SEC Form 4 · accession 0001628280-16-022036
Ellington Residential Mortgage REIT · EARN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Mumford
Officer — Chief Financial Officer
Period of report
Dec 13, 2016
Accepted (ET)
Dec 14, 2016 · 4:32 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 13, 2016 | A | 3,113 | $0.00 | A | 7,642 | 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. 1,557 of the Common Shares will vest, subject to certain limitations, on December 13, 2017, and the remaining 1,556 of the Common Shares will vest, subject to certain limitations, on December 13, 2018.