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as specified in its charter) Delaware 13-3621676 (State of incorporation) (I.R.S. employer identification no.) One World Tr |
|
| August 12, 2020 |
As filed with the Securities and Exchange Commission on August 12, 2020 File No. 333-195913 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-195913 UNDER THE SECURITIES ACT OF 1933 AMBAC FINANCIAL GROUP, INC. (Exact name of Registrant as specified in its charter) Delaware 13-3621676 (State of incorpora |
|
| August 6, 2020 |
Exhibit 10.2 Amended and Restated EMPLOYMENT AGREEMENT This Amended and Restated EMPLOYMENT AGREEMENT (“Agreement”) is entered into as of the 3rd day of August, 2020, by and among Ambac Financial Group, Inc., a Delaware corporation (“AFG”), Ambac Assurance Corporation, a Wisconsin corporation (“AAC” and, along with AFG, the “Company”, as applicable) and Claude LeBlanc, an individual (the “Executiv |
|
| August 6, 2020 |
Ambac Reports Second Quarter 2020 Results EX-99.1 2 a03-0282q20ex991ambcpr.htm EXHIBIT 99.1 Exhibit 99.1 Ambac Reports Second Quarter 2020 Results NEW YORK, NY, August 6, 2020 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac"), a financial services holding company whose subsidiaries include run-off financial guarantee businesses, Ambac Assurance Corporation ("AAC") and Ambac Assurance UK Limited ("Ambac UK"), today repor |
|
| August 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP INC Exact name of Registrant as specif |
|
| August 6, 2020 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AND STOCK OPTION AGREEMENT <[Insert Name]> (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. 2013 Incentive Compensation Plan (the “Plan”) in the form of restricted stock units (the “Award”). The Award shall be effective as of April 30, 2020 (the “Grant Date”). The Award shall be subject to t |
|
| August 6, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 6, 2020 Ambac Financial Group Inc (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. e |
|
| June 3, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 2, 2020 Ambac Financial Group Inc (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. emp |
|
| May 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| May 11, 2020 |
Ambac Reports First Quarter 2020 Results Exhibit 99.1 Ambac Reports First Quarter 2020 Results NEW YORK, NY, May 11, 2020 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac"), a financial services holding company whose subsidiaries include Ambac Assurance Corporation ("AAC") and Ambac Assurance UK Limited ("Ambac UK"), guarantors of financial obligations in run-off, today reported a Net Loss attributable to common stockho |
|
| May 11, 2020 |
Exhibit 10.3 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees with Employment Agreements) Effective as of [Date], 2020 (the “Grant Date”), [Name] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. Incentive Compensation Plan (the “Incentive Plan”). This Agreement evidences the Award, which shall cons |
|
| May 11, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 11, 2020 Ambac Financial Group Inc (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. emp |
|
| May 11, 2020 |
Exhibit 10.4 AMBAC FINANCIAL GROUP, INC. PERFORMANCE STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD (Employees without Employment Agreements) Effective as of [Date], 2020 (the “Grant Date”), [Name] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. Incentive Compensation Plan (the “Incentive Plan”). This Agreement evidences the Award, which shall c |
|
| May 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-10777 AMBAC FINANCIAL GROUP INC Exact name of Registrant as speci |
|
| May 11, 2020 |
Exhibit 10.2 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of [[GRANTDATE]] (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. Incentive Compensation Plan (the “Incentive Plan”) and in accordance with the Ambac Financial Group, Inc. Long-Te |
|
| May 11, 2020 |
Exhibit 10.1 AMBAC FINANCIAL GROUP, INC. RESTRICTED STOCK UNIT AGREEMENT FOR LONG-TERM INCENTIVE COMPENSATION AWARD Effective as of [[GRANTDATE]] (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted a Full Value Award under the Ambac Financial Group, Inc. Incentive Compensation Plan (the “Incentive Plan”) and in accordance with the Ambac Financial Group, Inc. Long-Te |
|
| May 8, 2020 |
AMBC / Ambac Financial Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Ambac Financial Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 023139884 Date of Event Which Requires Filing of this Statement: April 30, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is file |
|
| April 15, 2020 |
2020 Incentive Compensation Plan Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitte |
|
| March 2, 2020 |
SUBLEASE Between ADVANCE MAGAZINE PUBLISHERS INC. D/B/A CONDÉ NAST, Sublandlord And AMBAC ASSURANCE CORPORATION, Subtenant Premises: The Entire 41st Floor One World Trade Center New York, New York 989009/Jan 16th revisions Clean cc AMBAC WEIL:\96891714\1\13803.0006 Table of Contents Page 1. Demise; Term 1 2. Fixed Rent. 3 3. Additional Rent 4 4. Use 6 5. Quiet Enjoyment 6 6. Services ………………………………… |
|
| March 2, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 2, 2020 Ambac Financial Group Inc (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. em |
|
| March 2, 2020 |
List of Subsidiaries of Ambac Financial Group, Inc. Exhibit 21.1 List of Subsidiaries of Ambac Financial Group, Inc. The following is a list of significant and other subsidiaries of Ambac Financial Group, Inc. The state of incorporation of each subsidiary is included in parentheses after its name. Name State of Incorporation Ambac Asset Management, Inc. (Delaware) Ambac Assurance Corporation (Wisconsin) Ambac Assurance UK Limited (United Kingdom In |
|
| March 2, 2020 |
Power of Attorney for directors of Ambac Financial Group, Inc. EX-24.1 8 a01-008ex241x4q1910k.htm EXHIBIT 24.1 Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENT, that each person whose signature appears below constitutes and appoints each of Stephen M. Ksenak and William J. White, as his true and lawful attorney-in-fact and agent, each with full power of substitution and resubstitution, for him and in his name, place and stead, in any and all c |
|
| March 2, 2020 |
Ambac Reports Fourth Quarter 2019 Results EXHIBIT 99.1 Ambac Reports Fourth Quarter 2019 Results NEW YORK, NY, March 2, 2020 (BUSINESS WIRE) - Ambac Financial Group, Inc. (NYSE: AMBC) ("Ambac"), a financial services holding company whose subsidiaries include Ambac Assurance Corporation ("AAC") and Ambac Assurance UK Limited ("Ambac UK"), guarantors of financial obligations in run-off , today reported a Net Loss attributable to common stoc |
|
| March 2, 2020 |
Exhibit 10-21 AMBAC FINANCIAL GROUP, INC. LONG-TERM INCENTIVE COMPENSATION AGREEMENT (Executive Officers without Employment Agreements) Effective as of March 2, 2017 (the “Grant Date”), [[FIRSTNAME]] [[LASTNAME]] (the “Participant”) has been granted an Award under the Ambac Financial Group, Inc. Incentive Compensation Plan (the “Incentive Plan”) and in accordance with the Ambac Financial Group, In |
|
| March 2, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-10777 AMBAC FINANC |
|
| March 2, 2020 |
Exhibit 10.46 Amended and Restated EMPLOYMENT AGREEMENT This Amended and Restated EMPLOYMENT AGREEMENT (“Agreement”) is entered into as of the 27th day of February, 2020, by and among Ambac Financial Group, Inc., a Delaware corporation (“AFG”), Ambac Assurance Corporation, a Wisconsin corporation (“AAC” and, along with AFG, the “Company”, as applicable) and Claude LeBlanc, an individual (the “Exec |
|
| March 2, 2020 |
Exhibit 3.2 AMENDED BY-LAWS OF AMBAC FINANCIAL GROUP, INC. ARTICLE I OFFICES Section 1.01. Registered Office. The registered office of Ambac Financial Group, Inc. (the "Corporation") in the State of Delaware shall be at the principal office of The Corporation Trust Company in the City of Wilmington, County of New Castle, and the registered agent in charge thereof shall be The Corporation Trust Com |
|
| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)1 Ambac Financial Group, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 023139 88 4 (CUSIP Num |
|
| February 12, 2020 |
AMBC / Ambac Financial Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Ambac Financial Group Inc Title of Class of Securities: Common Stock CUSIP Number: 023139884 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
|
| February 3, 2020 |
AMBC / Ambac Financial Group, Inc. 25 - - 25 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0080 Washington, D. |
|
| February 3, 2020 |
AMBC / Ambac Financial Group, Inc. 25 - - 25 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0080 Washington, D. |
|
| January 30, 2020 |
AMBC / Ambac Financial Group, Inc. 8-A12B - - 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 AMBAC FINANCIAL GROUP, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 13-3621676 (State or Other Jurisdiction of (I.R.S. Employer Incorporation or Organization) Identificati |
|
| January 23, 2020 |
Ambac to Transfer Listing to NYSE Exhibit 99.1 Ambac to Transfer Listing to NYSE New York, NY, January 22, 2020 (GLOBE NEWSWIRE) - Ambac Financial Group, Inc. (Nasdaq: AMBC) ("Ambac"), a financial services holding company whose subsidiary includes Ambac Assurance Corporation ("AAC"), a run-off financial guaranty insurance company that guarantees public finance and structured finance obligations, today announced that it is transfer |
|
| January 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 22, 2020 Ambac Financial Group Inc (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| November 7, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 7, 2019 Ambac Financial Group Inc (Exact name of Registrant as specified in its charter) Delaware 1-10777 13-3621676 (State of incorporation) (Commission file number) (I.R.S. |
|
| November 7, 2019 |
Ambac Reports Third Quarter 2019 Results EXHIBIT 99.1 Ambac Reports Third Quarter 2019 Results • Net Income of $66.1 million or $1.41 per diluted share for the Quarter Ended September 30, 2019 and an increase in Book Value per Share of $1.66 to $34.44 at September 30, 2019 from June 30, 2019. Third quarter net income was driven by a $142.2 million gain from the previously reported SEC-Citigroup settlement • Adjusted Earnings(1) of $76.8 |
