SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Ambac Financial Group Inc – ‘8-K’ for 1/22/20

On:  Thursday, 1/23/20, at 4:10pm ET   ·   For:  1/22/20   ·   Accession #:  874501-20-12   ·   File #:  1-10777

Previous ‘8-K’:  ‘8-K’ on / for 11/7/19   ·   Next:  ‘8-K’ on / for 3/2/20   ·   Latest:  ‘8-K’ on / for 2/27/24

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  As Of               Filer                 Filing    For·On·As Docs:Size

 1/23/20  Ambac Financial Group Inc         8-K:3,7,9   1/22/20   13:288K

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     40K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML     12K 
 9: R1          Cover Document                                      HTML     51K 
13: XML         IDEA XML File -- Filing Summary                      XML     12K 
 8: XML         XBRL Instance -- a04-0478kitem301701_htm             XML     19K 
11: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.CAL  XBRL Calculations -- ambc-20200122_cal               XML      7K 
 5: EX-101.DEF  XBRL Definitions -- ambc-20200122_def                XML     43K 
 6: EX-101.LAB  XBRL Labels -- ambc-20200122_lab                     XML     86K 
 7: EX-101.PRE  XBRL Presentations -- ambc-20200122_pre              XML     45K 
 3: EX-101.SCH  XBRL Schema -- ambc-20200122                         XSD     16K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               15±    22K 
12: ZIP         XBRL Zipped Folder -- 0000874501-20-000012-xbrl      Zip     19K

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C:   C:   C: 
  Document  
 i false i 0000874501 0000874501 us-gaap:WarrantMember 2020-01-23 2020-01-23 0000874501 us-gaap:CommonStockMember 2020-01-23 2020-01-23 0000874501 2020-01-23 2020-01-23
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
 
 i 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):  i January 22, 2020
 i Ambac Financial Group Inc
(Exact name of Registrant as specified in its charter)
 i Delaware
 
 i 1-10777
 
 i 13-3621676
(State of incorporation)
 
(Commission
file number)
 
(I.R.S. employer
identification no.)
 i One World Trade Center
 i New York
 i NY
 i 10007
(Address of principal executive offices)
 
 i (212)
 i 658-7470
 
(Registrant's telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 i ☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
 
 i ☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
 
 i ☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act
(17 CFR 240.14d-2(b))
 
 
 i ☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act
(17 CFR 240.13e-4c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
 
Trading Symbol
 
Name of each exchange on which registered
 i Common Stock, par value $0.01 per share
 
 i AMBC
 
 i The Nasdaq Stock Market LLC
 i Warrants
 
 i AMBCW
 
 i The Nasdaq Stock Market LLC
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).
Emerging growth company
 i ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to
Section 13(a) of the Exchange Act.
☐
 


Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On January 22, 2020, Ambac Financial Group, Inc. (the “Company”), acting pursuant to authorization from its Board of Directors, determined to voluntarily withdraw the principal listing of the Company’s common stock, par value $0.01 per share (the “Common Stock”) and warrants, from The Nasdaq Global Select Market (“Nasdaq”) and to transfer the listing to the New York Stock Exchange (“NYSE”). The Company expects that listing and trading of the Common Stock and warrants on Nasdaq will end at market close on January 31, 2020, and that trading will begin on NYSE at market open on February 3, 2020.
The Common Stock and warrants have been approved for listing on NYSE, where they will continue to trade under the ticker symbol “AMBC” and “AMBC WS”.
Item 7.01 Regulation FD Disclosure
The Company issued the press release attached hereto as Exhibit 99.1 in connection with the transfer of the principal listing of the Common Stock to NYSE.
The information in Item 7.01 and Item 9.01 of this Current Report on Form 8-K is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, regardless of any general incorporation language in such filing.
Item 9.01
Financial Statements and Exhibits.
(d) Exhibits
Exhibit
 
 
Number
 
Exhibit Description
99.1
 
Press Release issued by Ambac Financial Group, Inc. dated January 22, 2020
EXHIBIT INDEX
Exhibit
 
 
Number
 
Exhibit Description
99.1
 
Press Release issued by Ambac Financial Group, Inc. dated January 22, 2020
101.INS
 
XBRL Instance Document - the instance document does not appear in the interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCH
 
XBRL Taxonomy Extension Schema Document.
101.CAL
 
XBRL Taxonomy Extension Calculation Linkbase Document.
101.LAB
 
XBRL Taxonomy Extension Label Linkbase Document.
101.PRE
 
XBRL Taxonomy Extension Presentation Linkbase Document.
101.DEF
 
XBRL Taxonomy Extension Definition Linkbase Document.
104
 
Cover Page Interactive Data File - The cover page interactive data file does not appear in the Interactive Data File because its XBRL tags or embedded within the Inline XBRL document

1

SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
 
 
 
Ambac Financial Group, Inc.
 
 
 
(Registrant)
 
 
 
 
 
 
Dated:
January 23, 2020
 
By:
 
/s/ William J. White
 
 
 
 
 
First Vice President, Secretary and Assistant General Counsel

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
2/3/2025
1/31/20
Filed on:1/23/20
For Period end:1/22/20
 List all Filings 
↑Top
Filing Submission 0000874501-20-000012   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Thu., Apr. 18, 6:41:02.1am ET