Trick David

SEC source: 0001628280-26-065273 · wk-form4_1791328809.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,015

Underlying: Common Stock · 63,472 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: 0001628280-26-065273 · wk-form4_1791328809.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,459

Underlying: Common Stock · 66,519 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'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: 0001628280-26-065273 · wk-form4_1791328809.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,096

F2 · balance_after: 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: 0001628280-26-065273 · wk-form4_1791328809.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 270,143

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: The reporting person acquired shares of common stock Octave Specialty Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's restricted stock unit ("RSU") awards as part of their 2025 Long Term Incentive Plan.

SEC source: 0001628280-26-047997 · wk-form4_1783972941.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,978

Underlying: Common Stock · 13,206 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's common stock.

F4 · derivative.exercise_date: The RSUs vested pursuant to the first of three equal annual installments under the reporting person's 2025 Long Term Incentive Plan award, which vests in equal installments on July 9, 2026, July 9, 2027, and July 9, 2028.

F4 · derivative.expiration_date: The RSUs vested pursuant to the first of three equal annual installments under the reporting person's 2025 Long Term Incentive Plan award, which vests in equal installments on July 9, 2026, July 9, 2027, and July 9, 2028.

SEC source: 0001628280-26-047997 · wk-form4_1783972941.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,096

F2 · balance_after: 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: 0001628280-26-047997 · wk-form4_1783972941.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 273,837

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: The reporting person acquired shares of common stock Octave Specialty Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's restricted stock unit ("RSU") awards as part of their 2025 Long Term Incentive Plan.

SEC source: 0001628280-26-021057 · wk-form4_1774472010.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,184

Underlying: Common Stock · 26,250 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: On March 23, 2026 the reporting person received a grant of 26,250 RSUs as part of his 2026 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing March 23, 2027, March 23, 2028, and March 23, 2029.

F2 · derivative.expiration_date: On March 23, 2026 the reporting person received a grant of 26,250 RSUs as part of his 2026 Long Term Incentive Plan award. The RSUs will vest in three equal annual installments commencing March 23, 2027, March 23, 2028, and March 23, 2029.

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: 0001628280-25-044131 · 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: 0001628280-25-044061 · 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: 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: 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: 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: 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: 0000874501-25-000123 · 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: 0000874501-25-000060 · wk-form4_1741984927.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,361

Underlying: Common Stock · 5,562 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.

F6 · derivative.exercise_price: Each DSU represents a contingent right to receive one share of common stock of the Company.

F4 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of deferred share units ("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.

F4 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of deferred share units ("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: 0000874501-25-000060 · wk-form4_1741984927.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,601

Underlying: Common Stock · 5,562 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 were converted into an equivalent number of deferred share units ("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.

F4 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of deferred share units ("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: 0000874501-25-000060 · wk-form4_1741984927.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,349

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

SEC source: 0000874501-25-000060 · wk-form4_1741984927.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,349

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 270 shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2022 restrictive stock unit Long Term Incentive Plan ("2022 RSU LTIP") award.

SEC source: 0000874501-25-000060 · wk-form4_1741984927.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,334

Underlying: Common Stock · 267 shares

Expires not disclosed

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

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

F5 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into shares of common stock of the "Company upon settlement of a portion of the reporting person's 2024 Long Term Incentive Plan award.

F5 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into shares of common stock of the "Company upon settlement of a portion of the reporting person's 2024 Long Term Incentive Plan award.

SEC source: 0000874501-25-000036 · wk-form4_1741637904.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,799

Underlying: Common Stock · 66,577 shares

Expires not disclosed

F3 · security: Each DSU represents a contingent right to receive one share of common stock of the Company.

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

F4 · shares: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of deferred share units ("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.

F4 · derivative.exercise_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of deferred share units ("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.

F4 · derivative.expiration_date: Represents the aggregate amount of performance stock units ("PSUs") that were converted into an equivalent number of deferred share units ("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: 0000874501-25-000036 · wk-form4_1741637904.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,082

F2 · shares: As part of the vesting and settlement of a portion of the 2022 LTIP award, 2,446 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0000874501-25-000036 · wk-form4_1741637904.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,528

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 · security: The reporting person acquired 2,446 shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the simultaneous vesting and settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award, which had a three year performance period and vested on March 6, 2025.

F1 · shares: The reporting person acquired 2,446 shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the simultaneous vesting and settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award, which had a three year performance period and vested on March 6, 2025.

SEC source: 0000874501-25-000029 · wk-form4_1741131004.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,222

Underlying: Common Stock · 5,473 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.

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

F4 · price: Each deferred share unit ("DSU") represents a contingent right to receive one share of common stock of the Company.

F5 · 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 awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F5 · 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 awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0000874501-25-000029 · wk-form4_1741131004.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,163

Underlying: Common Stock · 5,674 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_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 · 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").

F6 · derivative.exercise_date: Represents the amount of RSUs that were converted into shares of common stock of the Company upon settlement of a portion of the reporting person's 2023 Long Term Incentive Plan award.

F6 · derivative.expiration_date: Represents the amount of RSUs that were converted into shares of common stock of the Company upon settlement of a portion of the reporting person's 2023 Long Term Incentive Plan award.

SEC source: 0000874501-25-000029 · wk-form4_1741131004.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,082

F2 · deemedExecutionDate: 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: 0000874501-25-000029 · wk-form4_1741131004.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,283

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 · deemedExecutionDate: 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 · 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").

SEC source: 0000874501-25-000029 · wk-form4_1741131004.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,749

Underlying: Common Stock · 5,567 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.

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

F4 · price: Each deferred share unit ("DSU") represents a contingent right to receive one share of common stock of the Company.

F5 · 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 awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

F5 · 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 awards in accordance with Section 409A of the Internal Revenue Code of 1986, as amended.

SEC source: 0000874501-25-000029 · wk-form4_1741131004.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,837

Underlying: Common Stock · 6,230 shares

Expires not disclosed

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

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").

F1 · 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").

F3 · derivative.exercise_date: Represents the amount of RSUs that vested upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

F3 · derivative.expiration_date: Represents the amount of RSUs that vested upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

SEC source: 0000874501-25-000029 · wk-form4_1741131004.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,082

F2 · deemedExecutionDate: 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: 0000874501-25-000029 · wk-form4_1741131004.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,745

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 · deemedExecutionDate: 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 · 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").

SEC source: 0000874501-24-000185 · wk-form4_1723149370.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,082

SEC source: 0000874501-24-000185 · wk-form4_1723149370.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 155,882

SEC source: 0000874501-24-000185 · wk-form4_1723149370.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,382

SEC source: 0000874501-24-000185 · wk-form4_1723149370.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,182

SEC source: 0000874501-24-000053 · wk-form4_1709327097.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,360

Underlying: Common Stock · 6,008 shares

Expires not disclosed

F6 · derivative.exercise_price: Each DSU 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 were converted into an equivalent number of deferred share units ("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.

F4 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into an equivalent number of deferred share units ("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.