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): October 20, 2004
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)
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-4(c)) |
Item 2.02 Results of Operations and Financial Condition.
On October 20, 2004, Ambac Financial Group, Inc. (the “Registrant”) issued a press release containing unaudited interim financial information and accompanying discussion for the 2004 third quarter and nine month earnings. Exhibit 99.07 is a copy of such press release and is incorporated by reference.
The information furnished under Item 2.02 of this Current Report on Form 8-K, including Exhibit 99.07, shall be deemed to be “filed” for purposes of the Securities and Exchange Act of 1934, as amended.
Item 9.01 Financial Statements and Exhibits.
(c) Exhibits.
| Exhibit Number | Item | |
| 99.07 | Press Release dated October 20, 2004 |
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: October 20, 2004 | ||||
By: | /s/ Thomas J. Gandolfo | |||
Thomas J. Gandolfo | ||||
Senior Vice President and | ||||
Chief Financial Officer | ||||
INDEX TO EXHIBITS
| Exhibit Number | Description of Exhibit | |
| 99.07 | Unaudited interim financial statements and accompanying discussion for the three and nine months ended September 30, 2004 contained in the press release issued by the Registrant on October 20, 2004. |