0001104659-23-129197.txt : 20231226 0001104659-23-129197.hdr.sgml : 20231226 20231226161148 ACCESSION NUMBER: 0001104659-23-129197 CONFORMED SUBMISSION TYPE: 15-12G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231226 DATE AS OF CHANGE: 20231226 EFFECTIVENESS DATE: 20231226 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Arlington Asset Investment Corp. CENTRAL INDEX KEY: 0001209028 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] ORGANIZATION NAME: 05 Real Estate & Construction IRS NUMBER: 541873198 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 15-12G SEC ACT: 1934 Act SEC FILE NUMBER: 001-34374 FILM NUMBER: 231513453 BUSINESS ADDRESS: STREET 1: 6862 ELM STREET STREET 2: SUITE 320 CITY: MCLEAN STATE: VA ZIP: 22101 BUSINESS PHONE: 7033730200 MAIL ADDRESS: STREET 1: 6862 ELM STREET STREET 2: SUITE 320 CITY: MCLEAN STATE: VA ZIP: 22101 FORMER COMPANY: FORMER CONFORMED NAME: FRIEDMAN BILLINGS RAMSEY GROUP INC DATE OF NAME CHANGE: 20030331 FORMER COMPANY: FORMER CONFORMED NAME: FOREST MERGER CORP DATE OF NAME CHANGE: 20021205 15-12G 1 tm2333716d1_1512g.htm 15-12G

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

FORM 15

CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION
UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934
OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934.

Commission File Number: 001-34374

ARLINGTON ASSET INVESTMENT CORP.

(EF Merger Sub Inc., as successor by merger to Arlington Asset Investment Corp.)

(Exact name of registrant as specified in its charter)

53 Forest Avenue

Old Greenwich, Connecticut 06870

(203) 698-1200

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

Class A Common Stock

7.00% Series B Cumulative Perpetual Redeemable Preferred Stock

8.250% Series C Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock

(Title of each class of securities covered by this Form)

None

(Titles of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)

Please place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file reports:


	Rule 12g-4(a)(1)	x
	Rule 12g-4(a)(2)	¨
	Rule 12h-3(b)(1)(i)	x
	Rule 12h-3(b)(1)(ii)	¨
	Rule 15d-6	¨
	Rule 15d-22(b)	¨

Approximate number of holders of record as of the certification or notice date: None*

On December 14, 2023, pursuant to the Agreement and Plan of Merger, dated as of May 29, 2023, by and among Ellington Financial Inc., a Delaware corporation (“EFC”), EF Merger Sub Inc., a Virginia corporation and subsidiary of EFC (“Merger Sub”), Arlington Asset Investment Corp., a Virginia corporation (the “Registrant”), and, solely for the purposes set forth therein, Ellington Financial Management LLC, EFC’s external manager, the Registrant merged with and into Merger Sub, at which time the separate corporate existence of the Registrant ended. Pursuant to this Form 15, Merger Sub, as the successor entity to the Registrant, is terminating the registration of the (i) Class A Common Stock (ii) 7.00% Series B Cumulative Perpetual Redeemable Preferred Stock and (iii) 8.250% Series C Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock, of the Registrant.

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, EF Merger Sub Inc. (as successor by merger to Arlington Asset Investment Corp.) has caused this certification/notice to be signed on its behalf by the undersigned duly authorized person.

	EF Merger Sub Inc. (as successor by merger to Arlington Asset Investment Corp.)

Date: December 26, 2023	By:	/s/ JR Herlihy
	Name:	JR Herlihy
	Title:	Chief Financial Officer