Welcome to our dedicated page for Ellington Financial SEC filings (Ticker: EFC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Ellington Financial Inc. filings document formal disclosures for a specialty finance company with an investment portfolio segment and a Longbridge segment focused on reverse mortgage loan origination and servicing. Form 8-K reports cover quarterly operating results, Regulation FD book value updates, common stock dividends, and dividends on Series B, Series C, and Series D preferred stock.
Proxy materials describe board and shareholder-voting matters, executive compensation, equity awards, and pay-versus-performance disclosures. The filings also identify the company's reported common and preferred equity classes and provide recurring records of financial condition, portfolio valuation disclosures, capital-return actions, governance, and risk-related forward-looking statements.
Ellington Financial Inc. (EFC) and certain subsidiaries issued $400.0M of 7.375% unsecured senior notes due September 30, 2030 in a private offering on October 6, 2025. The notes were sold to qualified institutional buyers under Rule 144A and to non-U.S. persons under Regulation S, and are subject to customary transfer restrictions.
The notes are senior unsecured obligations of the issuers and are fully guaranteed by the parent company. Interest is payable semi-annually on March 31 and September 30, beginning March 31, 2026. Proceeds are expected to be used for general corporate purposes, including repaying part of outstanding repurchase agreement borrowings and funding asset purchases aligned with the company’s investment strategy.
The indenture includes customary covenants that limit additional indebtedness and require maintaining a ratio of Consolidated Unencumbered Assets to Unsecured Indebtedness of at least 1.20 to 1.0. The notes are effectively subordinated to secured debt and structurally subordinated to liabilities of non‑guarantor subsidiaries. Full indenture and note forms are filed as exhibits.
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.
Ellington Financial Inc. announced the pricing of a $400 million offering of 7.375% senior unsecured notes due 2030 through certain subsidiaries, with expected closing on October 6, 2025, subject to customary conditions. The company plans to use net proceeds for general corporate purposes, including repaying part of borrowings under its repurchase agreements and funding purchases of additional assets aligned with its investment objectives.
The Notes were offered only to qualified institutional buyers under Rule 144A and to non-U.S. persons pursuant to Regulation S and are not registered under the Securities Act. A press release dated September 30, 2025, is furnished as Exhibit 99.1.
Ellington Financial Inc. announced a planned $400,000,000 offering of senior unsecured notes due 2030 to be issued through certain subsidiaries and fully and unconditionally guaranteed by the company. The company said it expects to use net proceeds for general corporate purposes, including repaying a portion of borrowings under its repurchase agreements and funding purchases of additional assets aligned with its investment strategy. The notes will be offered only to qualified institutional buyers under Rule 144A and to non-U.S. persons under Regulation S and are not registered under the Securities Act. A press release dated September 29, 2025 is furnished as an exhibit.
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.
Ellington Financial Inc. announced on September 8, 2025 that its Board declared a $0.13 monthly dividend on common stock payable October 31, 2025 to holders of record as of September 30, 2025. The company also declared quarterly dividends on four preferred series: $0.624039 per share for Series A (floating rate) payable October 30, 2025; $0.390625 per share for 6.250% Series B payable October 30, 2025; $0.5390625 per share for 8.625% Series C payable October 30, 2025; and $0.4375 per share for 7.00% Series D payable September 30, 2025 to holders of record as of September 20, 2025. A press release dated September 8, 2025 is filed as Exhibit 99.1 and incorporated by reference.
Ellington Financial Inc. furnished a Current Report on Form 8-K to provide a press release announcing its estimated book value per share as of July 31, 2025. The press release dated August 27, 2025 is attached as Exhibit 99.1 and is being furnished under Item 7.01 for Regulation FD purposes. The filing clarifies that the disclosed material is being furnished (not "filed") and therefore is not subject to the liabilities of Section 18 of the Exchange Act and is not incorporated by reference into other filings except by specific reference. The exhibit list also includes the Inline XBRL cover page file as itemized in Item 9.01.