Every Form 4 that Ambac Financial Group, Inc. (AMBC) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow AMBC and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full AMBC filings page.
Stein Jeffrey Scott reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group Inc. director Jeffrey Scott Stein received a grant of 7,441 restricted stock units (RSUs). The RSUs were granted on April 1, 2026 and each RSU represents a contingent right to receive one share of Octave Specialty Group common stock.
The RSUs are scheduled to vest on April 1, 2027. Vested RSUs will settle into common shares on the earlier of the vesting date or when Stein ceases to be a member of the Board of Directors, unless he elects to defer settlement. Following this award, he holds 16,091 RSUs directly.
HAFT IAN DAVID reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group Inc. director Ian David Haft received a grant of 7,441 restricted stock units (RSUs). The award was made on April 1, 2026 and increases his directly held RSUs to 16,091. Each RSU represents a contingent right to receive one share of Octave Specialty Group common stock.
These RSUs are scheduled to vest on April 1, 2027. Once vested, they will settle into common shares on the vesting date or when Haft ceases to be a member of the Board of Directors, unless he elects to defer settlement.
IGLESIAS LISA G reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group director Lisa G. Iglesias received a grant of 7,441 restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the company’s common stock. Following this award, her directly held equity-linked interest totals 16,091 shares.
The RSUs were granted on April 1, 2026 and are scheduled to vest one year later on April 1, 2027. Vested RSUs will settle into common shares on the vesting date or when she ceases to serve on the Board of Directors, unless she elects to defer settlement.
Octave Specialty Group director Joan M. LammTennant received a grant of 7,441 restricted stock units (RSUs), each representing a contingent right to one share of common stock.
The RSUs were granted on April 1, 2026 and are scheduled to vest on April 1, 2027. Vested RSUs will convert into common shares on the earlier of the vesting date or when she ceases to serve on the Board, unless she elects to defer settlement. Following this award, she directly holds 16,091 RSUs tied to Octave Specialty Group common stock.
Matus Kristi Ann reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group Inc. director Kristi Ann Matus received a grant of 7,441 restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the company’s common stock. Following this grant, she holds 16,091 RSUs directly.
The RSUs granted on April 1, 2026 are scheduled to vest on April 1, 2027. Once vested, they will settle into common shares on the earlier of the vesting date or the date she ceases to serve on the Board of Directors, subject to any deferral election.
Octave Specialty Group director Michael D. Price received a grant of restricted stock units as equity compensation. On April 1, 2026, he was awarded 7,441 RSUs, each representing a right to receive one share of common stock. Following this award, his directly held RSUs total 16,091.
The RSUs granted on April 1, 2026 are scheduled to vest on April 1, 2027. Vested RSUs will convert into common shares on the earlier of the vesting date or when he ceases to serve on the Board of Directors, subject to any deferral election.
Octave Specialty Group’s Chief Accounting Officer, Cristina E. Ahn, reported routine equity compensation activity and tax withholding transactions. On March 23, 2026, she received a grant of 8,067 restricted stock units (RSUs) as part of her 2026 Long Term Incentive Plan award, bringing her RSU holdings to 9,718.
Footnotes state each RSU represents a right to receive one share of common stock, vesting in three equal annual installments starting on March 23, 2027, then on March 23, 2028 and March 23, 2029. On March 10, 2026, 835 RSUs were settled into 835 shares of common stock, and 203 shares were withheld at $4.90 per share to cover tax obligations, leaving 632 common shares directly held after withholding.
LeBlanc Claude reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group’s Chief Executive Officer Claude LeBlanc reported a compensation grant of 99,375 restricted stock units (RSUs). Each RSU represents a right to receive one share of common stock at no purchase price. The award is part of his 2026 Long Term Incentive Plan.
The RSUs vest in three equal annual installments on March 23 of 2027, 2028 and 2029, encouraging longer-term retention and alignment with shareholder interests. After this award, LeBlanc’s reported direct holdings total 520,212 shares of common stock underlying RSUs and stock.
Smith R Sharon reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group Inc reported that Executive Vice President and Group COO Sharon R. Smith received a grant of 24,375 restricted stock units as part of her 2026 Long Term Incentive Plan award. Each unit represents a right to receive one share of common stock.
The RSUs vest in three equal annual installments on March 23, 2027, March 23, 2028, and March 23, 2029. Following this award, her reported holdings of this derivative security total 120,314 units, reflecting ongoing equity-based compensation tied to long-term company performance.
Trick David reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group Inc. executive vice president, CFO and treasurer David Trick received a grant of 26,250 restricted stock units (RSUs) on March 23, 2026 as part of his 2026 Long Term Incentive Plan award. Each RSU represents a contingent right to receive one share of common stock. The RSUs vest in three equal annual installments on March 23 of 2027, 2028 and 2029. After this award, Trick directly holds 138,184 shares or share-equivalent units in the company.
METZ LAWRENCE F. reported acquisition or exercise transactions in this Form 4 filing.
Octave Specialty Group Inc. reported that officer Lawrence F. Metz received a grant of 28,246 restricted stock units as part of his 2026 Long Term Incentive Plan award. Each RSU represents a right to receive one share of common stock. The RSUs vest in three equal annual installments on March 23, 2027, March 23, 2028, and March 23, 2029, aligning compensation with long-term company performance.
Octave Specialty Group Inc.'s Chief Executive Officer Claude LeBlanc reported equity award activity on March 3, 2026. He acquired 47,130 Restricted Stock Units (RSUs) upon vesting of portions of his 2023 and 2024 RSU awards, each RSU representing one share of common stock.
On the same date, 22,582 RSUs were converted into an equivalent number of Deferred Share Units (DSUs) under the company’s Executive Stock Deferral Plan, allowing him to defer settlement and income taxation. In addition, 24,548 shares of common stock were acquired through derivative conversion, while 10,694 shares of common stock were withheld by the company at $5.60 per share to cover tax obligations.
Octave Specialty Group executive David Trick reported equity award activity involving restricted and deferred stock units. On March 3, 2026, he acquired 11,505 shares through the exercise and settlement of restricted stock units and 9,790 deferred share units, each representing one share of common stock.
He also acquired 1,715 shares of common stock upon RSU vesting and simultaneously disposed of 1,715 shares at $5.60 per share to satisfy tax withholding obligations. After these transactions, his directly held common stock position increased to 260,631 shares.
Octave Specialty Group executive R. Sharon Smith reported equity award settlements and related tax withholding. Smith acquired 10,261 shares of common stock through vesting of 2023 and 2024 restricted stock unit (RSU) awards, with 8,720 RSUs converted into deferred share units under the company’s executive stock deferral plan. A further 1,541 common shares were issued and the same number immediately withheld at $5.60 per share to cover tax obligations, leaving direct holdings of 149,182 common shares, 95,939 RSUs and 67,486 deferred share units.
Octave Specialty Group executive R. Sharon Smith, Exec VP & Group COO, reported multiple equity award transactions tied to a change of control. On September 29, 2025, 145,135 Deferred Share Units (DSUs) converted into the same number of common shares, and the company withheld 70,680 common shares at $9.72 per share to cover tax obligations.
On September 30, 2025, Smith received a grant of 76,206 DSUs, and exercised into 3,235 common shares, with an equal 3,235 shares withheld at $8.34 per share for taxes. After these transactions, Smith directly owned 149,162 common shares and 76,206 DSUs. Footnotes explain that the vesting and settlement of DSUs and performance stock units were triggered or accelerated in connection with a change of control involving the sale of Ambac Assurance Corporation.
Octave Specialty Group Inc executive David Trick reported multiple equity award transactions tied to Ambac Financial Group, Inc. common stock around a change of control. On September 29, 2025, 165,361 Deferred Share Units were converted into the same number of common shares at $0.00 per share, and 80,531 common shares at $9.72 were disposed of to cover tax obligations.
On September 30, 2025, he received a grant of 46,300 Deferred Share Units at $0.00 and acquired 42,515 common shares through an exercise or conversion. Another 22,796 common shares at $8.34 were delivered to the company for tax withholding. After these transactions, he directly held 260,631 common shares and 46,300 Deferred Share Units. Footnotes explain that Ambac’s sale of Ambac Assurance Corporation to an entity owned by Oaktree-managed funds triggered vesting and accelerated 2023–2024 performance stock unit awards.
Octave Specialty Group Inc. reported a new equity award to one of its directors. On January 1, 2026, the director received 4,524 restricted stock units (RSUs), each representing a right to receive one share of Octave Specialty Group common stock. The RSUs were recorded at an exercise price of $0 and are held as direct beneficial ownership, bringing the director’s total derivative securities beneficially owned to 8,650.
The RSUs granted on January 1, 2026 are scheduled to fully vest on January 1, 2027. Once vested, they convert into shares of common stock on the vesting date or when the director leaves the Board, unless the director has elected to defer settlement.
Octave Specialty Group Inc. director reports new equity award. A board member of Octave Specialty Group Inc. recorded a grant of 4,524 restricted stock units (RSUs) effective January 1, 2026. Each RSU represents a contingent right to receive one share of the company’s common stock.
The RSUs are scheduled to vest on January 1, 2027. Once vested, they will convert into shares of common stock on the earlier of the vesting date or the date the director leaves the company’s Board of Directors, subject to any deferral election by the reporting person. Following this transaction, the filing shows 8,650 derivative securities beneficially owned on a direct basis.
Octave Specialty Group Inc. director reported receiving restricted stock units that could convert into common shares. On January 1, 2026, the reporting person was granted 4,524 restricted stock units (RSUs), each tied to one share of Octave Specialty Group Inc. common stock. The RSUs are listed with a price of $0 and are shown as a direct holding.
The filing states that these RSUs will vest on January 1, 2027. Once vested, they will settle into shares of common stock on the earlier of the vesting date or the date the director resigns from, or otherwise ceases to be a member of, the company’s Board of Directors, unless the director elects to defer settlement. After this transaction, the filing shows 8,650 derivative securities beneficially owned.
Octave Specialty Group Inc. reported an equity award to a board member. On January 1, 2026, the director received 4,524 restricted stock units (RSUs), each representing a contingent right to one share of Octave Specialty Group common stock. These RSUs are scheduled to vest on January 1, 2027, and any vested RSUs will convert into common shares on the earlier of the vesting date or when the director leaves the Board, unless the director elects to defer settlement. After this grant, the director beneficially owns 8,650 derivative securities in the form of RSUs.
Octave Specialty Group Inc. reported an equity award to a board member in the form of restricted stock units. On January 1, 2026, the director received 4,524 restricted stock units (RSUs), each representing a contingent right to receive one share of Octave Specialty Group common stock. These RSUs are scheduled to vest on January 1, 2027. Once vested, they will convert into common shares on the earlier of the vesting date or the date the director leaves the company’s Board of Directors, unless the director elects to defer settlement. After this grant, the reporting person held a total of 8,650 derivative securities related to the company’s stock in direct ownership.
Octave Specialty Group Inc. reported an equity grant to a board member. A director received 4,524 restricted stock units (RSUs) of Octave Specialty Group Inc. common stock on January 1, 2026. Each RSU represents a right to receive one share of common stock and was granted at a price of $0 per unit. The RSUs are scheduled to vest on January 1, 2027. Once vested, they will convert into common shares on the earlier of the vesting date or the date the director ceases to serve on the company’s Board of Directors, unless the director elects to defer settlement. Following this grant, the reporting person holds 8,650 derivative securities directly.
Octave Specialty Group Inc. director and Chief Executive Officer reported buying additional company stock. On 01/02/2026, a Form 4 shows an open-market purchase of 12,000 shares of common stock at a price of $7.59 per share, coded as an acquisition transaction. After this trade, the reporting person beneficially owns 1,033,777 shares of Octave Specialty Group Inc. common stock in direct ownership. The filing reflects a single, straightforward insider purchase with no derivative securities activity disclosed.
Octave Specialty Group, Inc. (AMBC) reported a Form 4 showing its Exec VP & Group COO purchased 20 shares of common stock on 11/12/2025 at $10.25 per share. The filing states the shares were purchased as a gift to the reporting person’s son.
Following the transaction, the officer beneficially owns 170,952 shares, held directly. The company also noted that Ambac Financial Group, Inc. changed its name to Octave Specialty Group, Inc. on November 10, 2025.