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OCTAVE SPECIALTY GROUP INC

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6308
SEC CIK
0000874501
Parsed reports
479

Last 12 months

Inside the activity.

2 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202610
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
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Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 02, 2021 Filed Jan 4, 2021 21:11 UTC
BARRANCO DAVIDSenior Managing Director
Exercise / conversionRestricted Stock Units · Derivative 5,803 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000012 · wf-form4_160979465597263.xml · derivative · entry 3

BARRANCO DAVID · CIK 0001562313 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,217

Underlying: Common Stock · 5,803 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:11 UTC
BARRANCO DAVIDSenior Managing Director
Tax withholdingCommon Stock 3,148 $15.38 $48,416.24
Disclosure

SEC source: 0000874501-21-000012 · wf-form4_160979465597263.xml · nonDerivative · entry 2

BARRANCO DAVID · CIK 0001562313 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,909

F2 · shares: Represents the aggregate amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:11 UTC
BARRANCO DAVIDSenior Managing Director
Exercise / conversionCommon Stock 5,803 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000012 · wf-form4_160979465597263.xml · nonDerivative · entry 1

BARRANCO DAVID · CIK 0001562313 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,057

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:09 UTC Exercise / conversionRestricted Stock Units · Derivative 2,786 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000010 · wf-form4_160979455998675.xml · derivative · entry 3

Eisman Robert Bryan · CIK 0001477761 · Sr. MD & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,909

Underlying: Common Stock · 2,786 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:09 UTC Tax withholdingCommon Stock 1,465 $15.38 $22,531.70
Disclosure

SEC source: 0000874501-21-000010 · wf-form4_160979455998675.xml · nonDerivative · entry 2

Eisman Robert Bryan · CIK 0001477761 · Sr. MD & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,468

F2 · shares: Represents the aggregate amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:09 UTC Exercise / conversionCommon Stock 2,786 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000010 · wf-form4_160979455998675.xml · nonDerivative · entry 1

Eisman Robert Bryan · CIK 0001477761 · Sr. MD & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,933

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:07 UTC
Smith R SharonSenior Managing Director
Exercise / conversionRestricted Stock Units · Derivative 4,752 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000008 · wf-form4_160979446457411.xml · derivative · entry 3

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,525

Underlying: Common Stock · 4,752 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:07 UTC
Smith R SharonSenior Managing Director
Tax withholdingCommon Stock 2,602 $15.38 $40,018.76
Disclosure

SEC source: 0000874501-21-000008 · wf-form4_160979446457411.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,805

F2 · shares: Represents the aggregate amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:07 UTC
Smith R SharonSenior Managing Director
Exercise / conversionCommon Stock 4,752 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000008 · wf-form4_160979446457411.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,407

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:06 UTC
Ksenak Stephen MichaelSr. MD & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 4,966 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000006 · wf-form4_160979435610129.xml · derivative · entry 3

Ksenak Stephen Michael · CIK 0001527850 · Sr. MD & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,136

Underlying: Common Stock · 4,966 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Company's common stock.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:06 UTC
Ksenak Stephen MichaelSr. MD & General Counsel
Tax withholdingCommon Stock 2,676 $15.38 $41,156.88
Disclosure

SEC source: 0000874501-21-000006 · wf-form4_160979435610129.xml · nonDerivative · entry 2

Ksenak Stephen Michael · CIK 0001527850 · Sr. MD & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,436

F2 · shares: Represents the aggregate amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:06 UTC
Ksenak Stephen MichaelSr. MD & General Counsel
Exercise / conversionCommon Stock 4,966 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000006 · wf-form4_160979435610129.xml · nonDerivative · entry 1

Ksenak Stephen Michael · CIK 0001527850 · Sr. MD & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,112

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:04 UTC
Trick DavidExec VP, CFO & Treasurer
Exercise / conversionRestricted Stock Units · Derivative 6,230 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000004 · wf-form4_160979423448008.xml · derivative · entry 3

Trick David · CIK 0001480597 · Exec VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,808

Underlying: Common Stock · 6,230 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:04 UTC
Trick DavidExec VP, CFO & Treasurer
Tax withholdingCommon Stock 3,382 $15.38 $52,015.16
Disclosure

SEC source: 0000874501-21-000004 · wf-form4_160979423448008.xml · nonDerivative · entry 2

Trick David · CIK 0001480597 · Exec VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,252

F2 · shares: Represents the aggregate amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:04 UTC
Trick DavidExec VP, CFO & Treasurer
Exercise / conversionCommon Stock 6,230 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000004 · wf-form4_160979423448008.xml · nonDerivative · entry 1

Trick David · CIK 0001480597 · Exec VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,634

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:02 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 28,549 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000002 · wf-form4_160979412827577.xml · derivative · entry 3

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,217

Underlying: Common Stock · 28,549 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:02 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Tax withholdingCommon Stock 11,395 $15.38 $175,255.10
Disclosure

SEC source: 0000874501-21-000002 · wf-form4_160979412827577.xml · nonDerivative · entry 2

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,614

F2 · shares: Represents the aggregate amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
January 02, 2021 Filed Jan 4, 2021 21:02 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Exercise / conversionCommon Stock 28,549 $0.00 $0.00
Disclosure

SEC source: 0000874501-21-000002 · wf-form4_160979412827577.xml · nonDerivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,009

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:31 UTC
Trick DavidExec VP, CFO & Treasurer
Exercise / conversionRestricted Stock Units · Derivative 6,244 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000104 · wf-form4_159000670027194.xml · derivative · entry 3

Trick David · CIK 0001480597 · Exec VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,038

Underlying: Common Stock · 6,244 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: On May 18, 2020 there were 6,244 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On May 18, 2020 there were 6,244 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:31 UTC
Trick DavidExec VP, CFO & Treasurer
Tax withholdingCommon Stock 2,910 $13.69 $39,837.90
Disclosure

SEC source: 0000874501-20-000104 · wf-form4_159000670027194.xml · nonDerivative · entry 2

Trick David · CIK 0001480597 · Exec VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,404

F2 · shares: Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:31 UTC
Trick DavidExec VP, CFO & Treasurer
Exercise / conversionCommon Stock 6,244 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000104 · wf-form4_159000670027194.xml · nonDerivative · entry 1

Trick David · CIK 0001480597 · Exec VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,314

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On May 18, 2020 there were 6,244 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:29 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 26,267 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000102 · wf-form4_159000656160331.xml · derivative · entry 3

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,766

Underlying: Common Stock · 26,267 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: On May 18, 2020 there were 26,267 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On May 18, 2020 there were 26,267 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:29 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Tax withholdingCommon Stock 13,362 $13.69 $182,925.78
Disclosure

SEC source: 0000874501-20-000102 · wf-form4_159000656160331.xml · nonDerivative · entry 2

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,460

F2 · shares: Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:29 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Exercise / conversionCommon Stock 26,267 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000102 · wf-form4_159000656160331.xml · nonDerivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,822

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On May 18, 2020 there were 26,267 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:27 UTC Exercise / conversionRestricted Stock Units · Derivative 2,502 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000100 · wf-form4_159000644594789.xml · derivative · entry 3

Eisman Robert Bryan · CIK 0001477761 · Sr. MD & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,695

Underlying: Common Stock · 2,502 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: On May 18, 2020 there were 2,502 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On May 18, 2020 there were 2,502 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:27 UTC Tax withholdingCommon Stock 791 $13.69 $10,828.79
Disclosure

SEC source: 0000874501-20-000100 · wf-form4_159000644594789.xml · nonDerivative · entry 2

Eisman Robert Bryan · CIK 0001477761 · Sr. MD & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,147

F2 · shares: Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:27 UTC Exercise / conversionCommon Stock 2,502 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000100 · wf-form4_159000644594789.xml · nonDerivative · entry 1

Eisman Robert Bryan · CIK 0001477761 · Sr. MD & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,938

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On May 18, 2020 there were 2,502 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:25 UTC
Smith R SharonSenior Managing Director
Exercise / conversionRestricted Stock Units · Derivative 3,753 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000098 · wf-form4_159000633682428.xml · derivative · entry 3

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,277

Underlying: Common Stock · 3,753 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: On May 18, 2020 there were 3,753 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On May 18, 2020 there were 3,753 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:25 UTC
Smith R SharonSenior Managing Director
Tax withholdingCommon Stock 1,186 $13.69 $16,236.34
Disclosure

SEC source: 0000874501-20-000098 · wf-form4_159000633682428.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,655

F2 · shares: Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:25 UTC
Smith R SharonSenior Managing Director
Exercise / conversionCommon Stock 3,753 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000098 · wf-form4_159000633682428.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,841

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On May 18, 2020 there were 3,753 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:23 UTC
REILLY MICHAEL FRANCISSenior Managing Director
Exercise / conversionRestricted Stock Units · Derivative 2,502 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000096 · wf-form4_159000620890657.xml · derivative · entry 3

REILLY MICHAEL FRANCIS · CIK 0001562285 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,341

Underlying: Common Stock · 2,502 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: On May 18, 2020 there were 2,502 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On May 18, 2020 there were 2,502 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:23 UTC
REILLY MICHAEL FRANCISSenior Managing Director
Tax withholdingCommon Stock 791 $13.69 $10,828.79
Disclosure

SEC source: 0000874501-20-000096 · wf-form4_159000620890657.xml · nonDerivative · entry 2

REILLY MICHAEL FRANCIS · CIK 0001562285 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,619

F2 · shares: Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:23 UTC
REILLY MICHAEL FRANCISSenior Managing Director
Exercise / conversionCommon Stock 2,502 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000096 · wf-form4_159000620890657.xml · nonDerivative · entry 1

REILLY MICHAEL FRANCIS · CIK 0001562285 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,410

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On May 18, 2020 there were 2,502 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

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May 18, 2020 Filed May 20, 2020 20:21 UTC
BARRANCO DAVIDSenior Managing Director
Exercise / conversionRestricted Stock Units · Derivative 3,753 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000094 · wf-form4_159000609659421.xml · derivative · entry 3

BARRANCO DAVID · CIK 0001562313 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,020

Underlying: Common Stock · 3,753 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: On May 18, 2020 there were 3,753 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On May 18, 2020 there were 3,753 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:21 UTC
BARRANCO DAVIDSenior Managing Director
Tax withholdingCommon Stock 1,186 $13.69 $16,236.34
Disclosure

SEC source: 0000874501-20-000094 · wf-form4_159000609659421.xml · nonDerivative · entry 2

BARRANCO DAVID · CIK 0001562313 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,254

F2 · shares: Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:21 UTC
BARRANCO DAVIDSenior Managing Director
Exercise / conversionCommon Stock 3,753 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000094 · wf-form4_159000609659421.xml · nonDerivative · entry 1

BARRANCO DAVID · CIK 0001562313 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,440

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On May 18, 2020 there were 3,753 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:19 UTC
Ksenak Stephen MichaelSr. MD & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 5,004 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000092 · wf-form4_159000597826671.xml · derivative · entry 3

Ksenak Stephen Michael · CIK 0001527850 · Sr. MD & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,102

Underlying: Common Stock · 5,004 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the common stock the Company.

F1 · derivative.exercise_date: On May 18, 2020 there were 5,004 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On May 18, 2020 there were 5,004 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 18, 2020 Filed May 20, 2020 20:19 UTC
Ksenak Stephen MichaelSr. MD & General Counsel
Tax withholdingCommon Stock 1,746 $13.69 $23,902.74
Disclosure

SEC source: 0000874501-20-000092 · wf-form4_159000597826671.xml · nonDerivative · entry 2

Ksenak Stephen Michael · CIK 0001527850 · Sr. MD & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,146

F2 · shares: Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
May 18, 2020 Filed May 20, 2020 20:19 UTC
Ksenak Stephen MichaelSr. MD & General Counsel
Exercise / conversionCommon Stock 5,004 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000092 · wf-form4_159000597826671.xml · nonDerivative · entry 1

Ksenak Stephen Michael · CIK 0001527850 · Sr. MD & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,892

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On May 18, 2020 there were 5,004 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
May 13, 2020 Filed May 14, 2020 20:04 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
PurchaseCommon Stock 8,425 $11.75 $98,993.75
Disclosure

SEC source: 0000874501-20-000090 · wf-form4_158948664304366.xml · nonDerivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,555

Read SEC document
April 30, 2020 Filed May 1, 2020 20:18 UTC GrantRestricted Stock Units · Derivative 11,628 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000074 · wf-form4_158836430912416.xml · derivative · entry 1

Stein Jeffrey Scott · CIK 0001559518 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,094

Underlying: Common Stock · 11,628 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

Read SEC document
April 30, 2020 Filed May 1, 2020 20:20 UTC GrantRestricted Stock Units · Derivative 11,628 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000076 · wf-form4_158836442979191.xml · derivative · entry 1

HAFT IAN DAVID · CIK 0001573787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,208

Underlying: Common Stock · 11,628 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

Read SEC document
April 30, 2020 Filed May 1, 2020 20:16 UTC GrantRestricted Stock Units · Derivative 11,628 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000072 · wf-form4_158836418749264.xml · derivative · entry 1

LAMMTENNANT JOAN M · CIK 0001208239 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,277

Underlying: Common Stock · 11,628 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

Read SEC document
April 30, 2020 Filed May 1, 2020 20:14 UTC GrantRestricted Stock Units · Derivative 11,628 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000070 · wf-form4_158836407328764.xml · derivative · entry 1

Greene Alexander David · CIK 0001609373 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,452

Underlying: Common Stock · 11,628 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

Read SEC document
April 30, 2020 Filed May 1, 2020 20:10 UTC GrantRestricted Stock Units · Derivative 11,628 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000066 · wf-form4_158836380645066.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,208

Underlying: Common Stock · 11,628 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

Read SEC document
April 30, 2020 Filed May 1, 2020 20:12 UTC GrantRestricted Stock Units · Derivative 11,628 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000068 · wf-form4_158836393096826.xml · derivative · entry 1

PRIEUR C JAMES · CIK 0001244204 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,818

Underlying: Common Stock · 11,628 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2020 shall vest one year later on April 30, 2021. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

Read SEC document
March 04, 2020 Filed Mar 6, 2020 21:18 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 41,346 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000058 · wf-form4_158352951626168.xml · derivative · entry 4

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,033

Underlying: Common Stock · 41,346 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.

F5 · derivative.exercise_date: On March 4, 2020 the reporting person received a grant of 41,346 RSUs as part of his 2020 Long Term Incentive Plan award. The RSUs will vest in three equal installments commencing January 2, 2021, January 2, 2022, and January 2, 2023.

F5 · derivative.expiration_date: On March 4, 2020 the reporting person received a grant of 41,346 RSUs as part of his 2020 Long Term Incentive Plan award. The RSUs will vest in three equal installments commencing January 2, 2021, January 2, 2022, and January 2, 2023.

Read SEC document
March 04, 2020 Filed Mar 6, 2020 21:18 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Exercise / conversionDeferred Share Units · Derivative 9,342 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000058 · wf-form4_158352951626168.xml · derivative · entry 3

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,342

Underlying: Common Stock · 9,342 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each DSU represents a contingent right to receive one share of the Company's common stock.

F1 · derivative.exercise_date: On March 4, 2020, there were 9,342 deferred share units ("DSUs") that settled, and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On March 4, 2020, there were 9,342 deferred share units ("DSUs") that settled, and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document
March 04, 2020 Filed Mar 6, 2020 21:18 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Tax withholdingCommon Stock 4,752 $19.50 $92,664.00
Disclosure

SEC source: 0000874501-20-000058 · wf-form4_158352951626168.xml · nonDerivative · entry 2

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,130

F2 · shares: Represents DSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

Read SEC document
March 04, 2020 Filed Mar 6, 2020 21:18 UTC
LeBlanc ClaudeDirector · Chief Executive Officer
Exercise / conversionCommon Stock 9,342 $0.00 $0.00
Disclosure

SEC source: 0000874501-20-000058 · wf-form4_158352951626168.xml · nonDerivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,882

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On March 4, 2020, there were 9,342 deferred share units ("DSUs") that settled, and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.