Every Form 4 that Ellington Financial Inc. (EFC) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow EFC and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full EFC filings page.
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.
Ellington Financial Inc. (EFC) reported that director Edward Resendez received a grant of 10,181 OP LTIP Units of Ellington Financial Operating Partnership LLC on September 9, 2026. These non-voting units are forfeitable until September 8, 2027, subject to his continued board service, and are issued under the Company’s 2026 Equity Incentive Plan. After vesting, they may be converted into Common Units on a one-for-one basis and, subject to conditions, those Common Units may be redeemed for an equivalent number of Ellington Financial common shares or the cash value of such shares, at the Company’s election. Following this grant, Resendez holds 76,548 OP LTIP Units and 2,500 shares of common stock, all reported as direct holdings, and no transactions are reported under a Rule 10b5-1 trading plan.
Ellington Financial Inc. (EFC) reported that director Stephen J. Dannhauser received a grant of 10,181 OP LTIP Units of Ellington Financial Operating Partnership LLC on September 9, 2026. These units are forfeitable until September 8, 2027 and were issued under the Company’s 2026 Equity Incentive Plan.
Following this award, he holds 45,679 OP LTIP Units directly. After vesting, each OP LTIP Unit may be converted into one Common Unit and, subject to conditions, each Common Unit may be redeemed for either one common share of Ellington Financial Inc. or the cash value of that share at the Company’s election.
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.
Ellington Financial Inc.’s Co‑Chief Investment Officer, Michael W. Vranos, indirectly acquired 6,794 shares of common stock on 2026‑08‑05. The shares were issued at $0.00 per share in connection with an incentive fee earned by Ellington Financial Management LLC, the company’s external manager, under a management agreement with Ellington Financial Operating Partnership LLP.
Of a broader block of 1,129,746 common shares, 842,221 are held by EMG Holdings, L.P. and 287,525 by Ellington Financial Management LLC; Vranos and VC Investments LLC share voting and disposition power over these securities and each disclaims beneficial ownership beyond his or its pecuniary interest. He is also indirectly associated with OP LTIP Units and Common Units of Ellington Financial Operating Partnership LLP, which are convertible or redeemable into 319,241 and 28,521 underlying shares of common stock, respectively, and with additional common stock held in various estate‑planning and family trusts.
Ellington Financial Inc. Co-Chief Investment Officer Michael W. Vranos reported updated indirect equity interests, primarily reflecting shares issued as an incentive fee for the first quarter of 2026 to Ellington Financial Management LLC, the company’s external manager, under its management agreement.
Following an internal “other” reclassification of 161,934 common shares, entities associated with EMG Holdings, L.P. and Ellington Financial Management LLC together hold 1,122,952 common shares, over which Mr. Vranos and VC Investments LLC share voting and disposition power while disclaiming beneficial ownership beyond any pecuniary interest.
The filing also shows indirect holdings through family trusts and through OP LTIP Units and Common Units of Ellington Financial Operating Partnership LLP, which are redeemable, subject to conditions, into an equivalent number of Ellington Financial common shares or their cash value at the company’s election.
Ellington Financial Inc. director Lisa Mumford reported an equity award conversion. On December 31, 2025, she converted 7,657 OP LTIP Units, originally granted on December 14, 2023 under the company’s 2017 Equity Incentive Plan, into 7,657 shares of common stock at a stated price of $0 per share. After this transaction, she beneficially owned 88,773 common shares directly.
The OP LTIP Units were a separate non‑voting class of limited liability company interests in Ellington Financial Operating Partnership LLC that vested on September 12, 2024. According to the filing, the conversion of OP LTIP Units into common units and the redemption of those units for common shares did not represent or involve a disposition for value and the related conversion and redemption rights do not have expiration dates.
Ellington Financial Inc. insider equity award: Chief Accounting Officer Christopher Smernoff reported receiving 18,209 OP LTIP Units of Ellington Financial Operating Partnership LLC on 12/17/2025. These derivative securities have an exercise price of $0 and are designated as a separate non-voting class of limited liability company interests.
According to the filing, 11,654 of the OP LTIP Units will vest on December 16, 2026 and the remaining 6,555 will vest on December 16, 2027, with an additional 4,372 OP LTIP Units vesting on December 12, 2026. After vesting and subject to the stated conditions, the OP LTIP Units may be converted on a one-for-one basis into Common Units of the operating partnership, which are, in turn, redeemable for an equivalent number of shares of Ellington Financial Inc. common stock or the cash value of those shares at the company’s election. Following this grant, Smernoff beneficially owns 100,366 derivative securities.
Ellington Financial Inc. reported an equity award to its Chief Financial Officer on December 17, 2025. The CFO received 36,417 OP LTIP Units, a separate non-voting class of limited liability company interests in Ellington Financial Operating Partnership LLC, the company’s operating partnership subsidiary.
According to the vesting schedule, 14,567 OP LTIP Units will vest on December 16, 2026, and the remaining 21,850 OP LTIP Units will vest on December 16, 2027. Once vested, these OP LTIP Units may be converted on a one-for-one basis into common units of the operating partnership, which are, subject to certain conditions, redeemable for an equivalent number of Ellington Financial common shares or the cash value of those shares at the company’s election.
The OP LTIP Units were issued with an exercise price of $0 under Ellington Financial’s 2017 Equity Incentive Plan, and following this transaction the reporting person beneficially owned 171,870 derivative securities.
Edward Resendez, a director of Ellington Financial Inc. (EFC), reported a 2,500-share disposition of Common Stock on 09/10/2025 and the receipt of 9,198 OP LTIP Units on the same date. The OP LTIP Units are a separate non-voting class of interests in Ellington Financial Operating Partnership LLC and remain forfeitable until 09/09/2026 while Resendez continues board service. Each OP LTIP Unit converts on a one-for-one basis into Common Units, which, subject to conditions, are redeemable for an equivalent number of the company’s common shares or for cash at the company’s election. The units were issued under the company’s 2017 Equity Incentive Plan. Following the transactions, the filing shows 66,367 Common Units beneficially owned.
Ronald I. Simon, a director of Ellington Financial Inc. (EFC), reported two transactions in September 2025. On September 10, 2025 he was issued 9,198 common shares under the companys 2017 Equity Incentive Plan at a $0 grant price; those shares remain forfeitable until September 9, 2026. On September 11, 2025 he purchased 5,544 common shares at $13.5599 per share, held in his personal broker retirement account. After these transactions the report lists 80,000 shares beneficially owned, primarily held indirectly in the Simon Family Trust, of which Dr. Simon is a trustee and for which he disclaims beneficial ownership except to the extent of his pecuniary interest.
Lisa Mumford, a director of Ellington Financial Inc. (EFC), reported on Form 4 that she was granted 9,198 Common Shares on 09/10/2025 at a stated price of $0. Those Common Shares remain forfeitable and subject to continued board service until September 9, 2026. After the grant, Ms. Mumford beneficially owns 81,116 Common Shares. She also holds 7,657 OP LTIP Units of the company’s operating partnership, which convert one-for-one into Common Units and can be redeemed for Common Shares or cash under defined conditions. The awards were issued under the company’s 2017 Equity Incentive Plan.
Stephen J. Dannhauser, a director of Ellington Financial Inc. (EFC), was granted 9,198 non-voting OP LTIP Units on 09/10/2025. These units are forfeitable and vest subject to his continued board service until September 9, 2026. Upon vesting they may convert one-for-one into Common Units of the companys operating partnership, which, under certain conditions, are redeemable for an equivalent number of the companys common shares or the cash value of those shares at the company's election. The award was issued under the 2017 Equity Incentive Plan. Following the reported transaction, the filing shows 35,498 Common Units beneficially owned. The Form 4 was signed on behalf of Mr. Dannhauser on 10/02/2025.