SCHEDULE: Ambac Financial Group: Broker-Dealers Report 2.2% Stake
Beneficial Ownership Report
Three affiliated broker-dealers, G1 Execution Services, SIG Brokerage, and Susquehanna Securities, collectively reported a 2.2% beneficial ownership stake in Ambac Financial Group, Inc.
Summary
- G1 Execution Services, LLC, SIG Brokerage, LP, and Susquehanna Securities, LLC, acting as an affiliated group, reported beneficial ownership of 1,017,308 shares of Ambac Financial Group, Inc. common stock.
- This aggregate ownership represents 2.2% of Ambac Financial Group's outstanding common stock.
- The shares were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
- Susquehanna Securities, LLC's reported beneficial ownership includes options to buy 735,400 shares.
- As of August 5, 2025, Ambac Financial Group had 46,401,736 shares outstanding, as reported in their Form 10-Q filed on August 7, 2025.
Sentiment
Score: 5
Explanation: This is a routine beneficial ownership filing (Schedule 13G) by institutional investors, indicating a passive stake. It provides factual information about ownership structure but does not contain operational or financial performance data, thus warranting a neutral sentiment score.
Future Outlook
The filing does not contain any forward-looking statements or guidance from the reporting persons or the issuer.
Industry Context
This filing is a routine disclosure by broker-dealers reporting a passive ownership stake below the 5% threshold, indicating their holdings are part of their ordinary course of business activities, such as market making or proprietary trading, rather than an activist investment. It does not suggest any specific industry trends or competitive shifts for Ambac Financial Group.
Stakeholder Impact
- Shareholders: Provides transparency regarding institutional ownership, confirming a passive stake by affiliated broker-dealers.
Key Dates
| Date | Description |
|---|---|
| 08/05/2025 | Date as of which Ambac Financial Group, Inc. had 46,401,736 shares outstanding, per their Form 10-Q. |
| 08/07/2025 | Date Ambac Financial Group, Inc. filed its Quarterly Report on Form 10-Q. |
| 09/30/2025 | Date of event which required the filing of this Schedule 13G statement. |
| 11/13/2025 | Date the Schedule 13G and Joint Filing Agreement were signed by the reporting persons. |
Keywords
Ambac Financial Group, Beneficial Ownership, Schedule 13G, Common Stock, Broker-Dealer, G1 Execution Services, SIG Brokerage, Susquehanna Securities, Equity Stake
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