0001628280-23-041801.txt : 20231218 0001628280-23-041801.hdr.sgml : 20231218 20231218170753 ACCESSION NUMBER: 0001628280-23-041801 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231204 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mumford Lisa CENTRAL INDEX KEY: 0001380384 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 231494631 MAIL ADDRESS: STREET 1: 6 BEACHWOOD COURT CITY: DIX HILLS STATE: NY ZIP: 11746 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ellington Financial Inc. CENTRAL INDEX KEY: 0001411342 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] ORGANIZATION NAME: 05 Real Estate & Construction IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 53 Forest Ave CITY: Greenwich STATE: ct ZIP: 06870 BUSINESS PHONE: 203-698-1200 MAIL ADDRESS: STREET 1: 53 Forest Ave CITY: Greenwich STATE: ct ZIP: 06870 FORMER COMPANY: FORMER CONFORMED NAME: Ellington Financial LLC DATE OF NAME CHANGE: 20070831 4 1 wk-form4_1702937260.xml FORM 4 X0508 4 2023-12-04 0 0001411342 Ellington Financial Inc. EFC 0001380384 Mumford Lisa 53 FOREST AVE GREENWICH CT 06870 1 0 0 0 0 Common Stock 2023-12-04 4 M 0 84720 0 A 84720 D Common Stock 2023-12-14 4 S 0 21180 13.06 D 63540 D OP LTIP Units 2023-12-04 4 M 0 84720 0 D Common Units 84720 0 D OP LTIP Units 2023-12-14 4 A 0 7657 0 A Common Units 7657 7657 D Represents a separate non-voting class of limited liability company interests ("OP LTIP Units") of Ellington Financial Operating Partnership LLC (the "Operating Partnership"), the operating partnership of Ellington Financial Inc. (the "Company"). The OP LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the Company' 2017 Equity Incentive Plan (the "2017 Plan") and were converted into limited liability company interests of the Operating Partnership designated as common units (the "Common Units") on a one-for-one basis and subsequently redeemed for an equivalent number of shares of common stock of the Company, $0.001 par value per share (the "Common Shares"). Represents the conversion of outstanding vested OP LTIP Units into Common Units and the redemption of the Common Units for Common Shares pursuant to the terms thereof. The conversion and redemption do not represent or involve a disposition for value. The 84,720 OP LTIP Units became convertible on the day before the one year anniversary of their respective grant. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. The 7,657 OP LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 13, 2024. The OP LTIP Units may be converted, upon lapse of the vesting restrictions described above, at the election of the holder, or at any time at the election of the Company, into Common Units on a one-for-one basis. Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of Common Shares or for the cash value of such Common Shares, at the Company's election. The OP LTIP Units were issued pursuant to, and are subject to the terms and conditions of the Company's 2017 Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. /s/ Alaael-Deen Shilleh, as attorney-in-fact for Lisa Mumford 2023-12-18