Ellington director granted 10,181 shares

Ellington Financial director Lisa Mumford received a forfeitable equity award that vests based on continued board service through September 8, 2027.

Rhea-AI Filing Summary

Ellington Financial Inc. (symbol: EFC) is the issuer of record for a Form 4 filing submitted to the SEC. Mumford Lisa reported acquisition or exercise transactions in this Form 4 filing.

Ellington Financial Inc. (EFC) reported that director Lisa Mumford received a grant of 10,181 shares of common stock on September 9, 2026. The award was issued at $0.00 per share as a compensation grant under the company’s 2026 Equity Incentive Plan, increasing her directly held shares to 98,954. These 10,181 shares remain forfeitable and are subject to her continued service on the board until September 8, 2027.

Insider Trade Summary

Grant/Award: 10,181 shares

Grant/Award 1 txn

Insider Mumford Lisa

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	10,181	$0.00	$0.00

Holdings After Transaction: Common Stock — 98,954 shares (Direct)

Footnotes (1)

1. 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.

Key Figures

Shares granted: 10,181 shares Grant price per share: $0.00 per share Total shares held after transaction: 98,954 shares +1 more

4 metrics

Shares granted 10,181 shares Common stock award to director on September 9, 2026

Grant price per share $0.00 per share Compensation grant of common stock

Total shares held after transaction 98,954 shares Director’s direct ownership after the award

Forfeiture/vesting date September 8, 2027 Shares remain forfeitable subject to continued board service until this date

Key Terms

Equity Incentive Plan, forfeitable, common stock

3 terms

Equity Incentive Plan financial

"issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan"

An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

forfeitable financial

"shares of common stock ... remain forfeitable, subject to the reporting person's continued service"

common stock financial

"10,181 shares of common stock, $0.001 par value per share"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Ellington Financial Inc. (EFC) report for Lisa Mumford?

Ellington Financial reported that director Lisa Mumford received a grant of 10,181 common shares on September 9, 2026 as a stock award, bringing her direct holdings to 98,954 shares after the grant.

Was the Ellington Financial (EFC) share grant to Lisa Mumford a market purchase or a compensation award?

The transaction was a compensation award, not a market purchase. The 10,181 common shares were granted at $0.00 per share as a stock award under Ellington Financial’s 2026 Equity Incentive Plan.

Are the 10,181 Ellington Financial (EFC) shares granted to Lisa Mumford fully vested?

No. The 10,181 shares remain forfeitable and are subject to Lisa Mumford’s continued service as a member of Ellington Financial’s board of directors until September 8, 2027.

How many Ellington Financial (EFC) shares does Lisa Mumford hold after this Form 4 transaction?

After the reported grant, Lisa Mumford directly holds 98,954 shares of Ellington Financial common stock, including the 10,181 forfeitable shares subject to continued board service until September 8, 2027.

Under what plan was the Ellington Financial (EFC) stock award to Lisa Mumford granted?

The 10,181-share stock award was granted under Ellington Financial’s 2026 Equity Incentive Plan, and the shares are subject to the plan’s terms and conditions as well as continued board service through September 8, 2027.

Was the Ellington Financial (EFC) stock grant to Lisa Mumford made under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not affirmed, and there is no footnote stating that the transaction was made pursuant to a Rule 10b5-1 trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/10/2026 - 04:10 PM EDT Accepted by SEC EDGAR 09/10/2026 - 04:09 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Mumford Lisa

(Last) (First) (Middle)

53 FOREST AVE

(Street)

GREENWICH CONNECTICUT 06870

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Ellington Financial Inc. [ EFC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/09/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/09/2026		A		10,181(1)	A	$0(1)	98,954	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. 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.

Remarks:

	/s/ Alaael-Deen Shilleh, as attorney-in-fact for Lisa Mumford	09/10/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)