Ambac Financial Group Inc - Securities Registration (section 12(b)) (8-A12B)
11 Marzo 2008 - 10:19PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN
CLASSES OF SECURITIES
PURSUANT TO SECTION 12(B) OR 12(G) OF THE
SECURITIES EXCHANGE ACT OF 1934
Ambac Financial Group, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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13-3621676
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(State of incorporation
or organization)
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(I.R.S. employer
identification number)
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One State Street Plaza
New York, NY
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10004
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(Address of principal executive offices)
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(Zip Code)
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(212) 668-0340
(Registrants telephone number, including area code)
If this Form relates to the registration of
a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), please check the following box.
x
If this Form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction
A.(d), please check the following box.
¨
Securities Act registration statement file number to
which this form relates: 333-131888
Securities to be registered pursuant to
Section 12(b) of the Act:
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Title of each class
to be so registered
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Name of each exchange on which
each class is to be registered
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Corporate Units
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New York Stock Exchange
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Securities to be registered pursuant to Section 12(g) of the Act: None
Item 1. Description of Registrants Securities to be Registered.
The descriptions of Registrants Corporate Units to be registered hereunder appearing under the captions Description of
SecuritiesDescription of Capital Stock, Description of SecuritiesDescription of Debt Securities and Description of SecuritiesDescription of Stock Purchase Contracts and Stock Purchase Units in the
Prospectus dated January 16, 2008 included in Post-Effective Amendment No. 2 to the Registrants automatic shelf registration statement on Form S-3 (No. 333-131888) originally filed with the U.S. Securities and Exchange Commission
(the Commission) under the Securities Act of 1933 (the Securities Act) on February 15, 2006, filed by the Registrant under the Securities Act with the Commission on January 16, 2008, and under the captions
Description of the Equity Units, Description of the Purchase Contracts, Certain Provisions of the Purchase Contract Agreement and Pledge Agreement, Description of our Senior Notes and Description
of our Capital Stock in the prospectus supplement filed with the Commission on March 10, 2008 relating to the Equity Units Offering, pursuant to Rule 424(b) under the Securities Act are incorporated herein by reference to such filings.
Item 2. Exhibits.
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Exhibit No.
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Description
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*1.1
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Underwriting Agreement among the Registrant, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., Banc of America Securities LLC and UBS Securities LLC on behalf of the
Underwriters named therein relating to the offering of the Equity Units.
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3.1
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Conformed Amended and Restated Certificate of Incorporation of Ambac Financial Group filed with the Secretary of State of the State of Delaware on July 11, 1997. (Filed as Exhibit 4.05 to
Ambac Financial Groups Quarterly Report for the quarter ended September 30, 1997 and incorporated herein by reference.)
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3.2
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Conformed Copy of the Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Ambac Financial Group, Inc. filed with the Secretary of State of the State of Delaware
on May 13, 1998. (Filed as Exhibit 4.04 to the Ambac Financial Group Inc.s Quarterly Report for the quarter ended June 30, 1998 and incorporated herein by reference.)
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3.3
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Conformed Copy of Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Ambac Financial Group, Inc. filed with the Secretary of State of the State of Delaware on
May 28, 2004. (Filed as Exhibit 3.03 to Ambac Financial Group, Inc.s Annual Report on Form 10-K for the year ended December 31, 2004 and incorporated herein by reference.)
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3.4
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By-laws of Ambac Financial Group, Inc., as amended through May 8, 2007. (Filed as Exhibit 3.05 to Ambac Financial Group Inc.s Quarterly Report on Form 10-Q for the quarter ended June 30,
2008 and incorporated herein by reference.)
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*3.5
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Certificate of Designation relating to the Series A Participating Preferred Stock.
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*4.1
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Purchase Contract Agreement among the Registrant and The Bank of New York, as purchase contract agent.
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*4.2
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Pledge Agreement among the Registrant, The Bank of New York, as collateral agent, custodial agent and securities intermediary, and The Bank of New York, as purchase contract
agent.
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*4.3
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Remarketing Agreement among the Registrant, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc. and The Bank of New York, as purchase contract agent and attorney-in-fact of the
holders of purchase.
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4.4
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Indenture, dated as of February 15, 2006, between the Registrant and The Bank of New York, as Trustee, substantially in the form executed (incorporated herein by reference to Exhibit 4.1 to the
Companys Shelf Registration on Form S-3 dated February 16, 2006).
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*4.5
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Supplemental Indenture, between the Company and The Bank of New York, as Trustee.
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*4.6
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Form of Senior Note initially due February 15, 2021.
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*4.7
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Form of Corporate Unit.
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*4.8
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Form of Treasury Unit.
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4.9
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Prospectus dated January 16, 2008 included in Post-Effective Amendment No. 2 to the Registrants automatic shelf registration statement on Form S-3 (No. 131888) originally filed with the
Commission under the Securities Act on February 15, 2006. (Filed by the Registrant on January 16, 2008 and incorporated herein by reference.)
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4.10
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Prospectus Supplement dated as of March 6, 2008 to the Prospectus dated January 16, 2008 relating to the Common Stock Offering. (Filed by the Registrant pursuant to Rule 424(b)(2) on March 10,
2008 and incorporated herein by reference.)
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To be filed either by amendment or as an exhibit to a report filed under the Securities Exchange Act of 1934, as amended, and incorporated herein by reference.
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SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Form 8-A Registration Statement to be signed on its behalf by the undersigned,
thereto duly authorized.
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AMBAC FINANCIAL GROUP, INC.
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/s/ Kevin J. Doyle
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Name:
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Kevin J. Doyle
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Title:
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General Counsel
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Dated: March 11, 2008
Exhibit Index
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Exhibit No.
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Description
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*1.1
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Underwriting Agreement among the Registrant, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., Banc of America Securities LLC and UBS Securities LLC on behalf of the
Underwriters named therein relating to the offering of the Equity Units.
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3.1
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Conformed Amended and Restated Certificate of Incorporation of Ambac Financial Group filed with the Secretary of State of the State of Delaware on July 11, 1997. (Filed as Exhibit 4.05 to
Ambac Financial Groups Quarterly Report for the quarter ended September 30, 1997 and incorporated herein by reference.)
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3.2
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Conformed Copy of the Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Ambac Financial Group, Inc. filed with the Secretary of State of the State of Delaware
on May 13, 1998. (Filed as Exhibit 4.04 to the Ambac Financial Group Inc.s Quarterly Report for the quarter ended June 30, 1998 and incorporated herein by reference.)
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3.3
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Conformed Copy of Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Ambac Financial Group, Inc. filed with the Secretary of State of the State of Delaware on
May 28, 2004. (Filed as Exhibit 3.03 to Ambac Financial Group, Inc.s Annual Report on Form 10-K for the year ended December 31, 2004 and incorporated herein by reference.)
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3.4
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By-laws of Ambac Financial Group, Inc., as amended through May 8, 2007. (Filed as Exhibit 3.05 to Ambac Financial Group Inc.s Quarterly Report on Form 10-Q for the quarter ended June 30,
2008 and incorporated herein by reference.)
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*3.5
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Certificate of Designation relating to the Series A Participating Preferred Stock.
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*4.1
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Purchase Contract Agreement among the Registrant and The Bank of New York, as purchase contract agent.
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*4.2
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Pledge Agreement among the Registrant, The Bank of New York, as collateral agent, custodial agent and securities intermediary, and The Bank of New York, as purchase contract
agent.
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*4.3
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Remarketing Agreement among the Registrant, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc. and The Bank of New York, as purchase contract agent and attorney-in-fact of the
holders of purchase.
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4.4
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Indenture, dated as of February 15, 2006, between the Registrant and The Bank of New York, as Trustee, substantially in the form executed (incorporated herein by reference to Exhibit 4.1 to the
Companys Shelf Registration on Form S-3 dated February 16, 2006).
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*4.5
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Supplemental Indenture, between the Company and The Bank of New York, as Trustee.
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*4.6
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Form of Senior Note initially due February 15, 2021.
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*4.7
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Form of Corporate Unit.
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*4.8
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Form of Treasury Unit.
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*4.9
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Certificate of Designation relating to the Series A Participating Preferred Stock.
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4.9
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Prospectus dated January 16, 2008 included in Post-Effective Amendment No. 2 to the Registrants automatic shelf registration statement on Form S-3 (No. 131888) originally filed with
the Commission under the Securities Act on February 15, 2006. (Filed by the Registrant on January 16, 2008 and incorporated herein by reference.)
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4.10
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Prospectus Supplement dated as of March 6, 2008 to the Prospectus dated January 16, 2008 relating to the Common Stock Offering. (Filed by the Registrant pursuant to Rule 424(b)(2) on March 10,
2008 and incorporated herein by reference.)
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To be filed either by amendment or as an exhibit to a report filed under the Securities Exchange Act of 1934, as amended, and incorporated herein by reference.
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