SEC Form 4/A · accession 0001628280-15-009695
Ellington Residential Mortgage REIT · EARN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Lisa Mumford
Officer — Chief Financial Officer
Period of report
Dec 15, 2015
Accepted (ET)
Dec 21, 2015 · 6:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001560672
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common sharesF1 | Dec 15, 2015 | A | 4,529 | $0.00 | A | 4,529 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as the Company's Chief Financial Officer, under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. 2,170 of the Common Shares will vest, subject to certain limitations, on December 15, 2016, and the remaining 2,359 of the Common Shares will vest, subject to certain limitations, on December 15, 2017.
Remarks
This amended Form 4 has been filed to amend the number of securities acquired (Table 1, Column 4.- Securities Acquired (A) or Disposed of (D)) and the amount of securities beneficially owned at the end of the period (Table 1, Column 5. - Amount of Securities Beneficially Owned at End of Period) in the original filing. In addition, footnote 1 has been amended to correct the number of shares that are subject to vesting until December 15, 2016 and December 15, 2017.