株探米国株
英語
エドガーで原本を確認する
0000874501FALSE00008745012023-06-222023-06-22

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 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): June 22, 2023
Ambac Financial Group, Inc.
(Exact name of Registrant as specified in its charter)

Delaware 1-10777 13-3621676
(State of incorporation) (Commission
file number)		 (I.R.S. employer
identification no.)
One World Trade Center New York NY 10007
(Address of principal executive offices)
(212)
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:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act
(17 CFR 240.14d-2(b))
☐ 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
Common stock, par value $0.01 per share AMBC New York Stock Exchange
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
☐
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 5.07 Submission of Matters to a Vote of Security Holders
The Annual Meeting of Stockholders of Ambac Financial Group, Inc. (the “Company”) was held on June 22, 2023. Represented at the meeting were 38,642,509 shares, or approximately 85%, of the Company’s 45,321,745 shares of common stock outstanding and entitled to vote at the meeting. Set forth below are the final voting results for the actions taken by the stockholders at the meeting.
1.The Company’s stockholders elected the seven (7) director nominees named below to a term expiring at the 2024 annual meeting or until their successors are elected and qualified, with each receiving the following votes:
Name
Number of
Votes For
Number of Votes Against
Number of
Votes Abstained
Broker
Non-Votes
Ian D. Haft 30,778,513 3,065,481 94,123 4,704,392
Lisa G. Iglesias 32,899,324 944,227 94,566 4,704,392
Joan Lamm-Tennant 29,151,144 4,692,501 94,472 4,704,392
Claude LeBlanc 32,884,306 1,019,708 34,103 4,704,392
Kristi A. Matus 32,878,585 964,789 94,743 4,704,392
Michael D. Price 32,968,522 875,203 94,392 4,704,392
Jeffrey S. Stein 32,288,812 1,554,290 95,015 4,704,392
2.The Company’s stockholders approved, by advisory (non-binding vote), the compensation of our named executive officers, as disclosed in the Company’s 2023 Proxy Statement, with the following vote:
Number of
Votes For
Number of
Votes Against
Number of
Votes Abstained
Broker
Non-Votes
25,414,687 8,253,729 269,701 4,704,392
3.The Company’s stockholders ratified the selection of KPMG LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2023 with the following vote:
Number of Votes For
Number of Votes Against
Number of Votes Abstained
37,837,524 772,230 32,755
EXHIBIT INDEX
Exhibit
Number Exhibit Description
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 hereunto duly authorized.
Ambac Financial Group, Inc.
(Registrant)
Dated: June 22, 2023 By:
/s/ William J. White
William J. White
First Vice President, Secretary and Assistant General Counsel
2