4//SEC Filing
SIMON RONALD I 4
Accession 0001628280-25-043750
CIK 0001411342other
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 4:33 PM ET
Size
8.1 KB
Accession
0001628280-25-043750
Insider Transaction Report
Form 4
SIMON RONALD I
Director
Transactions
- Award
Common Stock
2025-09-10+9,198→ 74,456 total(indirect: By Trust) - Purchase
Common Stock
2025-09-11$13.56/sh+5,544$75,176→ 80,000 total(indirect: By Trust)
Footnotes (3)
- [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.
- [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.
Documents
Issuer
Ellington Financial Inc.
CIK 0001411342
Entity typeother
Related Parties
1- filerCIK 0001060435
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 4:33 PM ET
- Size
- 8.1 KB