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): October 9, 2008 (October 3, 2008)
AMBAC FINANCIAL GROUP, INC.
(Exact name of registrant as specified in its charter)
| | | | |
| Delaware | | 1-10777 | | 13-3621676 |
(State or Other Jurisdiction 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)) |
On October 6, 2008, Ambac Financial Group, Inc. (“Ambac”) issued a press release (dated October 3, 2008) announcing selected pre-tax financial data for the month of August 2008. A copy of the press release, filed as Exhibit 99.01 to this Current Report on Form 8-K, is incorporated by reference herein.
Certain statements in this document and the exhibit are “forward looking statements” within the meaning of the Private Securities Litigation Reform Act. These statements are based on management’s current expectations and are subject to uncertainty and changes in circumstances. Actual results may differ materially from those included in these statements due to a variety of factors. More information about these factors is contained in Ambac’s filings with the Securities and Exchange Commission.
| Item 9.01 | Financial Statements and Exhibits |
(d) Exhibits.
| | |
Exhibit
Number | | Item |
| 99.01 | | Press release, dated October 3, 2008, issued by Ambac Financial Group, Inc. |
SIGNATURE
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) |
| |
| By: | | /s/ Anne Gill Kelly |
| | Anne Gill Kelly Managing Director, Corporate Secretary and Assistant General Counsel |
Dated: October 9, 2008
INDEX TO EXHIBITS
| | |
Exhibit
Number | | Item |
| 99.01 | | Press release, dated October 3, 2008, issued by Ambac Financial Group, Inc. |
