Ellington Financial director granted 10,181 shares

Director Ronald I. Simon received a contingent stock award tied to continued board service under Ellington Financial’s 2026 Equity Incentive Plan.

Rhea-AI Filing Summary

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

Ellington Financial Inc. (EFC) reported that director Ronald I. Simon received an award of 10,181 shares of Common Stock on September 9, 2026, as an indirect holding by a trust. These shares are forfeitable and depend on his continued board service through September 8, 2027, under the Company’s 2026 Equity Incentive Plan. Following this grant, Simon indirectly holds 90,181 Common Shares in total, including shares in a retirement account and the Simon Family Trust, for which he disclaims beneficial ownership beyond his pecuniary interest.

Insider Trade Summary

Grant/Award: 10,181 shares

Grant/Award 1 txn

Insider SIMON RONALD I

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1, F2	10,181	$0.00	$0.00

Holdings After Transaction: Common Stock — 90,181 shares (Indirect, By Trust)

Footnotes (2)

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.
2. F2. The 10.181 Common Shares issued to Dr. Simon on September 9, 2026 are held at the transfer agent of the Company. As of the time of filing, other than 5,544 Common Shares held in an investment retirement account, 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.

Key Figures

Common Shares granted: 10,181 shares Grant price per share: $0.00 per share Total shares following transaction: 90,181 shares +2 more

5 metrics

Common Shares granted 10,181 shares Award of Common Stock to director Ronald I. Simon on September 9, 2026

Grant price per share $0.00 per share Compensation-related stock award, not a market purchase

Total shares following transaction 90,181 shares Indirect Common Stock holdings after the September 9, 2026 grant

Forfeiture period end date September 8, 2027 Date through which continued board service is required for the 10,181-share award

Retirement account holdings 5,544 shares Common Shares held in an investment retirement account for Dr. Simon

Key Terms

forfeitable, Equity Incentive Plan, transfer agent, pecuniary interest, +1 more

5 terms

forfeitable financial

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

Equity Incentive Plan financial

"Common Shares were issued pursuant to ... 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.

transfer agent financial

"Common Shares issued to Dr. Simon ... are held at the transfer agent of the Company"

A transfer agent is a financial service that keeps the official record of who owns a company's shares, handles the buying and selling of those shares on paper or electronically, and issues or cancels stock certificates. Think of it as the company’s records keeper and mailroom combined—investors rely on it to make sure dividends, shareholder mailings, ownership changes, and proxy voting are processed accurately and securely, which protects ownership rights and helps prevent errors or fraud.

pecuniary interest financial

"Dr. Simon disclaims beneficial ownership ... except to the extent of his pecuniary interest"

trustee financial

"Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries"

A trustee is a person or institution legally appointed to hold and manage assets or enforce an agreement on behalf of other people (beneficiaries). Think of a trustee as a neutral referee or custodian who must act in the beneficiaries’ best interests, follow the trust or contract rules, and handle distributions, recordkeeping and enforcement. Investors care because a trustworthy trustee protects their rights, ensures promised payments or remedies are delivered, and can influence recoveries if things go wrong.

FAQ

What insider transaction did Ellington Financial Inc. (EFC) report for Ronald I. Simon?

Ellington Financial reported that director Ronald I. Simon was granted 10,181 shares of Common Stock on September 9, 2026, as an indirect holding by a trust. The award was made at $0.00 per share as a compensation-related grant rather than a market purchase.

Are the new Ellington Financial (EFC) shares granted to Ronald I. Simon vested?

No. The 10,181 Common Shares granted to Ronald I. Simon remain forfeitable and are subject to his continued service as a member of the Ellington Financial board of directors until September 8, 2027, under the Company’s 2026 Equity Incentive Plan.

How many Ellington Financial (EFC) shares does Ronald I. Simon hold after this Form 4 transaction?

After the grant, Ronald I. Simon indirectly holds a total of 90,181 Common Shares. This includes 5,544 shares held in an investment retirement account and the remaining shares held in the Simon Family Trust, where he serves as a trustee.

How are Ronald I. Simon’s Ellington Financial (EFC) shares held?

The 10,181 granted shares are held at Ellington Financial’s transfer agent. Aside from 5,544 Common Shares in an investment retirement account, all remaining Common Shares are held in the Simon Family Trust, of which Dr. Simon is a trustee and beneficiary along with his wife.

Does Ronald I. Simon claim full beneficial ownership of his Ellington Financial (EFC) shares?

No. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest in them. Many of the shares are held through the Simon Family Trust, where he and his wife are beneficiaries.

Was Ronald I. Simon’s Ellington Financial (EFC) stock grant made under a Rule 10b5-1 trading plan?

No. The filing indicates that no Rule 10b5-1 plan is reported. The shares were issued as a grant or award under Ellington Financial’s 2026 Equity Incentive Plan, not as part of a pre-arranged trading plan.

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Available on EDGAR 09/10/2026 - 04:11 PM Accepted by SEC EDGAR 09/10/2026 - 04:10 PM 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^*

SIMON RONALD I

(Last) (First) (Middle)

53 FOREST AVE

(Street)

OLD 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)	90,181	I	By Trust(2)

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.

2. The 10.181 Common Shares issued to Dr. Simon on September 9, 2026 are held at the transfer agent of the Company. As of the time of filing, other than 5,544 Common Shares held in an investment retirement account, 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.

Remarks:

	/s/ Alaael-Deen Shilleh, as attorney-in-fact for Ronald I. Simon	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)