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): August 14, 2002
(August 14, 2002)
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 State Street Plaza
New York, New York | | | | 10004 |
(Address of principal executive offices) | | | | (Zip code) |
(212) 668-0340
(Registrant’s telephone number, including area code)
Page 1 of 6 Pages
Index to Exhibits on Page 4
Item 7. Financial Statements, Pro Forma Financial Information and Exhibits
(c) Exhibits.
Exhibit Number
| | Item
|
|
| 99.08 | | Statement under oath of principal executive officer regarding facts and circumstances relating to Exchange Act filings. |
|
| 99.09 | | Statement under oath of principal financial officer regarding facts and circumstances relating to Exchange Act filings. |
Item 9. Regulation FD Disclosure
On August 14, 2002, Phillip B. Lassiter, the Principal Executive Officer, and Frank J. Bivona, the Principal Financial Officer, of Ambac Financial Group, Inc. (the “Registrant”) each signed a statement under oath regarding the facts and circumstances relating to Exchange Act filings of the Registrant. A copy of these statements is attached hereto as Exhibit 99.08 and Exhibit 99.09.
Page 2 of 6
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: August 14, 2002 | | | | By: /s/ FRANK J. BIVONA
|
| | | | | Frank J. Bivona
Vice Chairman and
Chief Financial Officer |
Page 3 of 6
INDEX TO EXHIBITS
Exhibit Number
| | Description of Exhibit
|
|
| 99.08 | | Statement under oath of principal executive officer regarding facts and circumstances relating to Exchange Act filings. |
|
| 99.09 | | Statement under oath of principal financial officer regarding facts and circumstances relating to Exchange Act filings. |
Page 4 of 6
