SEC Form 4 · accession 0001628280-18-006754
Ellington Financial Inc. · EFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurence Penn
Officer — CEO and President · Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 5:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411342
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares rep limited liability company interestsF1 | May 10, 2018 | P | 3,900 | $15.68 | A | 20,575 | D | |
| Common Shares rep limited liability company interestsF2 | May 11, 2018 | P | 19,990 | $15.79 | A | 40,565 | D | |
| Common Shares rep limited liability company interestsF3 | holding | — | — | — | 468,611 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $15.67 to $15.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2This transaction was executed in multiple trades at prices ranging from $15.73 to $15.83. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3Mr. Penn is a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those common shares, but not others. Mr. Penn currently has the right to withdraw 468,611 of these common shares from EMGH.