Form 4 for EFC Ellington Financial Inc.

Accepted 2026-09-10 16:10:33 ET · period of report 2026-09-09 · accession 0001628280-26-061343 · 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	2026-09-10 16:10	2026-09-09	EFC	SIMON RONALD I	Dir	A - Grant	$0.00	+10.2K	90.2K	+13%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2026-09-09	A	A	10,181	$0.00	90,181	I By Trust	—	—	(F1) The 10,181 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 8, 2027. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan. (F1) The 10,181 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 8, 2027. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan. (F2) The 10.181 Common Shares issued to Dr. Simon on September 9, 2026 are held at the transfer agent of the Company. As of the time of filing, other than 5,544 Common Shares held in an investment retirement account, 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.