Statistik Asas
| LEI | 549300SNNS1GRWBTGA28 |
| CIK | 1365555 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to AmTrust Financial Services, Inc. - Preferred Stock
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| February 7, 2019 |
AFSI / AmTrust Financial Services, Inc. 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTIY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-33143 AmTrust Financial Services, Inc. (Exact name of registrant as spe |
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| January 31, 2019 |
AFSI / AmTrust Financial Services, Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* AmTrust Financial Services Inc (Name of Issuer) Common Stock (Title of Class of Securities) 032359309 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| January 30, 2019 |
Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement 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) January 30, 2019 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Emp |
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| January 28, 2019 |
AFSI / AmTrust Financial Services, Inc. 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33143 AmTrust Financial Services, Inc. NEW YORK STOCK EXCHANGE LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or regi |
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| January 18, 2019 |
AmTrust to Voluntarily Delist and Deregister All Series of Preferred Stock and Subordinated Notes Exhibit 99.1 MEDIA RELEASE AmTrust to Voluntarily Delist and Deregister All Series of Preferred Stock and Subordinated Notes NEW YORK, January 18, 2019 - AmTrust Financial Services, Inc. (“AmTrust” or the “Company”) today announced that its Board of Directors has approved the voluntary delisting of all six series of preferred stock and two series of subordinated notes from the New York Stock Excha |
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| January 18, 2019 |
8-K 1 form8knysedelistinganddire.htm 8-K 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) January 18, 2019 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State o |
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| January 17, 2019 |
Exhibit 4.3 AmTrust Financial Services, Inc. as Issuer The Bank of New York Mellon Trust Company, N.A. as Trustee Eighth Supplemental Indenture Dated as of November 29, 2018 to the Indenture dated as of December 21, 2011 2.75% Convertible Senior Notes due 2044 EIGHTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of November 29, 2018, between AmTrust Financial Services, Inc., a D |
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| January 17, 2019 |
Financial Statements and Exhibits, Other Events 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) January 14, 2019 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Emp |
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| January 3, 2019 |
Partial Termination Endorsement Exhibit 10.1 PARTIAL TERMINATION ENDORSEMENT to the AMENDED AND RESTATED QUOTA SHARE REINSURANCE AGREEMENT (hereinafter referred to as the “Agreement”) between AMTRUST INTERNATIONAL INSURANCE, LTD. Hamilton, Bermuda (hereinafter referred to as the “Company”) and MAIDEN REINSURANCE LTD. Hamilton, Bermuda (hereinafter referred to as the “Reinsurer”) IT IS HEREBY AGREED that, effective as of 12:01 a. |
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| January 3, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) December 31, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Em |
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| December 10, 2018 |
AFSI / AmTrust Financial Services, Inc. 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTIY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-33143 AmTrust Financial Services, Inc. (Exact name of registrant as spe |
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| December 4, 2018 |
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) November 28, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Em |
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| November 30, 2018 |
AFSI / AmTrust Financial Services, Inc. / ICAHN CARL C - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address and Te |
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| November 30, 2018 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| November 29, 2018 |
AFSI / AmTrust Financial Services, Inc. S-8 POS As filed with the Securities and Exchange Commission on November 29, 2018 Registration No. |
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| November 29, 2018 |
AFSI / AmTrust Financial Services, Inc. S-8 POS S-8 POS 1 forms-8posv2.htm S-8 POS As filed with the Securities and Exchange Commission on November 29, 2018 Registration No. 333-147867 Registration No. 333-166943 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S‑8 REGISTRATION STATEMENT NO. 333-147867 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-166943 U |
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| November 29, 2018 |
EX-10.1 EXHIBIT 10.1 CREDIT AGREEMENT dated as of November 29, 2018 among AMTRUST FINANCIAL SERVICES, INC. The Lenders Party Hereto JPMORGAN CHASE BANK, N.A. as Administrative Agent and Issuing Bank FIFTH THIRD BANK and KEYBANK NATIONAL ASSOCIATION as Co-Syndication Agents and BANK OF AMERICA, N.A., BMO HARRIS BANK N.A., REGIONS BANK and U.S. BANK NATIONAL ASSOCIATION as Co-Documentation Agents JP |
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| November 29, 2018 |
Form 8-K 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) November 29, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commissio |
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| November 29, 2018 |
EX-3.2 EXHIBIT 3.2 SECOND AMENDED AND RESTATED BY-LAWS OF AMTRUST FINANCIAL SERVICES, INC. A Delaware corporation Adopted as of November 29, 2018 ARTICLE I OFFICES Section 1. Registered Office. The registered office of AmTrust Financial Services, Inc. (the “Corporation”) in the State of Delaware shall be located at 251 Little Falls Drive, Wilmington, Delaware 19808. The name of the Corporation’s r |
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| November 29, 2018 |
Warrant issued on November 29, 2018 EX-4.1 EXHIBIT 4.1 WARRANT THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR QUALIFIED UNDER ANY STATE OR FOREIGN SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED OR ASSIGNED UNLESS (I) A REGISTRATION STATEMENT COVERING SUCH SHARES IS EFFEC |
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| November 29, 2018 |
AmTrust Go-Private Transaction Completed EX-99.1 EXHIBIT 99.1 AmTrust Go-Private Transaction Completed NEW YORK, November 29, 2018 – AmTrust Financial Services, Inc. (Nasdaq: AFSI) (“AmTrust” or the “Company”) today announced the completion of the merger transaction in which Evergreen Parent, L.P., an entity formed by private equity funds managed by Stone Point Capital LLC (“Stone Point”), together with Barry Zyskind, Chairman and CEO of |
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| November 29, 2018 |
Certificate of Amendment to Amended and Restated Certificate of Incorporation EX-3.1 EXHIBIT 3.1 STATE OF DELAWARE CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AMTRUST FINANCIAL SERVICES, INC. Pursuant to Section 242 of the General Corporation Law of the State of Delaware AmTrust Financial Services, Inc. (the “Corporation”), a corporation organized and existing under the laws of the State of Delaware, does hereby certify: FIRST: That the |
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| November 29, 2018 |
Form 8-K 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) November 29, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction of incorpo |
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| November 29, 2018 |
AMENDMENT NO.2 TO THE ROLLOVER AGREEMENT EX-99.(D)(14) Exhibit (d)(14) AMENDMENT NO.2 TO THE ROLLOVER AGREEMENT This Amendment No. 2 (this “Amendment”) is made as of November 29, 2018 by and between Evergreen Parent, L.P., a Delaware limited partnership (“Parent”), and each stockholder of AmTrust Financial Services, Inc., a Delaware corporation (the “Company”), listed on Schedule I hereto (collectively, the “Rollover Investors”) to amend |
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| November 29, 2018 |
EX-99.(A)(20) Exhibit (a)20 PRIVATE & CONFIDENTIAL October 26, 2018 You are receiving this letter because you have been selected as a member of a limited group of AmTrust Financial Services, Inc. (“AmTrust”) employees who are eligible to elect to “rollover” all or a portion of your shares of AmTrust common stock (“Shares”) and your RSUs (as defined below) into equity interests of Evergreen Parent, |
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| November 29, 2018 |
SC 13E3/A - Amendment # 4 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) (Amendment No. 4) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 AMTRUST FINANCIAL SERVICES, INC. Name of Subject Company (Issuer) AMT |
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| November 29, 2018 |
EX-99.(A)(21) Exhibit (a)21 CONFIDENTIAL. For internal use only. Not for distribution. Rollover Update Deadline for Rollover Materials To provide you with more time to make your decision, we are extending the deadline for the return of completed materials to 5 pm EST on Monday, November 5th. In order to rollover your shares you must deliver all shares to the American Stock Transfer & Trust Company |
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| November 29, 2018 |
EX-99.(D)(12) Exhibit (d)(12) THE SECURITIES SUBSCRIBED FOR BY THIS AGREEMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY OTHER APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE OFFERED OR SOLD UNLESS REGISTERED THEREUNDER OR UNLESS AN EXEMPTION FROM SUCH REGISTRATION IS AVAILABLE. TRANSFER OF SUCH SECURITIES IS ALSO RESTRICTED BY THE TERMS OF THIS AGREEMENT. ROLLOV |
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| November 29, 2018 |
EX-99.(D)(13) Exhibit (d)(13) WARRANT THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR QUALIFIED UNDER ANY STATE OR FOREIGN SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED OR ASSIGNED UNLESS (I) A REGISTRATION STATEMENT COVERING SUCH SHAR |
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| November 27, 2018 |
Financial Statements and Exhibits, Other Events 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) November 27, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Em |
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| November 27, 2018 |
Exhibit 99.1 MEDIA RELEASE AmTrust Go-Private Transaction Receives Regulatory Approval Transaction Expected to Close on November 29, 2018 NEW YORK, November 27, 2018 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (“AmTrust” or the “Company”) today announced that it has obtained all regulatory approvals required to complete the merger transaction in which Evergreen Parent, L.P., an entity formed |
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| November 9, 2018 |
8-K 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) November 8, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction of incorporation |
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| November 9, 2018 |
EX-10.1 Exhibit 10.1 DATED 8 November 2018 AMTRUST CORPORATE CAPITAL LIMITED AMTRUST CORPORATE MEMBER LIMITED AMTRUST CORPORATE MEMBER TWO LIMITED ANV CORPORATE NAME LIMITED as Corporate Members - and - AMTRUST INTERNATIONAL INSURANCE, LTD. as Account Party - and - AMTRUST FINANCIAL SERVICES, INC. as Guarantor - and - THE BANKS AND FINANCIAL INSTITUTIONS LISTED IN SCHEDULE 1 OF THE AMENDED FACILIT |
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| November 9, 2018 |
AFSI / AmTrust Financial Services, Inc. AFSI 2018 Q3 10Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file no. 001-33143 AmTrust Fina |
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| November 9, 2018 |
ENDORSEMENT NO. 5 to the AMENDED AND RESTATED QUOTA SHARE REINSURANCE AGREEMENT (hereinafter referred to as the “Agreement”) between AMTRUST INTERNATIONAL INSURANCE, LTD. Hamilton, Bermuda (hereinafter referred to as the “Company”) and MAIDEN REINSURANCE LTD. Hamilton, Bermuda (hereinafter referred to as the “Reinsurer”) WHEREAS, AmTrust Europe Limited (formerly known as IGI Insurance Company Limi |
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| October 26, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 24, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Emp |
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| October 26, 2018 |
Exhibit 10.1 DATED 24 October 2018 AMTRUST CORPORATE CAPITAL LIMITED AMTRUST CORPORATE MEMBER LIMITED AMTRUST CORPORATE MEMBER TWO LIMITED ANV CORPORATE NAME LIMITED as Corporate Members - and - AMTRUST INTERNATIONAL INSURANCE, LTD. as Account Party - and - AMTRUST FINANCIAL SERVICES, INC. as Guarantor - and - THE BANKS AND FINANCIAL INSTITUTIONS LISTED IN SCHEDULE 1 OF THE AMENDED FACILITY AGREEM |
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| August 9, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) August 8, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Emplo |
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| August 9, 2018 |
Exhibit 10.1 ENDORSEMENT NO. 4 to the AMENDED AND RESTATED QUOTA SHARE REINSURANCE AGREEMENT (hereinafter referred to as the “Agreement”) between AMTRUST INTERNATIONAL INSURANCE, LTD. Hamilton, Bermuda (hereinafter referred to as the “Company”) and MAIDEN REINSURANCE LTD. Hamilton, Bermuda (hereinafter referred to as the “Reinsurer”) IT IS HEREBY AGREED, effective 12:01 a.m., Eastern Standard Time |
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| August 9, 2018 |
AFSI / AmTrust Financial Services, Inc. AFSI 2018 Q2 10Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file no. 001-33143 AmTrust Financial |
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| July 25, 2018 |
EX-99.14 Exhibit 99.14 EXECUTION VERSION SUBSCRIPTION AGREEMENT This SUBSCRIPTION AGREEMENT (this “Agreement”), dated as of July 23, 2018, is made and entered into by and among Evergreen Parent, L.P., a Delaware limited partnership (“Parent” or the “Partnership”), Enstar Group Limited, an exempted company formed under the laws of Bermuda (“Investor”), K-Z Evergreen, LLC, a Delaware limited liabili |
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| July 25, 2018 |
EX-99.16 Exhibit 99.16 MADISON DEARBORN CAPITAL PARTNERS VII-A, L.P. MADISON DEARBORN CAPITAL PARTNERS VII-C, L.P. MADISON DEARBORN CAPITAL PARTNERS VII EXECUTIVE-A, L.P. c/o Madison Dearborn Partners 70 W. Madison St. Suite 4600 Chicago, Illinois 60602 July 23, 2018 MH JV Holdings, L.P, c/o Madison Dearborn Partners 70 W. Madison St. Suite 4600 Chicago, Illinois 60602 Ladies and Gentlemen: Refere |
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| July 25, 2018 |
SC 13E3/A - Amendment # 3 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) (Amendment No. 3) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 AMTRUST FINANCIAL SERVICES, INC. Name of Subject Company (Issuer) AMT |
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| July 25, 2018 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| July 25, 2018 |
EX-99.15 Exhibit 99.15 EXECUTION VERSION SUBSCRIPTION AGREEMENT This SUBSCRIPTION AGREEMENT (this “Agreement”), dated as of July 23, 2018, is made and entered into by and among Evergreen Parent, L.P., a Delaware limited partnership (“Parent” or the “Partnership”), MH JV Holdings, L.P., a Delaware limited partnership (“Investor”“), K-Z Evergreen, LLC, a Delaware limited liability company (solely fo |
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| June 21, 2018 |
Exhibit 99.1 MEDIA RELEASE AmTrust Stockholders Approve Amended Merger Transaction AmTrust Stockholders to Receive $14.75 Per Share in Cash Transaction Expected to Close in Second Half of 2018 NEW YORK, June 21, 2018 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (“AmTrust” or the “Company”) announced today that based on a certified vote tally from the Special Meeting held today, AmTrust stockh |
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| June 21, 2018 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 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) June 21, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Employ |
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| June 18, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 12, 2018 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Leading Proxy Advisory Firm ISS Recommends AmTrust Stockholders Vote “FOR” Amended Merger Agreement with Evergreen Parent NEW YORK, June 11, 2018 - AmTrust Financial Services, Inc. (Nasdaq:AFSI) (the "Company" or "AmTrust") today announced that leading independent proxy advisory firm Institutional Shareholder Services, Inc. (“ISS”) has recommended that AmTrust st |
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| June 12, 2018 |
Financial Statements and Exhibits, Other Events 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) June 11, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Employ |
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| June 12, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 11, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A DEFA14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 11, 2018 |
SC 13E3/A - Amendment # 2 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) (Amendment No. 2) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 AMTRUST FINANCIAL SERVICES, INC. Name of Subject Company (Issuer) AMT |
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| June 11, 2018 |
Exhibit (c)(13) Exhibit (c)(13) Deutsche Bank Corporate & Investment Bank Project Pine Fairness Committee discussion materials June 6, 2018 Deutsche Bank Securities Inc. |
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| June 8, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 8, 2018 |
Other Events, Submission of Matters to a Vote of Security Holders 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) June 4, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Employe |
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| June 7, 2018 |
Amendment No. 1 to Agreement and Plan of Merger EX-2.1 Exhibit 2.1 EXECUTION COPY AMENDMENT NO. 1 TO THE AGREEMENT AND PLAN OF MERGER Amendment No. 1, dated as of June 6, 2018 (this “Amendment”), to the Agreement and Plan of Merger, dated as of March 1, 2018 (the “Agreement”), by and among Evergreen Parent, L.P., a Delaware limited partnership (“Parent”), Evergreen Merger Sub, Inc., a Delaware corporation (“Merger Sub”) and AmTrust Financial Se |
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| June 7, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events Form 8-K 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) June 6, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction of incorporatio |
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| June 7, 2018 |
Settlement and Support Agreement EX-10.1 Exhibit 10.1 EXECUTION VERSION SETTLEMENT AND SUPPORT AGREEMENT This Settlement and Support Agreement (this “Agreement”), dated June 6, 2018, is entered into by and among the persons and entities listed on Schedule A hereto (collectively, the “Icahn Group,” and each such person and entity individually, a “member” of the Icahn Group), AmTrust Financial Services, Inc. (the “Company”) and Eve |
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| June 7, 2018 |
EX-99.1 Exhibit 99.1 AmTrust Enters into Amendment to Merger Agreement with Evergreen Parent Amended Merger Agreement Increases Purchase Price by $1.25 per share, or 9.3%, to $14.75 Per Share in Cash Transaction Represents a Premium of Approximately 45% to AmTrust’s Unaffected Closing Common Stock Price on January 9, 2018 AmTrust Special Committee Recommends Stockholders Vote “FOR” Transaction at |
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| June 7, 2018 |
AFSI / AmTrust Financial Services, Inc. / ICAHN CARL C Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address and Te |
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| June 4, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 4, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 form8kspecialmeetingpressr.htm 8-K 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) June 4, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or ot |
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| June 4, 2018 |
AMTRUST ANNOUNCES INTENTION TO ADJOURN SPECIAL MEETING OF STOCKHOLDERS TO JUNE 21, 2018 Exhibit 99.1 MEDIA RELEASE AMTRUST ANNOUNCES INTENTION TO ADJOURN SPECIAL MEETING OF STOCKHOLDERS TO JUNE 21, 2018 NEW YORK, June 4, 2018 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the "Company" or "AmTrust") today announced that it intends to adjourn to June 21, 2018, the Special Meeting to be held to approve the adoption of the merger agreement between the Company and Evergreen Parent, L |
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| June 4, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 4, 2018 |
EXHIBIT 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment 2)* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address |
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| June 4, 2018 |
AFSI / AmTrust Financial Services, Inc. / ICAHN CARL C Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment 2)* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address and Teleph |
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| June 1, 2018 |
EXHIBIT 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment 1)* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address |
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| June 1, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 1, 2018 |
AFSI / AmTrust Financial Services, Inc. / ICAHN CARL C Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment 1)* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address and Teleph |
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| May 30, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 30, 2018 |
EXHIBIT 1 May 30, 2018 Contact: Icahn Capital LP Susan Gordon (212) 702-4309 CARL C. |
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| May 30, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 29, 2018 |
Exhibit 99.1 MEDIA RELEASE AmTrust Urges Stockholders to Vote “FOR” Proposed Going-Private Transaction at Special Meeting on June 4, 2018 Second Independent Proxy Advisory Firm Recommends AmTrust Stockholders Support Value Maximizing Transaction NEW YORK, May 29, 2018 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the "Company" or "AmTrust") today reiterated the unanimous recommendation of its |
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| May 29, 2018 |
Financial Statements and Exhibits, Other Events 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) May 29, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Employe |
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| May 29, 2018 |
Exhibit 99.1 MEDIA RELEASE AmTrust Urges Stockholders to Vote “FOR” Proposed Going-Private Transaction at Special Meeting on June 4, 2018 Second Independent Proxy Advisory Firm Recommends AmTrust Stockholders Support Value Maximizing Transaction NEW YORK, May 29, 2018 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the "Company" or "AmTrust") today reiterated the unanimous recommendation of its |
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| May 29, 2018 |
AFSI / AmTrust Financial Services, Inc. 8-K 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) May 29, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Employe |
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| May 29, 2018 |
IT'S NOT TOO LATE TO STOP THIS DEAL! VOTE BY INTERNET OR PHONE BY MIDNIGHT ON SUNDAY, JUNE 3 The Zyskind/Karfunkel family is doing everything they can to push through their low-priced going-private transaction. |
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| May 29, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 29, 2018 |
IT'S NOT TOO LATE TO STOP THIS DEAL! VOTE BY INTERNET OR PHONE BY MIDNIGHT ON SUNDAY, JUNE 3 The Zyskind/Karfunkel family is doing everything they can to push through their low-priced going-private transaction. |
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| May 29, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DEFC14A DEFC14A 1 tv495157defc14a.htm DEFC14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 25, 2018 |
AFSI / AmTrust Financial Services, Inc. 8-K 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) May 25, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Employe |
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| May 25, 2018 |
AmTrust’s Attempt Fails Again:Rectifying The FalsehoodsMay 2018Prepared by Icahn Capital LP SECURITY HOLDERS ARE ADVISED TO READ THE PROXY STATEMENT AND OTHER DOCUMENTS RELATED TO THE SOLICITATION OF PROXIES BY CARL C. |
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| May 25, 2018 |
Exhibit 99.1 MEDIA RELEASE Leading Proxy Advisory Firm Glass Lewis Recommends AmTrust Stockholders Vote “FOR” Proposed Going-Private Transaction Company Comments on ISS Report NEW YORK, May 25, 2018 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the "Company" or "AmTrust") today announced that leading independent proxy advisory firm Glass Lewis & Co. (“Glass Lewis”) has recommended that AmTrus |
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| May 25, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A DFAN14A 1 afsidan14a0525181.htm SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [x] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Defi |
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| May 25, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. PRRN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 2) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defi |
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| May 25, 2018 |
Exhibit 99.1 MEDIA RELEASE Leading Proxy Advisory Firm Glass Lewis Recommends AmTrust Stockholders Vote “FOR” Proposed Going-Private Transaction Company Comments on ISS Report NEW YORK, May 25, 2018 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the "Company" or "AmTrust") today announced that leading independent proxy advisory firm Glass Lewis & Co. (“Glass Lewis”) has recommended that AmTrus |
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| May 25, 2018 |
May 25, 2018 Contact: Icahn Capital LP Susan Gordon (212) 702-4309 CARL C. ICAHN ISSUES STATEMENT REGARDING AMTRUST: ICAHN PLEASED THAT ISS RECOMMENDS VOTE AGAINST AMTRUST GOING-PRIVATE TRANSACTION New York, New York, May 25, 2018 – Today, Carl C. Icahn issued the following statement regarding AmTrust Financial Services, Inc. (Nasdaq: AFSI): We are very pleased that the very well-regarded Institut |
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| May 25, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 form8kglasslewispressrelea.htm 8-K 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) May 25, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or ot |
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| May 24, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 24, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 24, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 23, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 23, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A DFAN14A 1 tv494868dfan14a.htm DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement ¨ Definitive |
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| May 23, 2018 |
Exhibit 1 Let’s Put the “Trust” Back Into AmTrust : Vote Against the Zyskind / Karfunkel Squeeze Out! May 2018 Prepared by Icahn Capital LP ICAHN CAPITAL L. |
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| May 22, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. PRRN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defi |
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| May 22, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 21, 2018 |
Arca Capital to Work With Icahn to Oppose AmTrust Privatization Plan EXHIBIT 1 Arca Capital to Work With Icahn to Oppose AmTrust Privatization Plan The Central Europe based investment firm plans to work with Carl Icahn and other minority shareholders to prevent a proposed privatization of AmTrust Financial Services Inc. |
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| May 21, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 21, 2018 |
EXHIBIT 1 May 21, 2018 Contact: Icahn Capital LP Susan Gordon (212) 702-4309 CARL C. |
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| May 21, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 18, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 17, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. DFAN14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 17, 2018 |
EXHIBIT 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment )* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address a |
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| May 17, 2018 |
AFSI.PRA / AmTrust Financial Services, Inc. PREC14A PREC14A 1 tv494367prec14a.htm PREC14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 17, 2018 |
CARL C. ICAHN RELEASES OPEN LETTER TO AMTRUST FINANCIAL SERVICES, INC. BOARD OF DIRECTORS EXHIBIT 2 May 17, 2018 Contact: Icahn Capital LP Susan Gordon (212) 702-4309 CARL C. |
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| May 17, 2018 |
EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Shares of AmTrust Financial Services, Inc. |
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| May 17, 2018 |
AFSI / AmTrust Financial Services, Inc. / ICAHN CARL C Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment )* AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 032359309 (CUSIP Number) Andrew Langham Icahn Capital LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4300 (Name, Address and Telepho |
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| May 10, 2018 |
AFSI / AmTrust Financial Services, Inc. AFSI 2018 Q1 10Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file no. 001-33143 AmTrust Financia |
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| May 9, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) May 8, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IRS Employer |
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| May 9, 2018 |
Exhibit 10.1 DATED 8 May 2018 AMTRUST CORPORATE CAPITAL LIMITED AMTRUST CORPORATE MEMBER LIMITED AMTRUST CORPORATE MEMBER TWO LIMITED ANV CORPORATE NAME LIMITED as Corporate Members - and - AMTRUST INTERNATIONAL INSURANCE, LTD. as Account Party - and - AMTRUST FINANCIAL SERVICES, INC. as Guarantor - and - THE BANKS AND FINANCIAL INSTITUTIONS LISTED IN SCHEDULE 1 OF THE AMENDED FACILITY AGREEMENT a |
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| May 4, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFM14A DEFM14A 1 d453462ddefm14a.htm DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| May 4, 2018 |
Exhibit (c)(11) Exhibit (c)(11) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Preliminary DRAFT for discussion purposes only Project Pine Special Committee Discussion February 26, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
SC 13E3/A - Amendment # 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) (Amendment No. 1) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 AMTRUST FINANCIAL SERVICES, INC. Name of Subject Company (Issuer) AMT |
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| May 4, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K Exhibit (a)(6) Table of Contents Exhibit (a)(6) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . |
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| May 4, 2018 |
Exhibit (c)(8) Exhibit (c)(8) Dividend discount model Assumptions 2018E 2019E 2020E 2021E 2022E All projections provided EPS $1. |
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| May 4, 2018 |
Exhibit (c)(2) Exhibit (c)(2) Deutsche Bank Corporate & Investment Bank Presentation to the Special Committee January 4, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
Exhibit (c)(6) Exhibit (c)(6) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Project Pine Valuation Update February 5, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
Exhibit (c)(3) Exhibit (c)(3) 81nidZpGqzkSDMpD Deutsche Bank Corporate & Investment Bank Deutsche Bank Securities Inc. |
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| May 4, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Amendment No. 1) Exhibit (a)(7) Table of Contents Exhibit (a)(7) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Amendment No. |
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| May 4, 2018 |
Exhibit (c)(7) Exhibit (c)(7) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank DRAFT For discussion purposes Project Pine Precedent insurance squeeze-out transaction case studies February, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
Exhibit (c)(9) Exhibit (c)(9) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Preliminary draft for discussion purposes Project Pine Special Committee Discussion February 20, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
Exhibit (c)(5) Exhibit (c)(5) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Project Pine Projections benchmarking January 31, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
Exhibit (c)(10) Exhibit (c)(10) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Project Pine Special Committee Discussion February 22, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
Exhibit (c)(12) Exhibit (c)(12) Deutsche Bank Preliminary DRAFT for Corporate & Investment Bank discussion purposes only Project Pine Fairness Committee discussion materials February 28, 2018 Deutsche Bank Securities Inc. |
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| May 4, 2018 |
Exhibit (c)(4) Exhibit (c)(4) 81nidZpGqzkSDMpD Deutsche Bank Corporate & Investment Bank Deutsche Bank Securities Inc. |
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| April 30, 2018 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| April 30, 2018 |
EX-99.13 EXHIBIT 99.13 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Schedule 13D (including any and all amendments thereto) with respect to the Common Stock, par value $0.01 per share, of AmTrust Financial Services, Inc., and further agree that this Joint Filin |
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| April 30, 2018 |
AFSI / AmTrust Financial Services, Inc. CORRESP begin 644 filename2.pdf M)5!$1BTQ+C8-)>+CS],-"C$@,"!O8FH*/#PO365T861A=&$@,B P(%(O4&%G M97,@,R P(%(O5'EP92]#871A;&]G/CX*96YD;V)J"C(@,"!O8FH*/#PO3&5N M9W1H(#,R-C8O4W5B='EP92]834PO5'EP92]-971A9&%T83X^G)E4WI.5&-Z M:V,Y9"(/@H\>#IX;7!M971A('AM;&YS.G@](F%D;V)E.FYS.FUE=&$O(B!X M.GAM<'1K/2)!9&]B92!835 @0V]R92 U+C8M8S Q-2 X,2XQ-3@U-C8L(#(P M,34O,3$O,#4M,#$Z,SDZ,C$@(" @(" @("(^"B @(#QR9&8Z4D1&('AM;&YS M.G)D9 |
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| April 30, 2018 |
AFSI / AmTrust Financial Services, Inc. CORRESP Response Letter April 30, 2018 Via EDGAR Nicholas P. Panos Office of Mergers & Acquisitions Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Schedule 13E-3 Filed on April 9, 2018 by AmTrust Financial Services, Inc. et al. File No. 005-83045 Schedule 14A Filed on April 9, 2018 by AmTrust Financial Services, Inc. File No. 001-33143 Ladies and Gentlemen: On behalf of the |
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| April 23, 2018 |
AFSI / AmTrust Financial Services, Inc. 10-K/A (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Amendment No. |
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| April 23, 2018 |
Joint Filing Agreement dated April 19, 2018 among GFK and Mr. Reinhold. EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Schedule 13D (including any and all amendments thereto) with respect to the Common Stock, par value $0.01 per share, of AmTrust Financial Services, Inc., and further agree that this Joint Filing Agreemen |
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| April 23, 2018 |
AFSI / AmTrust Financial Services, Inc. / Gkarfunkel Family Llc - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Henry Reinhold GKarfunkel Family LLC 126 East 56th Street, 15th Floor New York, NY 10022 212-235-5400 (Name, Address and Teleph |
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| April 9, 2018 |
AFSI / AmTrust Financial Services, Inc. PREM14A PREM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 9, 2018 |
EX-99.(c)(3) Exhibit (c)(3) Deutsche Bank Corporate & Investment Bank Project Pine Organizational Meeting of the Special Committee January 16, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Discussion agenda A • Legal matters B • Review of the proposal C • Process overview D • Illustrative valuation |
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| April 9, 2018 |
EX-99.(c)(12) Exhibit (c)(12) Deutsche Bank Corporate & Investment Bank Project Pine Fairness Committee discussion materials February 28, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Contents Section 1 Situation update 1 2 Summary of financial projections 7 3 Valuation summary 9 Appendix I Addition |
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| April 9, 2018 |
EX-99.(c)(8) Exhibit (c)(8) Dividend discount model Assumptions 2018E 2019E 2020E 2021E 2022E – All projections provided EPS $1.21 $1.44 $1.71 $1.98 $2.28 by Pine management – Valuation as of YE EPS ex. Tecmo $1.18 $1.40 $1.64 $1.89 $2.17 2017 Dividends per share $0.74 $0.77 $0.81 $0.85 – Uses mid-year discounting – Company keeps capital Present value Terminal value structure the same @ 1/1/18 @ 1 |
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| April 9, 2018 |
EX-99.(c)(11) Exhibit (c)(11) Deutsche Bank Corporate & Investment Bank CONFIDENTIAL Project Pine Special Committee Discussion February 26, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Process Update 1. Revised offer communicated by the Buyer Group 2. Key information requests submitted to the Compa |
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| April 9, 2018 |
AFSI / AmTrust Financial Services, Inc. / Amtrust Financial Services, Inc. - SC 13E3 SC 13E3 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 AMTRUST FINANCIAL SERVICES, INC. Name of Subject Company (Issuer) AMTRUST FINANCIAL SERVICES, INC. EVERGR |
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| April 9, 2018 |
EX-99.(c)(5) Exhibit (c)(5) Deutsche Bank Corporate & Investment Bank CONFIDENTIAL Project Pine Projections benchmarking January 31, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Discussion agenda A • Executive summary B • Benchmarking analysis relative to Pine research analyst models C • Benchmarki |
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| April 9, 2018 |
EX-99.(c)(6) Exhibit (c)(6) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Project Pine Valuation Update February 5, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Discussion agenda •1 Situation update •2 Summary of Pine Management financial projections •3 Preliminary valuation summary •4 Dis |
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| April 9, 2018 |
EX-99.(c)(4) Exhibit (c)(4) Deutsche Bank Corporate & Investment Bank Preliminary peer selection analysis January 29, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Selection of peer set for AmTrust benchmarking – Given AmTrust’s unique mix of business and recent public stress, there is no direct pee |
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| April 9, 2018 |
EX-99.(c)(10) Exhibit (c)(10) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Project Pine Special Committee Discussion February 22, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. DRAFT Special Committee Case financial projections DRAFT Special Committee Case development Requested incremental |
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| April 9, 2018 |
EX-99.(c)(2) Exhibit (c)(2) Deutsche Bank Corporate & Investment Bank Presentation to the Special Committee January 4, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. A. DB team and qualifications B. situation assessment C. Strategic alternatives D. Conclusion Discussion agenda A DB team and qualifica |
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| April 9, 2018 |
EX-99.(c)(9) Exhibit (c)(9) Deutsche Bank Corporate & Investment Bank CONFIDENTIAL Project Pine Special Committee Discussion February 20, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Discussion agenda •1 Pine situation update •2 Financial projections update Deutsche Bank Corporate & Investment Bank |
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| April 9, 2018 |
Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Project Pine Precedent insurance EX-99.(c)(7) Exhibit (c)(7) Deutsche Bank CONFIDENTIAL Corporate & Investment Bank Project Pine Precedent insurance squeeze-out transaction case studies February, 2018 Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, conducts investment banking and securities activities in the United States. Summary statistics of select case studies of precedent insurance minority squeeze-outs High |
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| March 21, 2018 |
8-K 1 newdirector8k.htm 8-K 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) March 21, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdi |
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| March 16, 2018 |
EXHIBIT 21.1 SUBSIDIARIES LIST Entity Name Jurisdiction of Incorporation or Formation 1262 East 14th Purchaser, LLC New York 10909 McCormick Road LLC Delaware 17771 Cowan LLC Delaware 360 Market Place, LLC Delaware 3925 Brookside Parkway LLC Delaware 400 Executive Boulevard Southington, LLC Delaware 4455 LBJ Freeway LLC Delaware 7125 West Jefferson LLC Delaware 723 St. Nicholas Holdings LLC New Yo |
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| March 16, 2018 |
Amendment No. 4 to Employment Agreement EXHIBIT 10.12 AMENDMENT NO. 4 TO EMPLOYMENT AGREEMENT THIS AMENDMENT NO. 4 TO EMPLOYMENT AGREEMENT (this “Amendment”), effective December 27, 2017, hereby amends the Employment Agreement dated March 1, 2010, as amended by Amendment No. 1 to Employment Agreement, dated November 3, 2010, Amendment No. 2 to Employment Agreement, dated March 1, 2012 and Amendment No. 3, dated March 22, 2013 (the “Agre |
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| March 16, 2018 |
AFSI / AmTrust Financial Services, Inc. AFSI 2017 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . |
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| March 16, 2018 |
Amendment No. 1 to the Contribution and Stock Purchase Agreement EXHIBIT 2.2 AMENDMENT NO. 1 TO THE CONTRIBUTION AND STOCK PURCHASE AGREEMENT This AMENDMENT NO. 1 TO THE CONTRIBUTION AND STOCK PURCHASE AGREEMENT (this “Amendment”), dated as of February 28, 2018, by and among AmTrust Financial Services, Inc. (“AFSI” or “Seller”), Mayfield Holdings LLC, a Delaware limited liability company (the “Company”), and MH JV Holdings, L.P., a Delaware limited partnership |
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| March 16, 2018 |
Amendment No. 4 to Employment Agreement EXHIBIT 10.18 AMENDMENT NO. 4 TO EMPLOYMENT AGREEMENT THIS AMENDMENT NO. 4 TO EMPLOYMENT AGREEMENT (this “Amendment”), effective December 14, 2017, hereby amends the Employment Agreement dated March 1, 2010, as amended by Amendment No. 1 to Employment Agreement, dated November 3, 2010, Amendment No. 2 to Employment Agreement, dated March 1, 2012 and Amendment No. 3, dated March 22, 2013 (the “Agre |
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| March 6, 2018 |
AFSI / AmTrust Financial Services, Inc. CORRESP [AmTrust Financial Services, Inc. letterhead] March 6, 2018 Via EDGAR Ms. Bonnie Baynes Mr. Mark Brunhofer Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: AmTrust Financial Services, Inc. Form 10-K for the Fiscal Year Ended December 31, 2016 Filed April 4, 2017 File No. 001-33143 Dear Ms. Baynes and Mr. Brunhofer: Thank you for your letter dated F |
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| March 2, 2018 |
AFSI / AmTrust Financial Services, Inc. DEFA14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 2, 2018 |
EX-99.9 Exhibit 99.9 THE SECURITIES SUBSCRIBED FOR BY THIS AGREEMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY OTHER APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE OFFERED OR SOLD UNLESS REGISTERED THEREUNDER OR UNLESS AN EXEMPTION FROM SUCH REGISTRATION IS AVAILABLE. TRANSFER OF SUCH SECURITIES IS ALSO RESTRICTED BY THE TERMS OF THIS AGREEMENT. ROLLOVER AGREEM |
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| March 2, 2018 |
EX-99.10 Exhibit 99.10 INTERIM INVESTORS AGREEMENT This INTERIM INVESTORS AGREEMENT (this “Agreement”), dated as of March 1, 2018, is made and entered by and among (i) Trident Pine Acquisition LP (“Trident”), (ii) K-Z Evergreen, LLC (the “K-Z LLC”), (iii) Evergreen Parent, L.P. (“Parent”), (iv) Evergreen Merger Sub, Inc. (“Merger Sub”), (v) solely for the purposes of Sections 18(a)(i), 18(a)(ii), |
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| March 2, 2018 |
EX-99.11 Exhibit 99.11 March 1, 2018 K-Z Evergreen, LLC c/o AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger, dated as of March 1, 2018 (as it may be amended, amended and restated, supplemented or otherwise modified from time to time in accordance with the terms thereof, the “Merger Agreement” |
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| March 2, 2018 |
EX-99.8 Exhibit 99.8 K-Z EVERGREEN, LLC c/o AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 March 1, 2018 Evergreen Parent, L.P. c/o AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger, dated as of March 1, 2018 (as it may be amended, amended and restated, supplemen |
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| March 2, 2018 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| March 2, 2018 |
Trident Pine Acquisition LP c/o Stone Point Capital LLC 20 Horseneck Lane Greenwich, CT 06830 EX-99.7 Exhibit 99.7 Trident Pine Acquisition LP c/o Stone Point Capital LLC 20 Horseneck Lane Greenwich, CT 06830 March 1, 2018 Evergreen Parent, L.P. c/o AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger, dated as of March 1, 2018 (as it may be amended, amended and restated, supplemented or o |
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| March 2, 2018 |
EX-99.12 Exhibit 99.12 Trident VII, L.P. Trident VII Parallel Fund, L.P. Trident VII DE Parallel Fund, L.P. Trident VII Professionals Fund, L.P. c/o Stone Point Capital LLC 20 Horseneck Lane Greenwich, CT 06830 March 1, 2018 Trident Pine Acquisition LP c/o Stone Point Capital LLC 20 Horseneck Lane Greenwich, CT 06830 Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger, date |
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| March 1, 2018 |
EX-99.1 Exhibit 99.1 Stone Point Capital, the Karfunkel Family and the CEO to Acquire AmTrust Financial Services, Inc. AmTrust shareholders to receive $13.50 per share in cash Transaction represents a premium of 33% to AmTrust’s unaffected closing common stock price on January 9, 2018 NEW YORK, March 1, 2018 – AmTrust Financial Services, Inc. (Nasdaq: AFSI) (“AmTrust” or the “Company”) announced t |
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| March 1, 2018 |
EX-99.2 Exhibit 99.2 March 1, 2018 Dear AmTrust team, Today we reported that AmTrust’s Board of Directors including its independent Special Committee has unanimously approved the proposal for AmTrust to go private. AmTrust has entered into a definitive agreement with Evergreen Parent, L.P., an entity formed by private equity funds managed by Stone Point Capital LLC, together with the “Karfunkel-Zy |
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| March 1, 2018 |
Financial Statements and Exhibits, Other Events Form 8-K 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): March 1, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or Other Jurisdiction of Incorporat |
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| March 1, 2018 |
AFSI / AmTrust Financial Services, Inc. FORM 8-K Form 8-K 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): March 1, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or Other Jurisdiction of Incorporat |
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| March 1, 2018 |
Press Release issued by AmTrust Financial Services Inc., dated as of March 1, 2018 EX-99.1 Exhibit 99.1 Stone Point Capital, the Karfunkel Family and the CEO to Acquire AmTrust Financial Services, Inc. AmTrust shareholders to receive $13.50 per share in cash Transaction represents a premium of 33% to AmTrust’s unaffected closing common stock price on January 9, 2018 NEW YORK, March 1, 2018 – AmTrust Financial Services, Inc. (Nasdaq: AFSI) (“AmTrust” or the “Company”) announced t |
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| March 1, 2018 |
Memo to AmTrust Financial Services Inc. employees, dated as of March 1, 2018 EX-99.2 Exhibit 99.2 March 1, 2018 Dear AmTrust team, Today we reported that AmTrust’s Board of Directors including its independent Special Committee has unanimously approved the proposal for AmTrust to go private. AmTrust has entered into a definitive agreement with Evergreen Parent, L.P., an entity formed by private equity funds managed by Stone Point Capital LLC, together with the “Karfunkel-Zy |
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| March 1, 2018 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among EVERGREEN PARENT, L.P. EVERGREEN MERGER SUB, INC. and AMTRUST FINANCIAL SERVICES, INC. Dated as of March 1, 2018 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND TERMS Section 1.01 Definitions 2 Section 1.02 Interpretations 12 ARTICLE II THE MERGER Section 2.01 The Merger 13 Section 2.02 Effective Time 13 Section 2.03 C |
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| March 1, 2018 |
AFSI / AmTrust Financial Services, Inc. FORM 8-K (Current Report) Form 8-K 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): March 1, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or Other Jurisdiction of Incorporat |
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| March 1, 2018 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among EVERGREEN PARENT, L.P. EVERGREEN MERGER SUB, INC. and AMTRUST FINANCIAL SERVICES, INC. Dated as of March 1, 2018 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND TERMS Section 1.01 Definitions 2 Section 1.02 Interpretations 12 ARTICLE II THE MERGER Section 2.01 The Merger 13 Section 2.02 Effective Time 13 Section 2.03 C |
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| March 1, 2018 |
AFSI / AmTrust Financial Services, Inc. FORM 8-K DEFA14A 1 d526167d8k.htm FORM 8-K 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): March 1, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or Other J |
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| March 1, 2018 |
AFSI / AmTrust Financial Services, Inc. NT 10-K Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 0001365555 CUSIP NUMBER 032359309 (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2017 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form |
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| February 15, 2018 |
AFSI / AmTrust Financial Services, Inc. CORRESP [AmTrust Financial Services, Inc. letterhead] February 15, 2018 Via EDGAR Ms. Bonnie Baynes Mr. Mark Brunhofer Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: AmTrust Financial Services, Inc. Form 10-K for the Fiscal Year Ended December 31, 2016 Filed April 4, 2017 Form 10-Q for the Quarterly Period ended September 30, 2017 Filed November 9, 2017 |
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| February 14, 2018 |
AFSI / AmTrust Financial Services, Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AmTrust Financial Services Inc (Name of Issuer) Common Stock (Title of Class of Securities) 032359309 (CUSIP Number) December 29, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| February 14, 2018 |
Invesco Joint Filing Agreement JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) (l) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of the attached Schedule 13G, and any and all amendments thereto, and expressly authorize Invesco Ltd. |
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| February 8, 2018 |
AFSI / AmTrust Financial Services, Inc. / VANGUARD GROUP INC Passive Investment amtrustfinancialservicesinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: AmTrust Financial Services Inc Title of Class of Securities: Common Stock CUSIP Number: 032359309 Date of Event Which Requires Filing of this Statement: December 31, 2017 Che |
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| January 22, 2018 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| January 19, 2018 |
Financial Statements and Exhibits, Other Events Document 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) January 19, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission |
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| January 19, 2018 |
Exhibit Exhibit 99.1 MEDIA RELEASE AmTrust Financial Services, Inc. Announces Retention of Financial Advisor to Review Proposal by Stone Point Capital, the CEO and the Karfunkel Family NEW YORK, January 19, 2018 ? AmTrust Financial Services, Inc. (Nasdaq: AFSI) (?AmTrust?) , announced that the special committee of its board of directors has retained Deutsche Bank Securities Inc. as its financial a |
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| January 19, 2018 |
AFSI / AmTrust Financial Services, Inc. CORRESP [AmTrust Financial Services, Inc. letterhead] January 19, 2018 Via EDGAR Ms. Bonnie Baynes Mr. Mark Brunhofer Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: AmTrust Financial Services, Inc. Form 10-K for the Fiscal Year Ended December 31, 2016 Filed April 4, 2017 Form 10-Q for the Quarterly Period ended September 30, 2017 Filed November 9, 2017 F |
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| January 11, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 form8kscpressrelease.htm 8-K 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) January 10, 2018 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or othe |
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| January 11, 2018 |
Exhibit Exhibit 99.1 MEDIA RELEASE AmTrust Financial Services, Inc. Announces Formation of Special Committee to Review Proposal by Stone Point Capital, the CEO and the Karfunkel Family NEW YORK, January 10, 2018 ? AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the ?Company? or ?AmTrust?) , announced that its board of directors appointed a special committee to consider the January 9, 2018, propos |
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| January 10, 2018 |
EX-99.3 Exhibit 99.3 January 9, 2018 Board of Directors AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, New York 10038 Dear Members of the Board: Trident Pine Acquisition LP (“Trident”), an affiliate of Stone Point Capital LLC (“Stone Point”), is pleased to submit this non-binding indicative proposal, together with Barry D. Zyskind, George Karfunkel and Leah Karfunkel and cer |
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| January 10, 2018 |
EX-99.5 Exhibit 99.5 EXECUTION VERSION JOINT BIDDING AGREEMENT This JOINT BIDDING AGREEMENT (this “Agreement”), dated as of January 9, 2018, is made and entered by and among (i) Trident Pine Acquisition LP (“SPC”) and (ii) Barry D. Zyskind (“BZ”), George Karfunkel and Leah Karfunkel (each, including BZ, a “Stockholder” and, collectively, the “Stockholders”). Each of the foregoing parties is herein |
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| January 10, 2018 |
EX-99.4 Exhibit 99.4 STONE POINT CAPITAL PARTNERS WITH CEO OF AMTRUST FINANCIAL AND KARFUNKEL FAMILY TO JOINTLY PROPOSE ACQUIRING ALL SHARES OF AMTRUST FINANCIAL COMMON STOCK NOT CONTROLLED BY FAMILY FOR $12.25 PER SHARE IN CASH New York, January 9, 2018 — Private equity funds managed by Stone Point Capital LLC (“Stone Point”), together with Barry D. Zyskind, Chairman and CEO of AmTrust Financial |
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| January 10, 2018 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| December 21, 2017 |
Exhibit EXHIBIT 10.1 AMENDMENT NO. 9 Dated as of December 20, 2017 to CREDIT AGREEMENT Dated as of September 12, 2014 THIS AMENDMENT NO. 9 (? Amendment ?) is made as of December 20, 2017 and shall, upon satisfaction of the conditions precedent set forth in Section 2 below be effective as of the date hereof (the ? Amendment No. 9 Effective Date ?), by and among AmTrust Financial Services, Inc., a D |
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| December 21, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Document 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) December 20, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commissio |
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| December 21, 2017 |
Exhibit EXHIBIT 10.2 DATED 20 December 2017 AMTRUST CORPORATE CAPITAL LIMITED AMTRUST CORPORATE MEMBER LIMITED AMTRUST CORPORATE MEMBER TWO LIMITED ANV CORPORATE NAME LIMITED as Corporate Members - and - AMTRUST INTERNATIONAL INSURANCE, LTD. as Account Party - and - AMTRUST FINANCIAL SERVICES, INC. as Guarantor - and - THE BANKS AND FINANCIAL INSTITUTIONS LISTED IN SCHEDULE 1 OF THE AMENDED FACILI |
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| December 7, 2017 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| November 13, 2017 |
Amending and Restating Agreement Exhibit Exhibit 10.1 D ATED 8 N OVEMBER 2017 A M T RUST C ORPORATE C APITAL L IMITED A M T RUST C ORPORATE M EMBER L IMITED A M T RUST C ORPORATE M EMBER T WO L IMITED ANV C ORPORATE N AME L IMITED as Corporate Members - and - A M T RUST I NTERNATIONAL I NSURANCE, L TD. as Account Party - and - A M T RUST F INANCIAL S ERVICES, I NC. as Guarantor - and - T HE B ANKS AND F I NANCIAL I NSTITUTIONS L |
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| November 13, 2017 |
Document 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) November 8, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission |
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| November 9, 2017 |
AFSI / AmTrust Financial Services, Inc. 10-Q (Quarterly Report) 10-Q 1 afsi0930201710q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission |
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| November 8, 2017 |
Exhibit AmTrust Financial Services, Inc. Reports Third Quarter 2017 Net Loss Per Diluted Share of $(0.89) and Operating Loss Per Diluted Share (1) of $(0.04) , including $0.25 per share of Catastrophe Losses in Quarter Prior Period Development of $327 Million; Utilizes the Full Benefit of the Adverse Loss Development Cover Book Value per Share of $13.26 and Adjusted Book Value per Share (3) of $14 |
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| November 8, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Document 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) November 8, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission |
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| November 6, 2017 |
AFSI / AmTrust Financial Services, Inc. 8-K (Current Report) 8-K 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): November 3, 2017 AmTrust Financial Services, Inc. (Exact name of Registrant as specified in its charter) Delaware 001-33143 04-3106389 (State of incorporation) (Commission file nu |
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| November 6, 2017 |
Contribution and Stock Purchase Agreement EX-2.1 Exhibit 2.1 CONTRIBUTION AND STOCK PURCHASE AGREEMENT BY AND BETWEEN AMTRUST FINANCIAL SERVICES, INC., MAYFIELD HOLDINGS LLC AND FEECO HOLDINGS LP DATED AS OF NOVEMBER 3, 2017 TABLE OF CONTENTS ARTICLE I CERTAIN DEFINITIONS 2 1.1 Certain Defined Terms 2 1.2 Interpretation 24 ARTICLE II PURCHASE AND SALE OF INVESTOR EQUITY INTERESTS 24 2.1 Pre-Closing Steps; Closing 24 2.2 Purchase Price Adj |
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| November 6, 2017 |
EX-99.1 3 d486476dex991.htm EX-99.1 Exhibit 99.1 AmTrust Financial Services and Madison Dearborn Partners Enter Into Strategic Transaction for a Portion of AmTrust’s U.S. Fee Businesses with a Total Enterprise Value of $1.15 billion AmTrust to Receive Gross Cash Proceeds of Approximately $950 Million to Support Organic Growth and Value Creation Opportunities AmTrust Estimates Net Tangible Book Val |
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| November 6, 2017 |
EX-99.1 2 ex991amtrustadcupdate.htm EXHIBIT 99.1 Exhibit 99.1 MEDIA RELEASE AmTrust to Report Prior Period Development of $327 Million and Utilize the Full Benefit of the Adverse Loss Development Cover Prior Accident Years Continue to Demonstrate Profitability Adverse Development Results in a Reduction of Book Value and a Deferred Gain that will Amortize into Earnings Over the Recovery Period No I |
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| November 6, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Document 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) November 6, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission |
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| October 3, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Document 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 3, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission |
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| October 3, 2017 |
AmTrust Financial Services, Inc. Natural Catastrophe Loss Estimate Exhibit Exhibit 99.1 MEDIA RELEASE AmTrust Financial Services, Inc. Natural Catastrophe Loss Estimate NEW YORK ? October 3, 2017 ? AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the ?Company? or ?AmTrust?) today announced an initial estimate for net loss exposure for third quarter of 2017 catastrophe activity of between $40 million and $65 million. AmTrust?s excess of loss reinsurance programs a |
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| September 18, 2017 |
Asset Purchase and License Agreement Exhibit Exhibit 10.1 ASSET PURCHASE AND LICENSE AGREEMENT This ASSET PURCHASE AND LICENSE AGREEMENT (the ? Agreement ?) is entered into as of September 13, 2017 (? Effective Date ?), by and between: AMTRUST NORTH AMERICA , INC. , a Delaware corporation, with a business address of 800 Superior Avenue, Cleveland, Ohio 44114 (? AMTRUST ? or ? SELLER ?); and NATIONAL GENERAL HOLDINGS CORP. , a Delawar |
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| September 18, 2017 |
Document 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) September 13, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commissi |
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| August 10, 2017 |
Exhibit Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this ? Agreement ?) is made as of August 8, 2017 (the ? Effective Date ?) by and between, a AmTrust Financial Services, Inc. (the ? Company ?), and Adam Karkowsky (? Executive ?) (the Company and Executive are referred to individually as a ? Party ? and together as the ? Parties ?). WHEREAS , the Company and Executive desire to e |
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| August 10, 2017 |
Document 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) August 8, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission ( |
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| August 9, 2017 |
Form of Restricted Stock Unit Agreement EX-10.1 2 exhibit101formofrsuagreeme.htm EXHIBIT 10.1 Exhibit 10.1 AMTRUST FINANCIAL SERVICES, INC. 2010 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT AmTrust Financial Services, Inc., a Delaware corporation, (the “Company”), hereby grants restricted stock units (“RSUs”) relating to shares of its common stock, $.01 par value (the “Stock”), to the individual named below as the Grantee (“yo |
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| August 9, 2017 |
Aggregate Reinsurance Agreement Exhibit 10.6 THE USE OF THE FOLLOWING NOTATION IN THIS EXHIBIT INDICATES THAT THE CONFIDENTIAL PORTION HAS BEEN OMITTED PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT, AND THE OMITTED MATERIAL HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION: [***] AGGREGATE REINSURANCE AGREEMENT (the “Agreement”) between AMTRUST INTERNATIONAL INSURANCE LTD. a Bermuda insurance company TECHN |
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| August 9, 2017 |
AFSI / AmTrust Financial Services, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file no. 001-33143 AmTrust Financial |
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| August 9, 2017 |
Exhibit 10.5 June 28, 2017 Delek Group, Ltd. 19, Abba Eban Blvd. P.O.B. 2054 Herzliya 4612001, Israel Attn: Leora Pratt Levin Vice President & General Counsel Re: Prepayment of Term Promissory Note Dear Ms. Levin: Reference is made to that certain $104,685,468.75 Term Promissory Note (the “Note”) dated April 18, 2016 of AmTrust Financial Services, Inc., a Delaware corporation (the “Company”), paya |
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| August 8, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 afsiq206302017er8-k.htm 8-K 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) August 8, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other j |
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| August 8, 2017 |
Exhibit AmTrust Financial Services, Inc. Reports Second Quarter 2017 Net Income Per Diluted Share of $0.03 and Operating Earnings Per Diluted Share (1) of $0.40 Transformative Steps Undertaken in Second Quarter to Increase Certainty and Confidence in Long-Term Financial Strength Enhanced Balance Sheet and Capital Base with $300 Million Common Equity Raise in the Quarter Entered Reinsurance Agreeme |
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| July 6, 2017 |
Entry into a Material Definitive Agreement 8-K 1 form8kreinsuranceagreement.htm 8-K 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) June 30, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or o |
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| June 30, 2017 |
AFSI / AmTrust Financial Services, Inc. 10-Q/A (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file no. 001- |
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| June 30, 2017 |
AFSI / AmTrust Financial Services, Inc. 10-Q/A (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file no. 001-33143 |
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| June 13, 2017 |
Amended and Restated Employment Agreement Exhibit Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT, dated as of June 13, 2017 and effective as of June 5, 2017 (the ? Effective Date ?), is entered into by and between AmTrust Financial Services, Inc., 59 Maiden Lane, 43 rd Floor, New York, New York, a Delaware corporation (the ? Company ?) and Ronald E. Pipoly, Jr., an individual residing |
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| June 13, 2017 |
8-K 1 neoemploymentcontractform8.htm 8-K 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) June 13, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or o |
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| June 7, 2017 |
AFSI / AmTrust Financial Services, Inc. / Zyskind Barry D - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) AmTrust Financial Services, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 032359309 (CUSIP Number) Barry D. Zyskind AmTrust Financial Services, Inc. 59 Maiden Lane, 43rd Floor New York, NY 10038 (212) 220-7120 (N |
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| June 5, 2017 |
AmTrust Financial Services 8-K (Current Report/Significant Event) Document 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) June 2, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IR |
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| May 25, 2017 |
Form of Registration Rights Agreement EX-10.2 Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this ?Agreement?) dated as of May , 2017, is entered into and made by and between AmTrust Financial Services, Inc., a Delaware corporation (the ?Company?), and the persons set forth on the signature pages hereto (the ?Holders?). WHEREAS, the Company, the Holders and certain other party have entered into that cer |
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| May 25, 2017 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits Form 8-K 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) May 25, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction of incorporatio |
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| May 25, 2017 |
Common Stock Purchase Agreement EX-10.1 Exhibit 10.1 AMTRUST FINANCIAL SERVICES, INC. COMMON STOCK PURCHASE AGREEMENT This Common Stock Purchase Agreement (this ?Agreement?) is made as of May 25, 2017 (the ?Effective Date?), by and among AmTrust Financial Services, Inc., a Delaware corporation (the ?Company?), and each of those persons and entities, severally and not jointly, listed as a Purchaser on the Schedule of Purchasers a |
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| May 18, 2017 |
AmTrust Financial Services 8-K (Current Report/Significant Event) Document 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) May 18, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (IR |
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| May 18, 2017 |
Exhibit EXHIBIT 3.1 AMENDED AND RESTATED BY-LAWS OF AMTRUST FINANCIAL SERVICES, INC. A Delaware corporation (Adopted as of May 18, 2017) ARTICLE I OFFICES Section 1. Registered Office . The registered office of AmTrust Financial Services, Inc. (the ? Corporation ?) in the State of Delaware shall be located at 2711 Centerville Road, Suite 400, Wilmington, Delaware 19808. The name of the Corporation |
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| May 10, 2017 |
Amendment to Employment Agreement Exhibit 10.1 RECITALS WHEREAS, AmTrust Financial Services, Inc., a Delaware corporation (the “Company”), maintains the Amended and Restated AmTrust Financial Services, Inc. 2007 Executive Performance Plan (the “2007 Plan”) and the AmTrust Financial Services, Inc. 2010 Omnibus Incentive Plan, as amended (the “2010 Plan”); WHEREAS, Section 4(a) of that certain Employment Agreement dated as of Januar |
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| May 10, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file no. 001-33143 AmTrust Financia |
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| May 10, 2017 |
EXHIBIT 10.4 DATED 3 MARCH 2017 AMTRUST CORPORATE CAPITAL LIMITED AMTRUST CORPORATE MEMBER LIMITED AMTRUST CORPORATE MEMBER TWO LIMITED ANV CORPORATE NAME LIMITED as Corporate Members ? and ? AMTRUST INTERNATIONAL INSURANCE, LTD. as Account Party ? and ? AMTRUST FINANCIAL SERVICES, INC. as Guarantor ? and ? THE BANKS AND FINANCIAL INSTITUTIONS LISTED IN SCHEDULE 1 OF THE AMENDED FACILITY AGREEMENT |
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| May 8, 2017 |
Exhibit AmTrust Financial Services, Inc. Reports First Quarter 2017 Net Income Per Diluted Share of $0.13 and Operating Earnings Per Diluted Share (1) of $0.32 , Including Catastrophe Losses of $0.10 Per Diluted Share Book Value Per Common Share of $13.91 , Up 0.7% Since December 31, 2016 First Quarter Annualized Return on Common Equity and Annualized Operating Return on Common Equity (1) of 3.8% |
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| May 8, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 afsiq103312017er8-k.htm 8-K 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) May 8, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other juri |
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| May 1, 2017 |
Form 8-K 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) May 1, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction of incorporation |
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| May 1, 2017 |
EX-99.1 April 2017 AmTrust Financial Services, Inc. Year End 2016 Investor Presentation CONSISTENT VISION DIFFERENTIATED MODEL SUSTAINABLE GROWTH Exhibit 99.1 2 Forward Looking Statements This supplemental presentation contains certain forward-looking statements that are intended to be covered by the safe harbors created by the Private Securities Litigation Reform Act of 1995. When we use words su |
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| April 11, 2017 |
AmTrust Financial Services DEF 14A DEF 14A Table of Contents SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 7, 2017 |
Document 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) April 4, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (I |
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| April 4, 2017 |
AmTrust Financial Services, Inc. Completes Annual Financial Restatements With Filing of Form 10-K Exhibit Exhibit 99.1 AmTrust Financial Services, Inc. Completes Annual Financial Restatements With Filing of Form 10-K NEW YORK, April 4, 2017 - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the ?Company? or ?AmTrust?) today filed its Form 10-K for the year ended December 31, 2016, including restated financial statements and related disclosures for 2014 and 2015. The Company is now current on a |
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| April 4, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-kitem701pressrelease.htm 8-K 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) April 4, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or o |
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| April 4, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . |
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| April 4, 2017 |
EXHIBIT 21.1 SUBSIDIARIES LIST Entity Name Jurisdiction of Incorporation or Formation 1262 East 14th Purchaser, LLC New York 17771 Cowan LLC Delaware 360 Market Place, LLC Delaware 400 Executive Boulevard Southington, LLC Delaware 4455 LBJ Freeway LLC Delaware 7125 West Jefferson LLC Delaware 723 St. Nicholas Holdings LLC New York 800 Superior, LLC Delaware 800 Superior NMTC Investment Fund II LLC |
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| March 23, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Document 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) March 17, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission ( |
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| March 16, 2017 |
AmTrust Financial Services 8-K (Current Report/Significant Event) Document 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) March 14, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission ( |
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| March 16, 2017 |
AmTrust Financial Services, Inc. Provides Update on 10-K Filing Exhibit Exhibit 99.1 AmTrust Financial Services, Inc. Provides Update on 10-K Filing NEW YORK, March 16, 2017 (GLOBE NEWSWIRE) - AmTrust Financial Services, Inc. (Nasdaq: AFSI) (the ?Company? or ?AmTrust?) today stated that additional time is needed for the Company to complete its consolidated financial statements and assessment of internal controls over financial reporting for the fiscal year end |
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| March 3, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Document 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) March 1, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commission (I |
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| March 3, 2017 |
Exhibit EXHIBIT 10.1 AMENDMENT NO. 8 Dated as of March 1, 2017 to CREDIT AGREEMENT Dated as of September 12, 2014 THIS AMENDMENT NO. 8 (? Amendment ?) is made as of March 1, 2017 and shall, upon satisfaction of the conditions precedent set forth in Section 2 below be effective as of the date hereof (the ? Amendment No. 8 Effective Date ?) by and among AmTrust Financial Services, Inc., a Delaware c |
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| March 3, 2017 |
Exhibit EXHIBIT 10.2 Dated March 1 2017 AmTrust Corporate Capital Limited AmTrust Corporate Member Limited AmTrust Corporate Member Two Limited ANV Corporate Name Limited as Corporate Members - and - AmTrust International Insurance, Ltd. as Account Party - and - AmTrust Financial Services, Inc. as Guarantor - and - The Banks and Financial Institutions Listed in Schedule 1 of the Amended Facility A |
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| March 1, 2017 |
Amtrust Financial Services NT 10-K Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 0001365555 CUSIP NUMBER 032359309 (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2016 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form |
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| February 27, 2017 |
Exhibit AmTrust Financial Services, Inc. Reports Fourth Quarter 2016 Net Income Per Diluted Share of $0.57 and Operating Earnings Per Diluted Share (1)(2) of $0.38 , Reflecting Strengthening of Reserves Book Value Per Common Share (2) of $15.15 , Up 17.4% Since December 31, 2015 Fourth Quarter Return on Common Equity and Operating Return on Common Equity (1) of 15.7% and 10.5% , Respectively Full |
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| February 27, 2017 |
Document 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) February 27, 2017 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commissio |
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| January 20, 2017 |
AmTrust Financial Services ESP Document [AmTrust Financial Services, Inc. letterhead] January 20, 2017 Via EDGAR Mr. Jim B. Rosenberg Senior Assistant Chief Accountant Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: AmTrust Financial Services, Inc. Form 8-K, Item 2.02 Furnished November 3, 2016 File No. 001-33143 Dear Mr. Rosenberg: Thank you for your letter dated January 6, 20 |
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| December 22, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Document 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) December 19, 2016 AmTrust Financial Services, Inc. (Exact name of registrant as specified in its charter) Delaware 001-33143 04-3106389 (State or other jurisdiction (Commissio |
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| December 22, 2016 |
EX-10.2 3 ex102falamendment.htm EXHIBIT 10.2 Exhibit 10.2 Dated 22 December 2016 AmTrust Corporate Capital Limited AmTrust Corporate Member Limited AmTrust Corporate Member Two Limited ANV Corporate Name Limited as Corporate Members - and - AmTrust International Insurance, Ltd. as Account Party - and - AmTrust Financial Services, Inc. as Guarantor - and - The Banks and Financial Institutions Liste |
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| December 22, 2016 |
Exhibit Exhibit 10.1 AMENDMENT NO. 7 Dated as of December 19, 2016 to CREDIT AGREEMENT Dated as of September 12, 2014 THIS AMENDMENT NO. 7 (? Amendment ?) is made as of December 19, 2016 and shall, upon satisfaction of the conditions precedent set forth in Section 2 below be effective as of the date hereof (the ? Amendment No. 7 Effective Date ?) by and among AmTrust Financial Services, Inc., a De |
