Item 5. Other Information
Item 5. Other Information — No matters require disclosure.
| Ambac Financial Group, Inc. 81 2021 Third Quarter FORM 10-Q |
Item 6. Exhibits
Exhibit
Number Description
Other exhibits, filed or furnished, as indicated:
4.1 Indenture, dated as of July 6, 2021, between Sitka Holdings, LLC and The Bank of New York Mellon, as trustee and note collateral agent (Incorporated by reference to exhibit 4.1 filed with the Company’s Current Report on Form 8-K filed on July 6, 2021).
4.2 Form of LIBOR plus 4.50% Floating Rate Senior Secured Notes due 2026 (Incorporated by reference to exhibit 4.1 filed with the Company’s Current Report on Form 8-K filed on July 6, 2021).
4.3 Promissory Note and Security Agreement issued by Ambac Assurance Corporation in favor of Sitka Holdings, LLC (Incorporated by reference to exhibit 4.3 filed with the Company’s Current Report on Form 8-K filed on July 6, 2021).
10.1 Collateral Agreement, dated as of July 6, 2021, made by Sitka Holdings, LLC in favor of The Bank of New York Mellon, as note collateral agent and trustee (Incorporated by reference to exhibit 10.1 filed with the Company’s Current Report on Form 8-K filed on July 6, 2021).
10.2 Financial Guaranty Insurance Policy, dated July 6, 2021, issued by Ambac Assurance Corporation (Incorporated by reference to exhibit 10.2 filed with the Company’s Current Report on Form 8-K filed on July 6, 2021).
31.1+ Certification of Chief Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) Promulgated under the Securities Exchange Act of 1934, as amended.
31.2+ Certification of Chief Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) Promulgated under the Securities Exchange Act of 1934, as amended.
32.1++ Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
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
+ Filed herewith. ++ Furnished herewith.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
AMBAC FINANCIAL GROUP, INC.
Dated: November 8, 2021 By: /S/ DAVID TRICK
Name: David Trick
Title: Chief Financial Officer and Treasurer
(Duly Authorized Officer and
Principal Financial Officer)
| Ambac Financial Group, Inc. 82 2021 Third Quarter FORM 10-Q |
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.