Changes in Beneficial Ownership · 4
Ellington Financial Inc.
EFCNYSEEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
wk-form4_1789071031.xml
Filing details
- Report period
- 2026-09-09
- Issuer
- Ellington Financial Inc.
- Issuer CIK
- 0001411342
- Trading symbol
- EFC
Reporting owner 1
- Name
- SIMON RONALD I
- Reporting owner CIK
- 0001060435
- Relationship
- Director
- Address
- 53 FOREST AVE, OLD GREENWICH, CT, 06870
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | 2026-09-09 | A · Form 4 | 10,181[F1] | A | 0[F1] | 90,181 | I | By Trust[F2] |
Table key
- A · Form 4
- Acquisition by grant, award or otherwise under Rule 16b-3(d)
- A
- Acquired
- I
- Indirect
Footnotes
- F1
- The 10,181 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 8, 2027. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan.↩ 1↩ 2
- F2
- The 10.181 Common Shares issued to Dr. Simon on September 9, 2026 are held at the transfer agent of the Company. As of the time of filing, other than 5,544 Common Shares held in an investment retirement account, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.↩ 1
Signature 1
- Signed
- /s/ Alaael-Deen Shilleh, as attorney-in-fact for Ronald I. Simon
- Date
- 2026-09-10