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

Reporting relationship: Director
Issuer ticker: EFC
Reported as of: 10 Sep 2025
Net transaction value: +$75,176
SEC form: 4
Accepted by SEC: 02 Oct 2025, 16:33:02 UTC
Prior SEC filing: 30 Dec 2024
Next SEC filing: 02 Oct 2025
Source filing: View source filing
Reporting owner signature: /s/ Alaael-Deen Shilleh, as attorney-in-fact for Ronald I. Simon

Key filing fact

Ph.D Ronald I. Simon filed Form 4 for Ellington Financial Inc. (EFC) on 02 Oct 2025.

Key facts

This page summarizes Ph.D Ronald I. Simon's Form 4 filing for Ellington Financial Inc. (EFC).
2 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 02 Oct 2025, 16:33.

Change

Previous filing in this sequence was filed on 30 Dec 2024.
Current net transaction value: +$75,176.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001060435 Primary reporting owner

SIMON RONALD I

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

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

EFC transaction

Common Stock

Award

Transaction value: $0
Shares: +9,198
Change %: +14%
Price: $0.000000
Shares after: 74,456
Date: 10 Sep 2025
Ownership: By Trust
Footnotes: F1, F2

EFC transaction

Common Stock

Purchase

Transaction value: $75,176
Shares: +5,544
Change %: +7.4%
Price: $13.56
Shares after: 80,000
Date: 11 Sep 2025
Ownership: By Trust
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote 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.

Footnote 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.

Footnote 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.