Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ELLINGTON INCOME OPPORTUNITIES FUNDEIOM · Entity 112529 | Trustee | October 18, 2018 | October 30, 2018 |
| Ellington Credit CoEARN · Entity 6459 | Director · CEO and President | May 09, 2018 | May 10, 2018 |
| Ellington Financial Inc.EFC · Entity 4604 | Director · CEO and President | March 02, 2020 | March 04, 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 INCOME OPPORTUNITIES FUND
Report date October 18, 2018 · Filed October 30, 2018
This filing explicitly reported no securities owned.
Ellington Credit Co
Report date May 09, 2018 · Filed May 10, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common sharesSEC Table I · non-derivative | Direct | 35,710 |
Reported balance
After 2018-05-09 transaction · row 1
1 source rowRow 1 · 2018-05-09 · Purchase · Acquired 15,000 · Balance 35,710 F1: This transaction was executed in multiple trades at prices ranging from $10.77 to $11.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $10.77 to $11.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Ellington Financial Inc.
Report date March 02, 2020 · Filed March 04, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectIn Trust | 38,759 |
Reported balance
After 2020-03-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-03-02 · Exercise / conversion · Acquired 38,759 · Balance 38,759 F1: Converted from a class of limited liability company interests ("Common Units") of Ellington Financial Operating Partnership LLC, the operating partnership of Ellington Financial Inc. (the "Issuer"). Subject to certain conditions, the Common Units were redeemable by the holder for an equivalent number of shares of common stock of the Issuer ("Common Stock") or for the cash value of such shares of Common Stock, at the Issuer's election F2: 38,759 shares of Common Stock are held by a family trust of which Mr. Penn is a settlor and for which Michael Vranos serves as a trustee (the "Penn Family Trust"). Mr. Vranos has certain consent rights with respect to transfers of shares of Common Stock held by the Penn Family Trust. Mr. Vranos disclaims any pecuniary interest in the shares of Common Stock held by the Penn Family Trust. As a current manager of the Penn Family Trust, Mr. Penn currently has the power to direct the voting and disposition of these shares of Common Stock, and as such may be regarded as the indirect beneficial owner of such shares of Common Stock. Mr. Penn disclaims any pecuniary interest in these shares of Common Stock. |
| Common UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-03-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-03-02 · Exercise / conversion · Disposed 38,759 · Balance 0 F4: Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of shares of Common Stock of the Issuer or for the cash value of such shares of Common Stock, at the Issuer's election. F5: 38,759 Common Units were held by the Penn Family Trust. Mr. Vranos has certain consent rights with respect to transfers of all Common Units including those held by the Penn Family Trust. Mr. Vranos disclaims any pecuniary interest in the Common Units held by the Penn Family Trust. |
| Common StockSEC Table I · non-derivative | Direct | 105,563 |
Reported balance
Holding disclosure · report date 2020-03-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 105,563 |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 469,372 |
Reported balance
Holding disclosure · report date 2020-03-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 469,372 F3: Mr. Penn is a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain shares of Common Stock with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those shares of Common Stock, but not others. Mr. Penn currently has the right to withdraw 469,372 of these shares of Common Stock from EMGH. |
Filing footnotes · ownership attribution and instrument terms
F1: Converted from a class of limited liability company interests ("Common Units") of Ellington Financial Operating Partnership LLC, the operating partnership of Ellington Financial Inc. (the "Issuer"). Subject to certain conditions, the Common Units were redeemable by the holder for an equivalent number of shares of common stock of the Issuer ("Common Stock") or for the cash value of such shares of Common Stock, at the Issuer's election
F2: 38,759 shares of Common Stock are held by a family trust of which Mr. Penn is a settlor and for which Michael Vranos serves as a trustee (the "Penn Family Trust"). Mr. Vranos has certain consent rights with respect to transfers of shares of Common Stock held by the Penn Family Trust. Mr. Vranos disclaims any pecuniary interest in the shares of Common Stock held by the Penn Family Trust. As a current manager of the Penn Family Trust, Mr. Penn currently has the power to direct the voting and disposition of these shares of Common Stock, and as such may be regarded as the indirect beneficial owner of such shares of Common Stock. Mr. Penn disclaims any pecuniary interest in these shares of Common Stock.
F3: Mr. Penn is a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain shares of Common Stock with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those shares of Common Stock, but not others. Mr. Penn currently has the right to withdraw 469,372 of these shares of Common Stock from EMGH.
F4: Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of shares of Common Stock of the Issuer or for the cash value of such shares of Common Stock, at the Issuer's election.
F5: 38,759 Common Units were held by the Penn Family Trust. Mr. Vranos has certain consent rights with respect to transfers of all Common Units including those held by the Penn Family Trust. Mr. Vranos disclaims any pecuniary interest in the Common Units held by the Penn Family Trust.
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 |
|---|---|---|---|---|---|---|
| March 02, 2020 Filed Mar 4, 2020 18:22 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Units · Derivative | 38,759 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-002986 · wf-form4_158336412555478.xml · derivative · entry 4 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 38,759 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of shares of Common Stock of the Issuer or for the cash value of such shares of Common Stock, at the Issuer's election. F4 · price: Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of shares of Common Stock of the Issuer or for the cash value of such shares of Common Stock, at the Issuer's election. F4 · derivative.exercise_date: Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of shares of Common Stock of the Issuer or for the cash value of such shares of Common Stock, at the Issuer's election. F4 · derivative.expiration_date: Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of shares of Common Stock of the Issuer or for the cash value of such shares of Common Stock, at the Issuer's election. F5 · ownership.nature: 38,759 Common Units were held by the Penn Family Trust. Mr. Vranos has certain consent rights with respect to transfers of all Common Units including those held by the Penn Family Trust. Mr. Vranos disclaims any pecuniary interest in the Common Units held by the Penn Family Trust. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 18:22 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Stock | 38,759 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-20-002986 · wf-form4_158336412555478.xml · nonDerivative · entry 1 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · In Trust Disclosed balance after: 38,759 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Converted from a class of limited liability company interests ("Common Units") of Ellington Financial Operating Partnership LLC, the operating partnership of Ellington Financial Inc. (the "Issuer"). Subject to certain conditions, the Common Units were redeemable by the holder for an equivalent number of shares of common stock of the Issuer ("Common Stock") or for the cash value of such shares of Common Stock, at the Issuer's election F2 · ownership.nature: 38,759 shares of Common Stock are held by a family trust of which Mr. Penn is a settlor and for which Michael Vranos serves as a trustee (the "Penn Family Trust"). Mr. Vranos has certain consent rights with respect to transfers of shares of Common Stock held by the Penn Family Trust. Mr. Vranos disclaims any pecuniary interest in the shares of Common Stock held by the Penn Family Trust. As a current manager of the Penn Family Trust, Mr. Penn currently has the power to direct the voting and disposition of these shares of Common Stock, and as such may be regarded as the indirect beneficial owner of such shares of Common Stock. Mr. Penn disclaims any pecuniary interest in these shares of Common Stock. Read SEC document |
| November 14, 2018 Filed Nov 15, 2018 16:24 UTC | Ellington Financial Inc. EFC · Entity 4604 | PurchaseCommon Shares rep limited liability company interests | 28,631 | $16.15 | $462,390.65 |
DisclosureSEC source: 0001628280-18-014411 · wf-form4_154231705226343.xml · nonDerivative · entry 1 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,563 F1 · price: This transaction was executed in multiple trades at prices ranging from $16.09 to $16.23. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 13, 2018 Filed Nov 14, 2018 16:34 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantCommon Shares rep limited liability company interests | 2,408 | $16.16 | $38,913.28 |
DisclosureSEC source: 0001628280-18-014369 · wf-form4_154223123165043.xml · nonDerivative · entry 2 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,932 F2 · price: This transaction was executed in multiple trades at prices ranging from $16.11 to $16.20. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 12, 2018 Filed Nov 14, 2018 16:34 UTC | Ellington Financial Inc. EFC · Entity 4604 | PurchaseCommon Shares rep limited liability company interests | 30,000 | $16.20 | $486,000.00 |
DisclosureSEC source: 0001628280-18-014369 · wf-form4_154223123165043.xml · nonDerivative · entry 1 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,524 F1 · price: This transaction was executed in multiple trades at prices ranging from $16.09 to $16.27. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 14, 2018 Filed May 15, 2018 16:32 UTC | Ellington Financial Inc. EFC · Entity 4604 | PurchaseCommon Shares rep limited liability company interests | 3,959 | $15.96 | $63,185.64 |
DisclosureSEC source: 0001628280-18-006820 · wf-form4_152641635243775.xml · nonDerivative · entry 1 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,524 F1 · price: This transaction was executed in multiple trades at prices ranging from $15.95 to $15.99. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 11, 2018 Filed May 14, 2018 17:06 UTC | Ellington Financial Inc. EFC · Entity 4604 | PurchaseCommon Shares rep limited liability company interests | 19,990 | $15.79 | $315,642.10 |
DisclosureSEC source: 0001628280-18-006754 · wf-form4_152633196924601.xml · nonDerivative · entry 2 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,565 F2 · price: This transaction was executed in multiple trades at prices ranging from $15.73 to $15.83. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 10, 2018 Filed May 14, 2018 17:06 UTC | Ellington Financial Inc. EFC · Entity 4604 | PurchaseCommon Shares rep limited liability company interests | 3,900 | $15.68 | $61,152.00 |
DisclosureSEC source: 0001628280-18-006754 · wf-form4_152633196924601.xml · nonDerivative · entry 1 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,575 F1 · price: This transaction was executed in multiple trades at prices ranging from $15.67 to $15.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 09, 2018 Filed May 10, 2018 18:11 UTC | Ellington Credit Co EARN · Entity 6459 | PurchaseCommon shares | 15,000 | $10.88 | $163,200.00 |
DisclosureSEC source: 0001628280-18-006621 · wf-form4_152599025603897.xml · nonDerivative · entry 1 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,710 F1 · price: This transaction was executed in multiple trades at prices ranging from $10.77 to $11.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 30, 2017 Filed Mar 26, 2018 10:22 UTC | Ellington Financial Inc. EFC · Entity 4604 | OtherCommon Shares rep limited liability company interests | 6,414 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-003547 · wf-form4_152207416451001.xml · nonDerivative · entry 1 Penn Laurence · CIK 0001474801 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 468,611 F1 · date: In addition to the common shares that Mr. Penn holds directly, Mr. Penn is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Penn gained the right to withdraw from EMGH an additional 6,414 common shares, and as a result Mr. Penn may be deemed to have gained beneficial ownership of an additional 6,414 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Penn did not pay or receive any consideration in connection with the change in status of these common shares. F1 · shares: In addition to the common shares that Mr. Penn holds directly, Mr. Penn is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Penn gained the right to withdraw from EMGH an additional 6,414 common shares, and as a result Mr. Penn may be deemed to have gained beneficial ownership of an additional 6,414 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Penn did not pay or receive any consideration in connection with the change in status of these common shares. F1 · ownership.nature: In addition to the common shares that Mr. Penn holds directly, Mr. Penn is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Penn gained the right to withdraw from EMGH an additional 6,414 common shares, and as a result Mr. Penn may be deemed to have gained beneficial ownership of an additional 6,414 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Penn did not pay or receive any consideration in connection with the change in status of these common shares. 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.