Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ellington Credit CoEARN · Entity 6459 | Director | September 10, 2020 | September 14, 2020 |
| Ellington Financial Inc.EFC · Entity 4604 | Director | September 10, 2020 | September 14, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Ellington Credit Co
Report date September 10, 2020 · Filed September 14, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common shares of beneficial interestSEC Table I · non-derivative | Direct | 22,036 |
Reported balance
After 2020-09-10 transaction · row 1
1 source rowRow 1 · 2020-09-10 · Grant · Acquired 3,755 · Balance 22,036 F1: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 9, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 9, 2021.
Ellington Financial Inc.
Report date September 10, 2020 · Filed September 14, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| OP LTIP UnitsSEC Table II · derivative / convertible security | Direct | 32,119 |
Reported balance
After 2020-09-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-09-10 · Grant · Acquired 5,710 · Balance 32,119 F1: 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"). F2: The 5,710 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 9, 2021. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan (the "2017 Plan"). |
Filing footnotes · ownership attribution and instrument terms
F1: 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").
F2: The 5,710 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 9, 2021. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan (the "2017 Plan").
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 10, 2020 Filed Sep 14, 2020 20:04 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 5,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-013552 · wf-form4_160011383849804.xml · derivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,119 Underlying: Common Units · 5,710 shares Expires not disclosed F1 · security: 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"). F2 · derivative.exercise_price: The 5,710 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 9, 2021. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan (the "2017 Plan"). F2 · price: The 5,710 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 9, 2021. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan (the "2017 Plan"). F2 · derivative.exercise_date: The 5,710 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 9, 2021. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan (the "2017 Plan"). F2 · derivative.expiration_date: The 5,710 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 9, 2021. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan (the "2017 Plan"). Read SEC document |
| September 10, 2020 Filed Sep 14, 2020 16:06 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 3,755 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-013558 · wf-form4_160011396642231.xml · nonDerivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,036 F1 · price: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 9, 2021. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 18:10 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 3,638 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-011687 · wf-form4_156839819513040.xml · derivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,409 Underlying: Common Units · 3,638 shares Expires not disclosed F1 · security: 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 subsidiary of Ellington Financial Inc. (the "Company"). F2 · derivative.exercise_price: The 3,638 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 10, 2020. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan. F2 · price: The 3,638 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 10, 2020. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan. F2 · derivative.exercise_date: The 3,638 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 10, 2020. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan. F2 · derivative.expiration_date: The 3,638 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 10, 2020. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan. F2 · derivative.underlying: The 3,638 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 10, 2020. 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 limited liability company interests of the Operating Partnership designated as common units ("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 shares of common stock of the Company, $0.001 par value per share (the "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 Equity Incentive Plan. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 14:14 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 3,756 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-011690 · wf-form4_156839842901769.xml · nonDerivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,281 F1 · price: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 10, 2020. Read SEC document |
| September 12, 2018 Filed Sep 14, 2018 20:03 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantLTIP Units · Derivative | 3,610 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-011861 · wf-form4_153695538728390.xml · derivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,771 Underlying: Common shares representing ltd liability company interests · 3,610 shares Expires not disclosed F1 · security: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2017 Equity Incentive Plan (the "2017 Plan"). F2 · derivative.exercise_price: The 3,610 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 11, 2019. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F2 · derivative.exercise_date: The 3,610 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 11, 2019. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F2 · derivative.expiration_date: The 3,610 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 11, 2019. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document |
| September 12, 2018 Filed Sep 14, 2018 16:11 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 3,286 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-011875 · wf-form4_153695586692002.xml · nonDerivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,525 F1 · price: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 11, 2019. Read SEC document |
| September 12, 2017 Filed Sep 14, 2017 20:22 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantLTIP Units · Derivative | 3,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-17-009307 · wf-form4_150542050675243.xml · derivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,161 Underlying: Common shares representing ltd liability company interests · 3,334 shares Expires not disclosed F1 · security: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Company's 2017 Equity Incentive Plan. F2 · derivative.exercise_price: The 3,334 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 11, 2018. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F2 · derivative.exercise_date: The 3,334 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 11, 2018. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F2 · derivative.expiration_date: The 3,334 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 11, 2018. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document |
| September 12, 2017 Filed Sep 14, 2017 16:16 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 2,494 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-17-009303 · wf-form4_150542019694604.xml · nonDerivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,239 F1 · price: The common shares of beneficial interest (the "Common Shares") of Ellington Residential Mortgage REIT (the "Company") were granted to the reporting person as an independent trustee under the Company's 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 11, 2018. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 20:34 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantLTIP Units · Derivative | 2,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-16-019596 · wf-form4_147397167273715.xml · derivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,827 Underlying: Common shares representing ltd liability company interests · 2,801 shares Expires not disclosed F1 · security: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2007 Incentive Plan for Individuals. F2 · derivative.exercise_price: The 2,801 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 12, 2017. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F2 · derivative.exercise_date: The 2,801 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 12, 2017. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F2 · derivative.expiration_date: The 2,801 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 12, 2017. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 16:38 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 2,464 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-16-019599 · wf-form4_147397190854456.xml · nonDerivative · entry 1 ROBARDS THOMAS F · CIK 0001185488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,745 F1 · price: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 12, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.