Ronald I. Simon - 10 Sep 2025 Form 4 Insider Report for Ellington Financial Inc. (EFC)

Role
Director
Signature
/s/ Alaael-Deen Shilleh, as attorney-in-fact for Ronald I. Simon
Issuer symbol
EFC
Transactions as of
10 Sep 2025
Transactions value $
$75,176
Form type
4
Filing time
02 Oct 2025, 16:33:02 UTC
Previous filing
30 Dec 2024
Next filing
02 Oct 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
SIMON RONALD I Director 53 FOREST AVE, OLD GREENWICH /s/ Alaael-Deen Shilleh, as attorney-in-fact for Ronald I. Simon 02 Oct 2025 0001060435

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFC Common Stock Award $0 +9.2K +14.09% $0.00 74.5K 10 Sep 2025 By Trust F1, F2
transaction EFC Common Stock Purchase $75.2K +5.54K +7.45% $13.56 80K 11 Sep 2025 By Trust F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.