SEC Form 4 · accession 0001628280-18-007160
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
May 22, 2018
Accepted (ET)
May 24, 2018 · 4:13 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 interest | May 22, 2018 | P | 537 | $11.28 | A | 13,031 | D | |
| Common shares of beneficial interestF1 | May 23, 2018 | P | 3,224 | $11.47 | A | 16,255 | D | |
| Common shares of beneficial interestF2 | holding | — | — | — | 8,745 | I | By Trust |
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 $11.46 to $11.49. 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.
- F2The shares are held in the Simon Family Trust (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.