Herzog David L

SEC source: 0000874501-21-000159 · wf-form4_163672474353898.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,632

Underlying: Common Stock · 3,051 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 November 10, 2021 shall vest one year later on November 10, 2022. 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 November 10, 2021 shall vest one year later on November 10, 2022. 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: 0001099219-21-000324 · wf-form4_163346592525200.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,214

F1 · kind: MetLife, Inc.'s non-management director compensation arrangements pay 50% of non-management director retainer fees in MetLife, Inc. common stock.

SEC source: 0001099219-21-000289 · wf-form4_163182463983085.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,614

F1 · kind: Imputed reinvestment of dividends on deferred shares pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred shares represent shares of MetLife, Inc. common stock that have become payable, but receipt of which the director has deferred.

SEC source: 0001688568-21-000066 · wf-form4_162984059887690.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,706

F1 · shares: Award of restricted stock units (RSUs). Each RSU entitles the reporting person to receive one share of common stock. The RSUs will vest on the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders. The RSUs will settle on the vesting date or, if the director has elected to defer settlement, on the date or event elected by the director.

F2 · balance_after: Amount reported includes unvested RSUs.

SEC source: 0000874501-21-000133 · wf-form4_162862613960335.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,581

Underlying: Common Stock · 3,437 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 August 9, 2021 shall vest one year later on August 9, 2022. 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 August 9, 2021 shall vest one year later on August 9, 2022. 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: 0001099219-21-000243 · wf-form4_162396434125807.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,571

F1 · kind: MetLife, Inc.'s non-management director compensation arrangements pay 50% of non-management director retainer fees in MetLife, Inc. common stock.

SEC source: 0001099219-21-000211 · wf-form4_162389137119693.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,982

F1 · kind: Imputed reinvestment of dividends on deferred shares pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred shares represent shares of MetLife, Inc. common stock that have become payable, but receipt of which the director has deferred.

SEC source: 0000874501-21-000089 · wf-form4_162085024078071.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,144

Underlying: Common Stock · 2,936 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 May 12, 2021 shall vest one year later on May 12, 2022. 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 May 12, 2021 shall vest one year later on May 12, 2022. 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: 0001099219-21-000156 · wf-form4_161765579714384.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,942

F1 · kind: MetLife, Inc.'s non-management director compensation arrangements pay 50% of non-management director retainer fees in MetLife, Inc. common stock.

SEC source: 0001099219-21-000124 · wf-form4_161601456915406.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,333

F1 · kind: Imputed reinvestment of dividends on deferred shares pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred shares represent shares of MetLife, Inc. common stock that have become payable, but receipt of which the director has deferred.

SEC source: 0001099219-21-000026 · wf-form4_160988188363660.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,292

F1 · kind: MetLife, Inc.'s non-management director compensation arrangements pay 50% of non-management director retainer fees in MetLife, Inc. common stock.

SEC source: 0001099219-20-000382 · wf-form4_160815641588069.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,478

F1 · kind: Represents imputed reinvestment of dividends on deferred shares in the reporting person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001099219-20-000345 · wf-form4_160193392776134.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,425

F1 · kind: The reporting person acquired these shares under MetLife, Inc.'s non-management director compensation arrangements, which provide for 50% of non-management director retainer fees to be paid in MetLife, Inc. common stock.

SEC source: 0001099219-20-000314 · wf-form4_160028798229966.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,418

F1 · kind: Represents imputed reinvestment of dividends on deferred shares in the reporting person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001688568-20-000068 · wf-form4_159796217923295.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,106

F1 · shares: Award of restricted stock units (RSUs). Each RSU entitles the reporting person to receive one share of common stock. The RSUs will vest on the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders. The RSUs will settle on the vesting date or, if the director has elected to defer settlement, on the date or event elected by the director.

F2 · balance_after: Amount reported includes unvested RSUs.

SEC source: 0001099219-20-000270 · wf-form4_159251341407130.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,356

F1 · kind: The reporting person acquired these shares under MetLife, Inc.'s non-management director compensation arrangements, which provide for 50% of non-management director retainer fees to be paid in MetLife, Inc. common stock.

SEC source: 0001099219-20-000236 · wf-form4_159234102229723.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,386

F1 · kind: Represents imputed reinvestment of dividends on deferred shares in the reporting person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

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

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,208

Underlying: Common Stock · 11,628 shares

Expires not disclosed

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

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

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

SEC source: 0001099219-20-000176 · wf-form4_158586236348085.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,323

F1 · kind: The reporting person acquired these shares under MetLife, Inc.'s non-management director compensation arrangements, which provide for 50% of non-management director retainer fees to be paid in MetLife, Inc. common stock.

SEC source: 0001099219-20-000158 · wf-form4_158449395130755.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,978

F1 · kind: Represents imputed reinvestment of dividends on deferred shares in the reporting person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001099219-20-000040 · wf-form4_157834732576594.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,908

F1 · kind: The Reporting Person acquired these shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in MetLife, Inc. common stock.

SEC source: 0001099219-19-000253 · wf-form4_157661935347865.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,181

F1 · kind: Represents imputed reinvestment of dividends on Deferred Shares in the Reporting Person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred Shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001099219-19-000208 · wf-form4_157013556720627.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,137

F1 · kind: The Reporting Person acquired these Deferred Shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock, and the MetLife Deferred Compensation Plan for Non-Management Directors, under which Directors may elect to defer receipt of such stock for a specific period of time.

SEC source: 0001099219-19-000167 · wf-form4_156875319746296.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,322

F1 · kind: Represents imputed reinvestment of dividends on Deferred Shares in the Reporting Person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred Shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001688568-19-000094 · wf-form4_156642644491247.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,406

F1 · shares: Award of restricted stock units (RSUs). Each RSU entitles the reporting person to receive one share of common stock. The RSUs will vest on the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders. The RSUs will settle on the vesting date or, if the director has elected to defer settlement, on the date or event elected by the director.

F2 · balance_after: Amount reported includes unvested RSUs.

SEC source: 0001688568-20-000010 · wf-form4a_158292703596064.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,806

F1 · shares: Award of restricted stock units (RSUs). Each RSU entitles the reporting person to receive one share of common stock. The RSUs will vest on the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders. The RSUs will settle on the vesting date or, if the director has elected to defer settlement, on the date or event elected by the director.

F2 · shares: This Form 4 is being amended to correct the number of RSUs awarded from 6,500 RSUs to 5,900 RSUs.

F3 · balance_after: Amount reported includes unvested RSUs.

SEC source: 0001099219-19-000119 · wf-form4_156106392570998.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,284

F1 · kind: The Reporting Person acquired these Deferred Shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock, and the MetLife Deferred Compensation Plan for Non-Management Directors, under which Directors may elect to defer receipt of such stock for a specific period of time.

SEC source: 0001099219-19-000070 · wf-form4_156081211961898.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,514

F1 · kind: Represents imputed reinvestment of dividends on Deferred Shares in the Reporting Person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred Shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0000874501-19-000052 · wf-form4_155674404091705.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,580

Underlying: Common Stock · 10,696 shares

Expires not disclosed

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

F2 · derivative.exercise_date: RSU's granted on April 30, 2019 shall vest one year later on April 30, 2020. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2019 shall vest one year later on April 30, 2020. 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: 0001209191-19-022551 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,483

F1 · kind: The Reporting Person acquired these Deferred Shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock, and the MetLife Deferred Compensation Plan for Non-Management Directors, under which Directors may elect to defer receipt of such stock for a specific period of time.

SEC source: 0001209191-19-019468 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,633

F1 · kind: Represents imputed reinvestment of dividends on Deferred Shares in the Reporting Person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred Shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001209191-19-001973 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,609.2856

F1 · kind: The Reporting Person acquired these Deferred Shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock, and the MetLife Deferred Compensation Plan for Non-Management Directors, under which Directors may elect to defer receipt of such stock for a specific period of time.

SEC source: 0001209191-18-062723 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,709.2856

F1 · kind: Represents imputed reinvestment of dividends on Deferred Shares in the Reporting Person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred Shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001209191-18-054009 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,692.2891

F1 · kind: The Reporting Person acquired these Deferred Shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock, and the MetLife Deferred Compensation Plan for Non-Management Directors, under which Directors may elect to defer receipt of such stock for a specific period of time.

SEC source: 0001209191-18-051226 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,890.2891

F1 · kind: Represents imputed reinvestment of dividends on Deferred Shares in the Reporting Person's deferral account pursuant to the MetLife Deferred Compensation Plan for Non-Management Directors. Deferred Shares represent shares of MetLife, Inc. common stock that have become payable, but that remain unpaid because payment has been deferred.

SEC source: 0001688568-18-000100 · wf-form4_153498168907553.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,906

F1 · shares: Award of restricted stock units (RSUs). Each RSU entitles the reporting person to receive one share of common stock. The RSUs will vest on the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders. The RSUs will settle on the vesting date or, if the director has elected to defer settlement, on the date or event elected by the director.

F2 · balance_after: Amount reported includes unvested RSUs.

F3 · balance_after: Pursuant to the anti-dilution provisions of the registrant's 2017 Non-Employee Director Incentive Plan, the amount of securities beneficially owned has been adjusted in connection with the spin-off of the registrant's United States Public Sector business. A conversion ratio of 0.8649 was applied to the August 15, 2017 award of 2,300 RSUs (the "2017 Award") that remained unvested at the time of the spin-off. As a result, the reporting person received 359 additional RSUs. The 2017 Award vested in full on August 15, 2018.

SEC source: 0001209191-18-037748 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,883

F1 · kind: The Reporting Person acquired these shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock.

SEC source: 0000874501-18-000051 · wf-form4_152520982192112.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,884

Underlying: Common Stock · 11,744 shares

Expires not disclosed

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

F2 · derivative.exercise_date: RSU's granted on April 30, 2018 shall vest one year later on April 30, 2019. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 30, 2018 shall vest one year later on April 30, 2019. 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: 0001209191-18-023635 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,093

F1 · kind: The Reporting Person acquired these shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock.

SEC source: 0001209191-18-001931 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,260

F1 · kind: The Reporting Person acquired these shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of non-management Director retainer fees to be paid in company common stock.

SEC source: 0001209191-17-055805 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,512

F1 · kind: The Reporting Person acquired these shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of annual retainer fees to be paid in company common stock.

SEC source: 0001688568-17-000189 · wf-form4_150300255477349.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,247

F1 · shares: Award of restricted stock units (RSUs). Each RSU entitles the reporting person to receive one share of common stock upon the vesting date. The RSUs will vest and settle on the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders.

F1 · price: Award of restricted stock units (RSUs). Each RSU entitles the reporting person to receive one share of common stock upon the vesting date. The RSUs will vest and settle on the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders.

F2 · balance_after: Amount reported includes unvested RSUs.

SEC source: 0001688568-17-000172 · wf-form4_150274411544163.xml · derivative · entry 2

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 900 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.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU) entitles the reporting person to receive one share of common stock upon the vesting date. The RSUs vested and settled at the annual meeting of stockholders held on August 10, 2017.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) entitles the reporting person to receive one share of common stock upon the vesting date. The RSUs vested and settled at the annual meeting of stockholders held on August 10, 2017.

SEC source: 0001688568-17-000172 · wf-form4_150274411544163.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 947

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: Each Restricted Stock Unit (RSU) entitles the reporting person to receive one share of common stock upon the vesting date. The RSUs vested and settled at the annual meeting of stockholders held on August 10, 2017.

SEC source: 0001209191-17-040123 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,792

F1 · kind: The Reporting Person acquired these shares under MetLife, Inc.'s non-management Director compensation arrangements, which provide for 50% of annual retainer fees to be paid in company common stock.

SEC source: 0001688568-17-000073 · wf-form4_149505797656313.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900

Underlying: Common Stock · 900 shares

Expires not disclosed

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU) entitles the reporting person to receive one share of common stock upon the vesting date. The RSUs will vest and settle the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) entitles the reporting person to receive one share of common stock upon the vesting date. The RSUs will vest and settle the earlier of (i) one year from the grant date, or (ii) at the next annual meeting of stockholders.

SEC source: 0000874501-17-000048 · wf-form4_149367507158519.xml · derivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,140

Underlying: Common Stock · 10,294 shares

Expires not disclosed

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

F2 · derivative.exercise_date: RSU's granted on April 28, 2017 shall vest one year later on April 30, 2018. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on April 28, 2017 shall vest one year later on April 30, 2018. 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: 0001209191-16-146859 · doc4.xml · nonDerivative · entry 1

Herzog David L · CIK 0001331793 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,088

F1 · kind: Under the Company's Non-Management Director Stock Compensation arrangements, 50% of the Annual Retainer Fee is paid in the Company's common stock. This is a pro rata amount for the period starting October 21, 2016 and ending June 12, 2017.