0000874501-20-000004.txt : 20200106 0000874501-20-000004.hdr.sgml : 20200106 20200106164246 ACCESSION NUMBER: 0000874501-20-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200106 DATE AS OF CHANGE: 20200106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Trick David CENTRAL INDEX KEY: 0001480597 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10777 FILM NUMBER: 20510335 MAIL ADDRESS: STREET 1: AMBAC FINANCIAL GROUP, INC. STREET 2: ONE STATE STREET PLAZA CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMBAC FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000874501 STANDARD INDUSTRIAL CLASSIFICATION: SURETY INSURANCE [6351] IRS NUMBER: 133621676 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE STATE ST PLZ CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2126680340 MAIL ADDRESS: STREET 1: ONE STATE ST PLZ CITY: NEW YORK STATE: NY ZIP: 10004 FORMER COMPANY: FORMER CONFORMED NAME: AMBAC INC /DE/ DATE OF NAME CHANGE: 19930328 4 1 wf-form4_157834694826954.xml FORM 4 X0306 4 2020-01-02 0 0000874501 AMBAC FINANCIAL GROUP INC AMBC 0001480597 Trick David AMBAC FINANCIAL GROUP, INC. ONE WORLD TRADE CENTER, 41ST FLOOR NEW YORK NY 10007 0 1 0 0 Exec VP, CFO & Treasurer Common Stock 2020-01-02 4 M 0 2599 0 A 61645 D Common Stock 2020-01-02 4 F 0 1020 21.76 D 60625 D Restricted Stock Units 2020-01-02 4 M 0 2599 0 D Common Stock 2599.0 17330 D On January 2, 2020 there were 2,599 restricted stock unit ("RSUs") that vested, settled and were converted into shares of common stock of Ambac Financial Group, Inc. (the "Company"). Represents the amount of RSUs that were converted into shares of common stock and withheld by the Company to satisfy certain tax withholding obligations. Each RSU represents a contingent right to receive one share of the common stock the Company. William J. White, attorney-in-fact 2020-01-06 EX-24 2 poa-davidtrickforedgarizing.htm POWER OF ATTORNEY

                                               POWER OF ATTORNEY



            I, DAVID TRICK, do hereby nominate, constitute and appoint each of William White, Stephen M. Ksenak and Yolanda Ortiz, as my true and lawful agent and attorney-in-fact, with full power and authority to act hereunder, in his or her discretion, in my name and on my behalf as fully as I could if I were present and acting in person, to make any and all required or voluntary filings under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the applicable rules and regulations thereunder, with the Securities and Exchange Commission, the New York Stock Exchange, Ambac Financial Group, Inc., a Delaware corporation (the "Company"), and any other person or entity to which such filings may be required under Section 16(a) of the Exchange Act as a result of my service as an officer of the Company or beneficial ownership (within the meaning of Section 16(a) of the Exchange Act) of more than ten percent of any class of equity securities of the Company.

            I hereby consent to, ratify and confirm all that each said attorney-in-fact shall do or cause to be done by virtue of this Power of Attorney.  I hereby acknowledge that each attorney-in-fact, in serving in such capacity at my request, is not assuming, nor is the Company assuming, any of my responsibilities to comply with Section 16 of the Exchange Act.

            This Power of Attorney shall remain in full force and effect from this date forward for so long as I am an officer or director of the Company and for such time thereafter as may be necessary to make any such filings or until revoked or modified by me.  I hereby revoke all prior powers of attorney relating to the foregoing acts.

            IN WITNESS WHEREOF, I have hereunto signed my name this 17th day of December, 2013.




                                ____/s/ David Trick_____