OSG

SEC source: 0001707461-25-000003 · wk-form4_1759351875.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,746

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: 0001707461-26-000002 · wk-form4a_1772574932.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,206

Underlying: Common Stock · 76,206 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: 0001707461-26-000002 · wk-form4a_1772574932.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,162

F4 · shares: Represents the corrected 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: 0001707461-26-000002 · wk-form4a_1772574932.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,397

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: 0001480597-26-000003 · wk-form4a_1772574794.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,300

Underlying: Common Stock · 46,300 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: 0001480597-26-000003 · wk-form4a_1772574794.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260,631

F4 · shares: Represents the corrected 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: 0001480597-26-000003 · wk-form4a_1772574794.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,427

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: 0001628280-25-043259 · wk-form4_1759264461.xml · derivative · entry 2

LAMMTENNANT JOAN M · CIK 0001208239 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 106,990 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.

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: 0001628280-25-043259 · wk-form4_1759264461.xml · nonDerivative · entry 1

LAMMTENNANT JOAN M · CIK 0001208239 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,990

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 · price: 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: 0001628280-25-043251 · wk-form4_1759264071.xml · derivative · entry 2

IGLESIAS LISA G · CIK 0001103172 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,777 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.

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: 0001628280-25-043251 · wk-form4_1759264071.xml · nonDerivative · entry 1

IGLESIAS LISA G · CIK 0001103172 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,327

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 · price: 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: 0001628280-25-043245 · wk-form4_1759263908.xml · derivative · entry 2

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 39,179 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.

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: 0001628280-25-043245 · wk-form4_1759263908.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,179

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 · price: 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: 0001628280-25-043241 · wk-form4_1759263842.xml · derivative · entry 2

PRICE MICHAEL D · CIK 0001241508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 39,179 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.

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: 0001628280-25-043241 · wk-form4_1759263842.xml · nonDerivative · entry 1

PRICE MICHAEL D · CIK 0001241508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,477

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 · price: 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: 0001628280-25-043239 · wk-form4_1759263785.xml · nonDerivative · entry 1

HAFT IAN DAVID · CIK 0001573787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,921

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 · price: 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: 0001628280-25-043237 · wk-form4_1759263722.xml · derivative · entry 2

Stein Jeffrey Scott · CIK 0001559518 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 167,807 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.

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: 0001628280-25-043237 · wk-form4_1759263722.xml · nonDerivative · entry 1

Stein Jeffrey Scott · CIK 0001559518 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,807

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 · price: 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 · derivative · entry 6

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 661,355 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 DSU represents a contingent right to receive one share of common stock of the Company.

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001628280-25-043480 · wk-form4_1759352279.xml · nonDerivative · entry 2

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 914,458

F2 · shares: Represents the amount of DSUs 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 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,264,646

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: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001480597-25-000003 · wk-form4_1759352227.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 165,361 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 DSU represents a contingent right to receive one share of common stock of the Company.

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001480597-25-000003 · wk-form4_1759352227.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,716

F2 · shares: Represents the amount of DSUs 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 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 321,443

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: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001707461-25-000003 · wk-form4_1759351875.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 145,135 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 DSU represents a contingent right to receive one share of common stock of the Company.

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001707461-25-000003 · wk-form4_1759351875.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,932

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

SEC source: 0001707461-25-000003 · wk-form4_1759351875.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 219,842

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: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001628280-25-043472 · wk-form4_1759351805.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 129,146 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 common stock of the Company.

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001628280-25-043472 · wk-form4_1759351805.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,256

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

SEC source: 0001628280-25-043472 · wk-form4_1759351805.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,778

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: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001628280-25-043470 · wk-form4_1759351752.xml · derivative · entry 3

McGinnis Daniel · CIK 0001900989 · Sr. MD & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,832 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 common stock of the Company.

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001628280-25-043470 · wk-form4_1759351752.xml · nonDerivative · entry 2

McGinnis Daniel · CIK 0001900989 · Sr. MD & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,235

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

SEC source: 0001628280-25-043470 · wk-form4_1759351752.xml · nonDerivative · entry 1

McGinnis Daniel · CIK 0001900989 · Sr. MD & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,288

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: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001707461-26-000002 · wk-form4a_1772574932.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 145,135 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 DSU represents a contingent right to receive one share of common stock of the Company.

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001707461-26-000002 · wk-form4a_1772574932.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,162

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

SEC source: 0001707461-26-000002 · wk-form4a_1772574932.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 219,842

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: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001480597-26-000003 · wk-form4a_1772574794.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 165,361 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 DSU represents a contingent right to receive one share of common stock of the Company.

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0001480597-26-000003 · wk-form4a_1772574794.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 240,912

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

SEC source: 0001480597-26-000003 · wk-form4a_1772574794.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 321,443

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: Upon the closing of the sale of Ambac Assurance Corporation by Ambac Financial Group to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Reporting Person's Deferred Share Units ("DSUs") to vest and settle.

SEC source: 0000874501-25-000133 · wk-form4_1754942860.xml · nonDerivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 603,291

SEC source: 0001527850-25-000003 · wk-form4_1752095840.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,151

Underlying: Common Stock · 32,097 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: On July 9, 2025 the reporting person received a grant of 32,097 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

F2 · derivative.expiration_date: On July 9, 2025 the reporting person received a grant of 32,097 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0000874501-25-000125 · wk-form4_1752092582.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,767

Underlying: Common Stock · 35,307 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: On July 9, 2025 the reporting person received a grant of 35,307 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

F2 · derivative.expiration_date: On July 9, 2025 the reporting person received a grant of 35,307 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0000874501-25-000127 · wk-form4_1752092661.xml · derivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 235,151

Underlying: Common Stock · 163,695 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: On July 9, 2025 the reporting person received a grant of 163,695 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

F2 · derivative.expiration_date: On July 9, 2025 the reporting person received a grant of 163,695 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0000874501-25-000123 · wk-form4_1752092514.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,920

Underlying: Common Stock · 39,586 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: On July 9, 2025 the reporting person received a grant of 39,586 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

F2 · derivative.expiration_date: On July 9, 2025 the reporting person received a grant of 39,586 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0000874501-25-000118 · wk-form4_1752091356.xml · derivative · entry 1

McGinnis Daniel · CIK 0001900989 · Sr. MD & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,152

Underlying: Common Stock · 18,188 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On July 9, 2025 the reporting person received a grant of 18,188 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

F2 · derivative.expiration_date: On July 9, 2025 the reporting person received a grant of 18,188 restricted stock units ("RSUs") as part of their 2025 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0001628280-25-044052 · wk-form4a_1759522686.xml · derivative · entry 1

LeBlanc Claude · CIK 0001380820 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,501

Underlying: Common Stock · 118,045 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 · shares: This amendment reports the corrected number of RSUs granted to the reporting person on July 9, 2025. At that time, 45,650 of the RSUs previously reported on that date were void ab initio and cancelled.

F3 · derivative.exercise_date: The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

F3 · derivative.expiration_date: The RSUs will vest in three equal annual installments commencing July 9, 2026, July 9, 2027, and July 9, 2028.

F2 · derivative.underlying_shares: This amendment reports the corrected number of RSUs granted to the reporting person on July 9, 2025. At that time, 45,650 of the RSUs previously reported on that date were void ab initio and cancelled.

SEC source: 0000874501-25-000116 · wk-form4_1751401596.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,179

Underlying: Common Stock · 7,053 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: RSUs granted on July 1, 2025 shall vest one year later on July 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: RSUs granted on July 1, 2025 shall vest one year later on July 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: 0000874501-25-000112 · wk-form4_1751400463.xml · derivative · entry 1

Stein Jeffrey Scott · CIK 0001559518 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,807

Underlying: Common Stock · 7,053 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: RSUs granted on July 1, 2025 shall vest one year later on July 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: RSUs granted on July 1, 2025 shall vest one year later on July 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: 0000874501-25-000110 · wk-form4_1751400395.xml · derivative · entry 1

PRICE MICHAEL D · CIK 0001241508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,179

Underlying: Common Stock · 7,053 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: RSUs granted on July 1, 2025 shall vest one year later on July 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: RSUs granted on July 1, 2025 shall vest one year later on July 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: 0000874501-25-000106 · wk-form4_1751400142.xml · derivative · entry 1

LAMMTENNANT JOAN M · CIK 0001208239 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,990

Underlying: Common Stock · 7,053 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: RSUs granted on July 1, 2025 shall vest one year later on July 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: RSUs granted on July 1, 2025 shall vest one year later on July 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.