OSG

SEC source: 0001628280-26-015349 · wk-form4_1772748865.xml · derivative · entry 4

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,543

Underlying: Common Stock · 22,582 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.

F5 · derivative.exercise_price: Each deferred share unit ("DSU") represents a contingent right to receive one share of common stock of the Company.

F6 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of RSU and Performance Stock Unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F6 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of RSU and Performance Stock Unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0001628280-26-015349 · wk-form4_1772748865.xml · derivative · entry 3

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 466,487

Underlying: Common Stock · 47,130 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.

F4 · derivative.exercise_date: Represents the aggregate amount of RSUs that vested.

F4 · derivative.expiration_date: Represents the aggregate amount of RSUs that vested.

SEC source: 0001628280-26-015349 · wk-form4_1772748865.xml · nonDerivative · entry 2

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,047,631

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.

SEC source: 0001628280-26-015349 · wk-form4_1772748865.xml · nonDerivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,058,325

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: The reporting person acquired shares of common stock of Octave Specialty Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2023 and 2024 restrictive stock unit ("RSU") awards.

SEC source: 0001628280-26-015346 · wk-form4_1772748814.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,510

Underlying: Common Stock · 9,790 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.

F5 · derivative.exercise_price: Each deferred share unit ("DSU") represents a contingent right to receive one share of common stock of the Company.

F6 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of RSU and Performance Stock Unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F6 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of RSU and Performance Stock Unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0001628280-26-015346 · wk-form4_1772748814.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,934

Underlying: Common Stock · 11,505 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.

F4 · derivative.exercise_date: Represents the aggregate amount of RSUs that vested.

F4 · derivative.expiration_date: Represents the aggregate amount of RSUs that vested.

SEC source: 0001628280-26-015346 · wk-form4_1772748814.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260,631

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.

SEC source: 0001628280-26-015346 · wk-form4_1772748814.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,346

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: The reporting person acquired shares of common stock of Octave Specialty Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2023 and 2024 restrictive stock unit ("RSU") awards.

SEC source: 0001628280-26-015345 · wk-form4_1772748780.xml · derivative · entry 4

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,486

Underlying: Common Stock · 8,720 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.

F5 · derivative.exercise_price: Each deferred share unit ("DSU") represents a contingent right to receive one share of common stock of the Company.

F6 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of RSU and Performance Stock Unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F6 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of RSU and Performance Stock Unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0001628280-26-015345 · wk-form4_1772748780.xml · derivative · entry 3

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,939

Underlying: Common Stock · 10,261 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 of the Company.

F4 · derivative.exercise_date: Represents the aggregate amount of RSUs that vested.

F4 · derivative.expiration_date: Represents the aggregate amount of RSUs that vested.

SEC source: 0001628280-26-015345 · wk-form4_1772748780.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,182

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.

SEC source: 0001628280-26-015345 · wk-form4_1772748780.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,723

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: The reporting person acquired shares of common stock of Octave Specialty Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2023 and 2024 restrictive stock unit ("RSU") awards.

SEC source: 0001380820-26-000001 · wk-form4_1767648273.xml · nonDerivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,033,777

SEC source: 0001628280-26-000519 · wk-form4_1767649683.xml · derivative · entry 1

IGLESIAS LISA G · CIK 0001103172 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

Underlying: Common Stock · 4,524 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 Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001543504-26-000002 · wk-form4_1767649354.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

Underlying: Common Stock · 4,524 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 Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001208239-26-000003 · wk-form4_1767649235.xml · derivative · entry 1

LAMMTENNANT JOAN M · CIK 0001208239 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

Underlying: Common Stock · 4,524 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 Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001241508-26-000001 · wk-form4_1767649115.xml · derivative · entry 1

PRICE MICHAEL D · CIK 0001241508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

Underlying: Common Stock · 4,524 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 Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001573787-26-000003 · wk-form4_1767648463.xml · derivative · entry 1

HAFT IAN DAVID · CIK 0001573787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

Underlying: Common Stock · 4,524 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 Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001559518-26-000002 · wk-form4_1767648366.xml · derivative · entry 1

Stein Jeffrey Scott · CIK 0001559518 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

Underlying: Common Stock · 4,524 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 Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001707461-25-000005 · wk-form4_1763155711.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,952

F1 · shares: Shares were purchased as gift to the reporting persons son.

SEC source: 0001628280-25-044149 · wk-form4a_1759525344.xml · derivative · entry 3

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 513,617

Underlying: Common Stock · 232,816 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of the Company.

F4 · derivative.exercise_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

F4 · derivative.expiration_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

SEC source: 0001628280-25-044149 · wk-form4a_1759525344.xml · derivative · entry 2

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,801

Underlying: Common Stock · 45,650 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of the Company.

F3 · derivative.exercise_date: On October 3, 2025 the reporting person received a grant of 45,650 RSUs to replace a portion of the July 2025 Long Term Incentive Plan award previously determined to be void ab initio. These RSUs will vest in three equal annual installments commencing October 3, 2026, July 9, 2027, and July 9, 2028.

F3 · derivative.expiration_date: On October 3, 2025 the reporting person received a grant of 45,650 RSUs to replace a portion of the July 2025 Long Term Incentive Plan award previously determined to be void ab initio. These RSUs will vest in three equal annual installments commencing October 3, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0001628280-25-044149 · wk-form4a_1759525344.xml · derivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2035-10-03

F1 · derivative.exercise_date: The Performance Stock Option shall be eligible to vest beginning one year after the grant date based on Ambac Financial Group, Inc.'s (the "Company") achievement of the certain price hurdles related to the shares of Common Stock, during the five (5) year period following the grant date as follows: (i) 40 % shall vest on the date on which the sustained stock price first exceeds $18.00 per share; (ii) 20% shall vest on the date on which the sustained stock price first exceeds $21.50 per share; (iii) 20% shall vest on the date on which the sustained stock price first exceeds $25.00 per share; and (iv) 20% shall vest on the date on which the sustained stock price first exceeds $30.00 per share.

SEC source: 0001628280-25-044138 · wk-form4a_1759525170.xml · derivative · entry 2

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,200

Underlying: Common Stock · 55,433 shares

Expires not disclosed

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

F4 · derivative.exercise_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

F4 · derivative.expiration_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

SEC source: 0001628280-25-044138 · wk-form4a_1759525170.xml · derivative · entry 1

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 284,125

Underlying: Common Stock · 284,125 shares

Expires 2035-10-03

F1 · derivative.exercise_date: The Performance Stock Option shall be eligible to vest beginning one year after the grant date based on Ambac Financial Group's (the "Company") achievement of the certain price hurdles related to the shares of Common Stock, during the five (5) year period following the grant date as follows: (i) 40 % shall vest on the date on which the sustained stock price first exceeds $18.00 per share; (ii) 20% shall vest on the date on which the sustained stock price first exceeds $21.50 per share; (iii) 20% shall vest on the date on which the sustained stock price first exceeds $25.00 per share; and (iv) 20% shall vest on the date on which the sustained stock price first exceeds $30.00 per share.

F2 · derivative.expiration_date: On October 3, 2025, the reporting person filed a Form 4 that inadvertently reported the expiration date of the performance stock option award as October 3, 2025. The correct expiration date is October 3, 2035.

SEC source: 0001628280-25-044131 · wk-form4a_1759525080.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,439

Underlying: Common Stock · 66,519 shares

Expires not disclosed

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

F4 · derivative.exercise_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

F4 · derivative.expiration_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

SEC source: 0001628280-25-044131 · wk-form4a_1759525080.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,375

Underlying: Common Stock · 350,375 shares

Expires 2035-10-03

F1 · derivative.exercise_date: The Performance Stock Option shall be eligible to vest beginning one year after the grant date based on Ambac Financial Group, Inc.'s (the "Company") achievement of the certain price hurdles related to the shares of Common Stock, during the five (5) year period following the grant date as follows: (i) 40 % shall vest on the date on which the sustained stock price first exceeds $18.00 per share; (ii) 20% shall vest on the date on which the sustained stock price first exceeds $21.50 per share; (iii) 20% shall vest on the date on which the sustained stock price first exceeds $25.00 per share; and (iv) 20% shall vest on the date on which the sustained stock price first exceeds $30.00 per share.

F2 · derivative.expiration_date: On October 3, 2025, the reporting person filed a Form 4 that inadvertently reported the expiration date of the performance stock option award as October 3, 2025. The correct expiration date is October 3, 2035.

SEC source: 0001628280-25-044067 · wk-form4_1759522834.xml · derivative · entry 2

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,200

Underlying: Common Stock · 55,433 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of the Company.

F3 · derivative.exercise_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

F3 · derivative.expiration_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

SEC source: 0001628280-25-044067 · wk-form4_1759522834.xml · derivative · entry 1

Smith R Sharon · CIK 0001707461 · Exec VP & Group COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 284,125

Underlying: Common Stock · 284,125 shares

Expires 2025-10-03

F1 · derivative.exercise_date: The Performance Stock Option shall be eligible to vest beginning one year after the grant date based on Ambac Financial Group's (the "Company") achievement of the certain price hurdles related to the shares of Common Stock, during the five (5) year period following the grant date as follows: (i) 40 % shall vest on the date on which the sustained stock price first exceeds $18.00 per share; (ii) 20% shall vest on the date on which the sustained stock price first exceeds $21.50 per share; (iii) 20% shall vest on the date on which the sustained stock price first exceeds $25.00 per share; and (iv) 20% shall vest on the date on which the sustained stock price first exceeds $30.00 per share.

SEC source: 0001628280-25-044061 · wk-form4_1759522786.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,439

Underlying: Common Stock · 66,519 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of the Company.

F3 · derivative.exercise_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

F3 · derivative.expiration_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

SEC source: 0001628280-25-044061 · wk-form4_1759522786.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,375

Underlying: Common Stock · 350,375 shares

Expires 2025-10-03

F1 · derivative.exercise_date: The Performance Stock Option shall be eligible to vest beginning one year after the grant date based on Ambac Financial Group, Inc.'s (the "Company") achievement of the certain price hurdles related to the shares of Common Stock, during the five (5) year period following the grant date as follows: (i) 40 % shall vest on the date on which the sustained stock price first exceeds $18.00 per share; (ii) 20% shall vest on the date on which the sustained stock price first exceeds $21.50 per share; (iii) 20% shall vest on the date on which the sustained stock price first exceeds $25.00 per share; and (iv) 20% shall vest on the date on which the sustained stock price first exceeds $30.00 per share.

SEC source: 0001628280-25-044056 · wk-form4_1759522738.xml · derivative · entry 3

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 513,617

Underlying: Common Stock · 232,816 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of the Company.

F4 · derivative.exercise_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

F4 · derivative.expiration_date: On October 3, 2025 the reporting person received a special RSU grant that will vest and become non-forfeitable after one year (subject to limited exceptions), but will not settle until the earlier of the fifth (5) year anniversary of the grant date or the reporting person's termination date, provided such termination occurs after the one year vesting date.

SEC source: 0001628280-25-044056 · wk-form4_1759522738.xml · derivative · entry 2

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,801

Underlying: Common Stock · 45,650 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of the Company.

F3 · derivative.exercise_date: On October 3, 2025 the reporting person received a grant of 45,650 RSUs to replace a portion of the July 2025 Long Term Incentive Plan award previously determined to be void ab initio. These RSUs will vest in three equal annual installments commencing October 3, 2026, July 9, 2027, and July 9, 2028.

F3 · derivative.expiration_date: On October 3, 2025 the reporting person received a grant of 45,650 RSUs to replace a portion of the July 2025 Long Term Incentive Plan award previously determined to be void ab initio. These RSUs will vest in three equal annual installments commencing October 3, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0001628280-25-044056 · wk-form4_1759522738.xml · derivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2035-10-03

F1 · derivative.exercise_date: The Performance Stock Option shall be eligible to vest beginning one year after the grant date based on Ambac Financial Group, Inc.'s (the "Company") achievement of the certain price hurdles related to the shares of Common Stock, during the five (5) year period following the grant date as follows: (i) 40 % shall vest on the date on which the sustained stock price first exceeds $18.00 per share; (ii) 20% shall vest on the date on which the sustained stock price first exceeds $21.50 per share; (iii) 20% shall vest on the date on which the sustained stock price first exceeds $25.00 per share; and (iv) 20% shall vest on the date on which the sustained stock price first exceeds $30.00 per share.

SEC source: 0001628280-25-043239 · wk-form4_1759263785.xml · derivative · entry 2

HAFT IAN DAVID · CIK 0001573787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 131,921 shares

Expires not disclosed

F2 · 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").

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Director's Restricted Stock Units to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Director's Restricted Stock Units to vest and settle.

SEC source: 0001628280-25-043480 · wk-form4_1759352279.xml · nonDerivative · entry 5

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,021,777

SEC source: 0001628280-25-043693 · wk-form4_1759435675.xml · derivative · entry 1

Stein Jeffrey Scott · CIK 0001559518 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 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 October 1, 2025 shall vest one year later on October 1, 2026. 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 October 1, 2025 shall vest one year later on October 1, 2026. 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.

SEC source: 0001628280-25-043690 · wk-form4_1759435630.xml · derivative · entry 1

PRICE MICHAEL D · CIK 0001241508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 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 October 1, 2025 shall vest one year later on October 1, 2026. 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 October 1, 2025 shall vest one year later on October 1, 2026. 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.

SEC source: 0001628280-25-043682 · wk-form4_1759435573.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 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 October 1, 2025 shall vest one year later on October 1, 2026. 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 October 1, 2025 shall vest one year later on October 1, 2026. 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.

SEC source: 0001628280-25-043679 · wk-form4_1759435511.xml · derivative · entry 1

LAMMTENNANT JOAN M · CIK 0001208239 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 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 October 1, 2025 shall vest one year later on October 1, 2026. 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 October 1, 2025 shall vest one year later on October 1, 2026. 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.

SEC source: 0001628280-25-043677 · wk-form4_1759435458.xml · derivative · entry 1

IGLESIAS LISA G · CIK 0001103172 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 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 October 1, 2025 shall vest one year later on October 1, 2026. 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 October 1, 2025 shall vest one year later on October 1, 2026. 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.

SEC source: 0001628280-25-043675 · wk-form4_1759435424.xml · derivative · entry 1

HAFT IAN DAVID · CIK 0001573787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 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 October 1, 2025 shall vest one year later on October 1, 2026. 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 October 1, 2025 shall vest one year later on October 1, 2026. 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.

SEC source: 0001628280-25-043480 · wk-form4_1759352279.xml · derivative · entry 7

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,961

Underlying: Common Stock · 174,961 shares

Expires not disclosed

F5 · derivative.exercise_price: Each DSU represents a contingent right to receive one share of common stock of the Company.

F6 · derivative.exercise_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of PSU and restricted stock unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F6 · derivative.expiration_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of PSU and restricted stock unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0001628280-25-043480 · wk-form4_1759352279.xml · nonDerivative · entry 4

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 996,777

F4 · shares: Represents the aggregate amount of PSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0001628280-25-043480 · wk-form4_1759352279.xml · nonDerivative · entry 3

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,107,811

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 · shares: On September 30, 2025 the Compensation Committee of the Board of Directors of Ambac Financial Group approved the acceleration of the Reporting Person's 2023 and 2024 Performance Stock Unit ("PSUs") awards in connection with the change of control referred to in footnote 1. The reporting person acquired shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the simultaneous vesting and settlement of the reporting person's 2023 and 2024 Long Term Incentive Plan PSU awards.

SEC source: 0001480597-25-000003 · wk-form4_1759352227.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,556

Underlying: Common Stock · 46,556 shares

Expires not disclosed

F5 · derivative.exercise_price: Each DSU represents a contingent right to receive one share of common stock of the Company.

F6 · derivative.exercise_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of PSU and restricted stock unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F6 · derivative.expiration_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of PSU and restricted stock unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0001480597-25-000003 · wk-form4_1759352227.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,811

F4 · shares: Represents the aggregate amount of PSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0001480597-25-000003 · wk-form4_1759352227.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,231

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 · shares: On September 30, 2025 the Compensation Committee of the Board of Directors of Ambac Financial Group approved the acceleration of the Reporting Person's 2023 and 2024 Performance Stock Unit awards in connection with the change of control referred to in footnote 1. The reporting person acquired shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the simultaneous vesting and settlement of the reporting person's 2023 and 2024 Long Term Incentive Plan PSU awards.

SEC source: 0001707461-25-000003 · wk-form4_1759351875.xml · derivative · entry 6

Smith R Sharon · CIK 0001707461 · Exec VP & Chief Strategy Offr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,627

Underlying: Common Stock · 76,627 shares

Expires not disclosed

F5 · derivative.exercise_price: Each DSU represents a contingent right to receive one share of common stock of the Company.

F6 · derivative.exercise_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of PSU and restricted stock unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F6 · derivative.expiration_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of DSUs pursuant to the Company's Executive Stock Deferral Plan, which was designed to enable participants to elect to defer the settlement and income taxation of PSU and restricted stock unit awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0001707461-25-000003 · wk-form4_1759351875.xml · nonDerivative · entry 4

Smith R Sharon · CIK 0001707461 · Exec VP & Chief Strategy Offr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,932

F4 · shares: Represents the aggregate amount of PSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations.