Smith R Sharon

SEC source: 0000874501-24-000079 · wk-form4_1710188081.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,035

Underlying: Common Stock · 233 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 restricted stock unit ("RSUs") represents a contingent right to receive one share of the common stock of the Company.

F4 · 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 2021 RSU LTIP award.

F4 · 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 2021 RSU LTIP award.

SEC source: 0000874501-24-000079 · wk-form4_1710188081.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,607

F2 · shares: As part of the vesting and settlement of a portion of the 2021 RSU LTIP award, 233 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0000874501-24-000079 · wk-form4_1710188081.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,840

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 233 shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2021 restrictive stock unit Long Term Incentive Plan ("2021 RSU LTIP") award.

SEC source: 0000874501-24-000067 · wk-form4_1709592011.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,966

Underlying: Common Stock · 4,882 shares

Expires not disclosed

F6 · derivative.exercise_price: Each 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 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.

F5 · 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: 0000874501-24-000067 · wk-form4_1709592011.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,268

Underlying: Common Stock · 4,882 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 restricted stock unit ("RSUs") 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 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.

F5 · 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: 0000874501-24-000067 · wk-form4_1709592011.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,150

Underlying: Common Stock · 179 shares

Expires not disclosed

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

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

F4 · 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 RSU LTIP award.

F4 · 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 RSU LTIP award.

SEC source: 0000874501-24-000067 · wk-form4_1709592011.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,607

F2 · shares: As part of the vesting and settlement of a portion of the 2023 RSU LTIP award, 179 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0000874501-24-000067 · wk-form4_1709592011.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,786

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 179 shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2023 restrictive stock unit Long Term Incentive Plan ("2023 RSU LTIP") award.

SEC source: 0000874501-24-000052 · wk-form4_1709327052.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,084

Underlying: Common Stock · 5,359 shares

Expires not disclosed

F6 · derivative.exercise_price: Each 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 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.

F5 · 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: 0000874501-24-000052 · wk-form4_1709327052.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,329

Underlying: Common Stock · 5,359 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 restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.

F5 · 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.

F5 · 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: 0000874501-24-000052 · wk-form4_1709327052.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,688

Underlying: Common Stock · 196 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 restricted stock unit ("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 were converted into shares of common stock of the Company upon settlement of a portion of the reporting person's 2022 RSU LTIP award.

F4 · 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 2022 RSU LTIP award.

SEC source: 0000874501-24-000052 · wk-form4_1709327052.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,607

F2 · shares: As part of the vesting and settlement of a portion of the 2022 RSU LTIP award, 196 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0000874501-24-000052 · wk-form4_1709327052.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,803

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 196 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 restricted stock unit Long Term Incentive Plan ("2022 RSU LTIP") award.

SEC source: 0000874501-24-000014 · wk-form4_1708724490.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,725

Underlying: Common Stock · 43,079 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each deferred share unit ("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 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 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 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: 0000874501-24-000014 · wk-form4_1708724490.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,607

F2 · shares: As part of the vesting and settlement of a portion of the 2021 LTIP award, 2,046 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0000874501-24-000014 · wk-form4_1708724490.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,653

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 2.046 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 2021 Long Term Incentive Plan award, which had a three year performance period and vested on February 21, 2024.

SEC source: 0000874501-23-000061 · wf-form4_167839632150993.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,646

Underlying: Common Stock · 6,287 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 · shares: 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.

F5 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

F5 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

SEC source: 0000874501-23-000061 · wf-form4_167839632150993.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,884

Underlying: Common Stock · 6,287 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 · shares: 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.

F5 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

F5 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

SEC source: 0000874501-23-000061 · wf-form4_167839632150993.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,171

Underlying: Common Stock · 301 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.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

SEC source: 0000874501-23-000061 · wf-form4_167839632150993.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,607

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

SEC source: 0000874501-23-000061 · wf-form4_167839632150993.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,908

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: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

SEC source: 0000874501-23-000055 · wf-form4_167813733041634.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,472

Underlying: Common Stock · 15,184 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On March 3, 2022 the reporting person received a grant of 15,184 RSUs as part of their 2023 Long Term Incentive Plan award. The RSUs will vest in three equal installments on March 3, 2024, March 3, 2025, and March 3, 2026.

F2 · derivative.expiration_date: On March 3, 2022 the reporting person received a grant of 15,184 RSUs as part of their 2023 Long Term Incentive Plan award. The RSUs will vest in three equal installments on March 3, 2024, March 3, 2025, and March 3, 2026.

SEC source: 0000874501-23-000043 · wf-form4_167779211341227.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,359

Underlying: Common Stock · 5,359 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 · shares: 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.

F5 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

F5 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

SEC source: 0000874501-23-000043 · wf-form4_167779211341227.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,288

Underlying: Common Stock · 5,359 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 the Company.

F4 · shares: 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.

F5 · derivative.exercise_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

F5 · derivative.expiration_date: Represents the aggregate amount of RSUs that were converted into DSUs of the Company upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

SEC source: 0000874501-23-000043 · wf-form4_167779211341227.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,647

Underlying: Common Stock · 196 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 the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

SEC source: 0000874501-23-000043 · wf-form4_167779211341227.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,607

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

SEC source: 0000874501-23-000043 · wf-form4_167779211341227.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,803

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: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2022 Long Term Incentive Plan award.

SEC source: 0000874501-23-000028 · wf-form4_167727519516095.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,607

F2 · shares: As part of the vesting and settlement of the 2020 LTIP award, 17,238 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0000874501-23-000028 · wf-form4_167727519516095.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,845

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 33,555 shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the simultaneous vesting and settlement of the reporting person's 2020 Long Term Incentive Plan ("2020 LTIP") award, which had a three year performance period and vested on February 22, 2023.

SEC source: 0000874501-23-000007 · wf-form4_167286689333931.xml · derivative · entry 3

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,843

Underlying: Common Stock · 2,564 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 the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2020 Long Term Incentive Plan award.

SEC source: 0000874501-23-000007 · wf-form4_167286689333931.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,290

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

SEC source: 0000874501-23-000007 · wf-form4_167286689333931.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,747

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: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2020 Long Term Incentive Plan award.

SEC source: 0000874501-22-000111 · wf-form4_165331182265991.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,183

SEC source: 0000874501-22-000065 · wf-form4_164686035447811.xml · derivative · entry 3

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,407

Underlying: Common Stock · 6,588 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 the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

SEC source: 0000874501-22-000065 · wf-form4_164686035447811.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,183

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

SEC source: 0000874501-22-000065 · wf-form4_164686035447811.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,546

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: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the vesting and settlement of a portion of the reporting person's 2021 Long Term Incentive Plan award.

SEC source: 0000874501-22-000047 · wf-form4_164625679409008.xml · derivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,995

Underlying: Common Stock · 16,666 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On February 28, 2022 the reporting person received a grant of 16,666 RSUs as part of their 2022 Long Term Incentive Plan award. The RSUs will vest in three equal installments on February 28, 2023, February 28, 2024, and February 28, 2025.

F2 · derivative.expiration_date: On February 28, 2022 the reporting person received a grant of 16,666 RSUs as part of their 2022 Long Term Incentive Plan award. The RSUs will vest in three equal installments on February 28, 2023, February 28, 2024, and February 28, 2025.

SEC source: 0000874501-22-000029 · wf-form4_164608306135907.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,958

F2 · shares: As part of the vesting and settlement of the 2019 LTIP award, 9,731 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.

SEC source: 0000874501-22-000029 · wf-form4_164608306135907.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,689

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 19,124 shares of common stock of Ambac Financial Group, Inc. (the "Company") upon the simultaneous vesting and settlement of the reporting person's 2019 Long Term Incentive Plan ("2019 LTIP") award, which had a three year performance period and vested on February 24, 2022.

SEC source: 0000874501-22-000008 · wf-form4_164133047972377.xml · derivative · entry 3

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,329

Underlying: Common Stock · 4,752 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 the Company.

F1 · derivative.exercise_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

F1 · derivative.expiration_date: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

SEC source: 0000874501-22-000008 · wf-form4_164133047972377.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,565

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

SEC source: 0000874501-22-000008 · wf-form4_164133047972377.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,266

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: Represents the aggregate amount of restricted stock units ("RSUs") that were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company") upon settlement of a portion of the reporting person's 2019 and 2020 Long Term Incentive Plan award.

SEC source: 0000874501-21-000070 · wf-form4_161532535929891.xml · derivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,081

Underlying: Common Stock · 19,765 shares

Expires not disclosed

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

F2 · derivative.exercise_date: On March 8, 2021 the reporting person received a grant of 19,765 RSUs as part of their 2021 Long Term Incentive Plan award. The RSUs will vest in three equal installments commencing March 8, 2022, March 8, 2023, and March 8, 2024.

F2 · derivative.expiration_date: On March 8, 2021 the reporting person received a grant of 19,765 RSUs as part of their 2021 Long Term Incentive Plan award. The RSUs will vest in three equal installments commencing March 8, 2022, March 8, 2023, and March 8, 2024.

SEC source: 0000874501-21-000048 · wf-form4_161525102295717.xml · derivative · entry 3

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,921 shares

Expires not disclosed

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

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

F1 · derivative.exercise_date: On March 4, 2021, there were 1,921 deferred share units ("DSUs") that settled, and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.expiration_date: On March 4, 2021, there were 1,921 deferred share units ("DSUs") that settled, and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

SEC source: 0000874501-21-000048 · wf-form4_161525102295717.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,514

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

SEC source: 0000874501-21-000048 · wf-form4_161525102295717.xml · nonDerivative · entry 1

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,409

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: On March 4, 2021, there were 1,921 deferred share units ("DSUs") that settled, and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company").

SEC source: 0000874501-21-000037 · wf-form4_161480536587354.xml · derivative · entry 5

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,316

Underlying: Common Stock · 2,209 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 RSU represents a contingent right to receive one share of common stock of the Company.

F3 · derivative.exercise_date: On March 2, 2021 there were 2,209 restricted stock units ("RSUs") that vested and settled and were converted into shares of common stock of the Company.

F3 · derivative.expiration_date: On March 2, 2021 there were 2,209 restricted stock units ("RSUs") that vested and settled and were converted into shares of common stock of the Company.

SEC source: 0000874501-21-000037 · wf-form4_161480536587354.xml · nonDerivative · entry 4

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,488

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

SEC source: 0000874501-21-000037 · wf-form4_161480536587354.xml · nonDerivative · entry 3

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,569

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 March 2, 2021 there were 2,209 restricted stock units ("RSUs") that vested and settled and were converted into shares of common stock of the Company.

SEC source: 0000874501-21-000037 · wf-form4_161480536587354.xml · nonDerivative · entry 2

Smith R Sharon · CIK 0001707461 · Senior Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,360

F2 · shares: As part of the vesting and settlement of the 2018 LTIP, 12,953 shares of common stock were withheld by the Company to satisfy certain tax withholding obligations.