SEC Form 4 · accession 0001628280-26-061343
Ellington Financial Inc. · EFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald I Simon
Director
Period of report
Sep 9, 2026
Accepted (ET)
Sep 10, 2026 · 4:10 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001411342
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 9, 2026 | A | 10,181 | $0.00 | A | 90,181 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The 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.