Form 4 for EFC Ellington Financial Inc.
Accepted 2025-10-02 00:00:00 ET · period of report 2025-09-10 · accession 0001628280-25-043750 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2025-10-02 | 2025-09-11 | EFC | SIMON RONALD I | Dir | P - Purchase | $13.56 | +5,544 | 80.0K | +7% | +$75.2K |
| I | 2025-10-02 | 2025-09-10 | EFC | SIMON RONALD I | Dir | A - Grant | $0.00 | +9,198 | 74.5K | +14% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-09-11 | P | A | 5,544 | $13.56 | 80,000 | I By Trust | — | — | (F3) The 5,544 Common Shares purchased by Dr. Simon on September 11, 2025 are held by his personal broker in an investment retirement account. As of the date of purchase, other than 5,544 shares purchased by Dr. Simon, the 9,198 shares granted on September 10, 2025, the 8,378 Common Shares that were previously issued to Dr. Simon on December 27, 2024, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| 2 | Common | Common Stock | 2025-09-10 | A | A | 9,198 | $0.00 | 74,456 | I By Trust | — | — | (F1) The 9,198 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 9, 2026. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2017 Equity Incentive Plan. (F2) The 9,198 Common Shares issued to Dr. Simon on September 10, 2025 are held at the transfer agent of the Company. As of the date of issuance, other than the 9,198 shares issued to Dr. Simon and the 8,378 Common Shares that were previously issued to Dr. Simon on December 27, 2024, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |