A Form 4 filed on September 10, 2026 disclosed that Ronald I. Simon, a director of Ellington Financial Inc. (NYSE:EFC), acquired 10,181 shares of common stock on September 9, 2026 at a price of $0 under the company's 2026 Equity Incentive Plan.

Key Highlights

  • Transaction date: 10,181 shares of common stock were acquired on September 9, 2026 via transaction code "A" (acquisition) at a price of $0.
  • Forfeiture condition: The shares remain forfeitable subject to Simon's continued service as a board member until September 8, 2027, according to the filing.
  • Plan basis: The shares were issued pursuant to Ellington Financial Inc.'s 2026 Equity Incentive Plan.
  • Post-transaction ownership: Following the transaction, Simon beneficially owns 90,181 shares indirectly, held by the Simon Family Trust.
  • Additional holdings: The filing notes that 5,544 Common Shares are held in an individual retirement account, separate from the Trust.
  • Beneficial ownership disclaimer: According to the filing, Simon "disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein."

Director Share Award Details for Ellington Financial Inc.

According to the Form 4 filed with the SEC on September 10, 2026, Ronald I. Simon, identified as a director of Ellington Financial Inc. (NYSE:EFC), received 10,181 shares of common stock, $0.001 par value per share, on September 9, 2026. The filing states the shares were issued at $0 and are classified as acquired (code "A"). They were granted under the company's 2026 Equity Incentive Plan and are subject to forfeiture conditions tied to Simon's ongoing board service.

The filing discloses that the 10,181 shares remain forfeitable until September 8, 2027, contingent on the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. The shares were reported as indirectly owned, held by the Simon Family Trust, of which Simon is a trustee. Simon and his wife are identified as the beneficiaries of the Trust.

The filing further notes that, as of the time of filing, 5,544 Common Shares are held in an individual retirement account, with the remaining shares held within the Simon Family Trust. The shares issued on September 9, 2026 are held at the transfer agent of the company. The Form 4 was signed by Alaael-Deen Shilleh as attorney-in-fact for Ronald I. Simon on September 10, 2026.

What Was Disclosed

The filing reported the acquisition of 10,181 forfeitable restricted shares by director Ronald I. Simon under Ellington Financial Inc.'s 2026 Equity Incentive Plan, bringing his total indirect beneficial ownership to 90,181 shares held through the Simon Family Trust.