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Trick David

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30881
SEC CIK
0001480597

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CompanyLast reported asReport datePublished
OCTAVE SPECIALTY GROUP INCOSG · Entity 6308Exec VP, CFO & TreasurerOctober 03, 2026October 06, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

OCTAVE SPECIALTY GROUP INC

Report date October 03, 2026 · Filed October 06, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect270,143 Reported balance After 2026-10-03 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-10-03 · Exercise / conversion · Acquired 3,047 · Balance 270,143

F1: 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.

Common StockSEC Table I · non-derivativeDirect267,096 Reported balance After 2026-10-03 transaction · row 2 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 2 · 2026-10-03 · Tax withholding · Disposed 3,047 · Balance 267,096

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

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect58,459 Reported balance After 2026-10-03 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-10-03 · Exercise / conversion · Disposed 66,519 · Balance 58,459

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

F4: Represents the aggregate amount of RSUs that vested.

Deferred Share UnitsSEC Table II · derivative / convertible securityDirect120,015 Reported balance After 2026-10-03 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-10-03 · Exercise / conversion · Acquired 63,472 · Balance 120,015

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

F6: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

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

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

F4: Represents the aggregate amount of RSUs that vested.

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

F6: 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.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 03, 2026 Filed Oct 6, 2026 23:20 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionDeferred Share Units · Derivative 63,472 $0.00 $0.00
Disclosure

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.

Read SEC document
October 03, 2026 Filed Oct 6, 2026 23:20 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionRestricted Stock Units · Derivative 66,519 $0.00 $0.00
Disclosure

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.

Read SEC document
October 03, 2026 Filed Oct 6, 2026 23:20 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Tax withholdingCommon Stock 3,047 $4.60 $14,016.20
Disclosure

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.

Read SEC document
October 03, 2026 Filed Oct 6, 2026 23:20 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionCommon Stock 3,047 Not disclosed Not disclosed
Disclosure

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.

Read SEC document
July 09, 2026 Filed Jul 13, 2026 20:02 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionRestricted Stock Units · Derivative 13,206 $0.00 $0.00
Disclosure

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.

Read SEC document
July 09, 2026 Filed Jul 13, 2026 20:02 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Tax withholdingCommon Stock 6,741 $6.08 $40,985.28
Disclosure

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.

Read SEC document
July 09, 2026 Filed Jul 13, 2026 20:02 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionCommon Stock 13,206 Not disclosed Not disclosed
Disclosure

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.

Read SEC document
March 23, 2026 Filed Mar 25, 2026 20:53 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 GrantRestricted Stock Units · Derivative 26,250 $0.00 $0.00
Disclosure

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.

Read SEC document
March 03, 2026 Filed Mar 5, 2026 22:13 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionDeferred Share Units · Derivative 9,790 $0.00 $0.00
Disclosure

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.

Read SEC document
March 03, 2026 Filed Mar 5, 2026 22:13 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionRestricted Stock Units · Derivative 11,505 $0.00 $0.00
Disclosure

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.

Read SEC document
March 03, 2026 Filed Mar 5, 2026 22:13 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Tax withholdingCommon Stock 1,715 $5.60 $9,604.00
Disclosure

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.

Read SEC document
March 03, 2026 Filed Mar 5, 2026 22:13 UTC OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionCommon Stock 1,715 $0.00 $0.00
Disclosure

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.

Read SEC document
October 03, 2025 Filed Oct 3, 2025 20:58 UTC Amendment OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantRestricted Stock Units · Derivative 66,519 $0.00 $0.00
Disclosure

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.

Read SEC document
October 03, 2025 Filed Oct 3, 2025 20:58 UTC Amendment OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantPerformance Stock Option · Derivative 350,375 $0.00 Strike: $8.97 $0.00
Disclosure

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.

Read SEC document
October 03, 2025 Filed Oct 3, 2025 20:19 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantRestricted Stock Units · Derivative 66,519 $0.00 $0.00
Disclosure

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.

Read SEC document
October 03, 2025 Filed Oct 3, 2025 20:19 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantPerformance Stock Option · Derivative 350,375 $0.00 Strike: $8.93 $0.00
Disclosure

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.

Read SEC document
September 30, 2025 Filed Oct 1, 2025 20:57 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantDeferred Share Units · Derivative 46,556 $0.00 $0.00
Disclosure

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.

Read SEC document
September 30, 2025 Filed Oct 1, 2025 20:57 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Tax withholdingCommon Stock 16,420 $8.34 $136,942.80
Disclosure

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.

Read SEC document
September 30, 2025 Filed Oct 1, 2025 20:57 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionCommon Stock 42,515 $0.00 $0.00
Disclosure

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.

Read SEC document
September 30, 2025 Filed Mar 3, 2026 21:53 UTC Amendment OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 GrantDeferred Share Units · Derivative 46,300 $0.00 $0.00
Disclosure

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.

Read SEC document
September 30, 2025 Filed Mar 3, 2026 21:53 UTC Amendment OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Tax withholdingCommon Stock 22,796 $8.34 $190,118.64
Disclosure

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.

Read SEC document
September 30, 2025 Filed Mar 3, 2026 21:53 UTC Amendment OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Exercise / conversionCommon Stock 42,515 $0.00 $0.00
Disclosure

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.

Read SEC document
September 29, 2025 Filed Oct 1, 2025 20:57 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 ConversionDeferred Share Units · Derivative 165,361 $0.00 $0.00
Disclosure

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.

Read SEC document
September 29, 2025 Filed Oct 1, 2025 20:57 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Tax withholdingCommon Stock 55,727 $9.72 $541,666.44
Disclosure

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.

Read SEC document
September 29, 2025 Filed Oct 1, 2025 20:57 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 ConversionCommon Stock 165,361 $0.00 $0.00
Disclosure

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.

Read SEC document
September 29, 2025 Filed Mar 3, 2026 21:53 UTC Amendment OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 ConversionDeferred Share Units · Derivative 165,361 $0.00 $0.00
Disclosure

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.

Read SEC document
September 29, 2025 Filed Mar 3, 2026 21:53 UTC Amendment OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 Tax withholdingCommon Stock 80,531 $9.72 $782,761.32
Disclosure

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.

Read SEC document
September 29, 2025 Filed Mar 3, 2026 21:53 UTC Amendment OCTAVE SPECIALTY GROUP INC OSG · Entity 6308 ConversionCommon Stock 165,361 $0.00 $0.00
Disclosure

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.

Read SEC document
July 09, 2025 Filed Jul 9, 2025 20:22 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantRestricted Stock Units · Derivative 39,586 $0.00 $0.00
Disclosure

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.

Read SEC document
March 13, 2025 Filed Mar 14, 2025 20:42 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionDeferred Share Units · Derivative 5,562 $0.00 $0.00
Disclosure

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.

Read SEC document
March 13, 2025 Filed Mar 14, 2025 20:42 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionRestricted Stock Units · Derivative 5,562 $0.00 $0.00
Disclosure

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.

Read SEC document
March 13, 2025 Filed Mar 14, 2025 20:42 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Tax withholdingCommon Stock 267 $8.39 $2,240.13
Disclosure

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.

Read SEC document
March 13, 2025 Filed Mar 14, 2025 20:42 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionCommon Stock 267 $0.00 $0.00
Disclosure

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.

Read SEC document
March 11, 2025 Filed Mar 14, 2025 20:42 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionRestricted Stock Units · Derivative 267 $0.00 $0.00
Disclosure

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.

Read SEC document
March 06, 2025 Filed Mar 10, 2025 20:18 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantDeferred Share Units · Derivative 66,577 $0.00 $0.00
Disclosure

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.

Read SEC document
March 06, 2025 Filed Mar 10, 2025 20:18 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Tax withholdingCommon Stock 2,446 $9.16 $22,405.36
Disclosure

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.

Read SEC document
March 06, 2025 Filed Mar 10, 2025 20:18 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionCommon Stock 2,446 $0.00 $0.00
Disclosure

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.

Read SEC document
March 03, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionDeferred Share Units · Derivative 5,473 Not disclosed Not disclosed
Disclosure

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.

Read SEC document
March 03, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionRestricted Stock Units · Derivative 5,674 Not disclosed Not disclosed
Disclosure

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.

Read SEC document
March 03, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Tax withholdingCommon Stock 201 $9.30 $1,869.30
Disclosure

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.

Read SEC document
March 03, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionCommon Stock 201 Not disclosed Not disclosed
Disclosure

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").

Read SEC document
February 28, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionDeferred Share Units · Derivative 5,567 Not disclosed Not disclosed
Disclosure

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.

Read SEC document
February 28, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionRestricted Stock Units · Derivative 6,230 Not disclosed Not disclosed
Disclosure

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.

Read SEC document
February 28, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Tax withholdingCommon Stock 663 $9.71 $6,437.73
Disclosure

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.

Read SEC document
February 28, 2025 Filed Mar 4, 2025 23:30 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 Exercise / conversionCommon Stock 663 Not disclosed Not disclosed
Disclosure

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").

Read SEC document
August 07, 2024 Filed Aug 8, 2024 20:36 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 PurchaseCommon Stock 200 $10.63 $2,126.00
Disclosure

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

Read SEC document
August 07, 2024 Filed Aug 8, 2024 20:36 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 PurchaseCommon Stock 1,500 $10.69 $16,035.00
Disclosure

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

Read SEC document
August 07, 2024 Filed Aug 8, 2024 20:36 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 PurchaseCommon Stock 200 $10.86 $2,172.00
Disclosure

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

Read SEC document
August 07, 2024 Filed Aug 8, 2024 20:36 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 PurchaseCommon Stock 1,800 $10.83 $19,494.00
Disclosure

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

Read SEC document
March 28, 2024 Filed Mar 1, 2024 21:05 UTC OCTAVE SPECIALTY GROUP INC AMBC · Entity 6308 GrantDeferred Share Units · Derivative 6,008 $0.00 $0.00
Disclosure

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.

Read SEC document

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