Ellington Financial (NYSE: EFC) shares book value estimate in 8-K

Rhea-AI Filing Summary

Ellington Financial Inc. filed a current report to share an update on its net asset position. On September 25, 2025, the company furnished a press release announcing its estimated book value per share of common stock as of August 31, 2025, under Regulation FD. The press release is included as Exhibit 99.1.

The company notes that the information provided under Item 7.01, including the press release, is being furnished rather than filed, meaning it is not subject to certain liability provisions of the Exchange Act and is not automatically incorporated into other SEC filings unless specifically referenced.

8-K Event Classification

2 items: 7.01, 9.01

2 items

Item 7.01 Regulation FD Disclosure Disclosure

Material non-public information disclosed under Regulation Fair Disclosure, often investor presentations or guidance.

Item 9.01 Financial Statements and Exhibits Exhibits

Financial statements, pro forma financial information, and exhibit attachments filed with this report.

Understanding 8-K Material Events →

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): September 25, 2025

ELLINGTON FINANCIAL INC.

(Exact name of registrant as specified in its charter)

Delaware

001-34569

26-0489289

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

53 Forest Avenue

Old Greenwich, CT 06870

(Address and zip code of principal executive offices)

Registrant's telephone number, including area code: (203) 698-1200

Not Applicable

(Former Name or Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of Each Class

Trading Symbol(s)

Name of Each Exchange on Which Registered

Common Stock, $0.001 par value per share

EFC

The New York Stock Exchange

6.750% Series A Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock

EFC PR A

The New York Stock Exchange

6.250% Series B Fixed-Rate Reset Cumulative Redeemable Preferred Stock

EFC PR B

The New York Stock Exchange

8.625% Series C Fixed-Rate Reset Cumulative Redeemable Preferred Stock

EFC PR C

The New York Stock Exchange

7.00% Series D Cumulative Perpetual Redeemable Preferred Stock

EFC PRD

The New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company    ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.     ¨

Item 7.01.    Other Events

The information contained in this Current Report on Form 8-K (including Exhibit 99.1 attached hereto) is being furnished by Ellington Financial Inc. (the "Company") pursuant to Item 7.01 of Form 8-K in satisfaction of the public disclosure requirements of Regulation FD.

On September 25, 2025, the Company issued a press release announcing its estimated book value per share of common stock as of August 31, 2025. A copy of the press release is furnished herewith as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

In accordance with General Instructions B.2 and B.6 of Form 8-K, the information included in Item 7.01 of this Current Report on Form 8-K (including Exhibit 99.1 hereto), shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference into any filing made by the Company under the Exchange Act or the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.

Item 9.01.    Financial Statements and Exhibits

(d) Exhibits. The following exhibit is being furnished herewith this Current Report on Form 8-K.

99.1   Press release dated September 25, 2025

104 Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ELLINGTON FINANCIAL INC.

Date:

September 25, 2025

By:

/s/ JR Herlihy

JR Herlihy

Chief Financial Officer

FAQ

What did Ellington Financial Inc. (EFC) disclose in this 8-K?

Ellington Financial Inc. furnished a press release announcing its estimated book value per share of common stock as of August 31, 2025, under Regulation FD.

Which item of Form 8-K did Ellington Financial Inc. use for this disclosure?

The disclosure was made under Item 7.01, labeled as Other Events and used to provide information consistent with Regulation FD.

Is the Ellington Financial (EFC) book value update considered filed with the SEC?

No. The company states that the Item 7.01 information, including Exhibit 99.1, is furnished and not deemed filed for purposes of Section 18 of the Exchange Act.

What exhibit did Ellington Financial Inc. include with this 8-K?

The company included Exhibit 99.1, a press release dated September 25, 2025, and Exhibit 104, the cover page interactive data file embedded in the Inline XBRL document.

Which securities of Ellington Financial Inc. are listed on the NYSE?

The NYSE-listed securities include common stock and multiple series of preferred stock: 6.750% Series A, 6.250% Series B, 8.625% Series C, and 7.00% Series D preferred shares.

Who signed the Ellington Financial Inc. 8-K related to the book value estimate?

The report was signed on behalf of Ellington Financial Inc. by JR Herlihy, the company’s Chief Financial Officer.