SEC Form 4 · accession 0001628280-16-010621
Ellington Residential Mortgage REIT · EARN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurence Penn
Officer — CEO and President · Director
Period of report
Jan 28, 2016
Accepted (ET)
Feb 1, 2016 · 4:29 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 | Jan 28, 2016 | P | 1,277 | $11.07 | A | 10,265 | D | |
| Common sharesF2 | Jan 29, 2016 | P | 2,475 | $11.30 | A | 12,740 | D |
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 $10.97 to $11.21. 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. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person.
- F2This transaction was executed in multiple trades at prices ranging from $11.10 to $11.48. 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. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person.