SEC Form 4 · accession 0001628280-16-019601
Ellington Residential Mortgage REIT · EARN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald I Simon
Director
Period of report
Sep 13, 2016
Accepted (ET)
Sep 15, 2016 · 4:39 pm EDT
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 shares of beneficial interestF1,F2 | Sep 13, 2016 | A | 2,464 | $0.00 | A | 9,964 | D | |
| Common shares of beneficial interestF3,F4 | holding | — | — | — | 6,281 | I | By Trust |
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 an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 12, 2017.
- F2Excludes 2,307 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 14, 2016
- F3Includes 2,307 common shares previously owned directly which were transferred to the Trust on September 14, 2016
- F4The shares are held in the Trust. Mr. Simon is a trustee of the Trust. Mr. Simon and his wife are the beneficiaries of the Trust. Mr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.