Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ellington Credit CoEARN · Entity 6459 | Director | September 11, 2025 | October 02, 2025 |
| Ellington Financial Inc.EFC · Entity 4604 | Director | September 09, 2026 | September 10, 2026 |
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 11, 2025 · Filed October 02, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common shares of beneficial interestSEC Table I · non-derivative | Direct | 24,297 |
Reported balance
After 2025-09-11 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-09-11 · Purchase · Acquired 10,536 · Balance 24,297 F1: Excludes 14,472 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 12, 2025. |
| Common shares of beneficial interestSEC Table I · non-derivative | IndirectBy Trust | 55,703 |
Reported balance
Holding disclosure · report date 2025-09-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 55,703 F2: The shares are held in the Trust. Mr. Simon is a trustee of the Trust. Mr. Simon and his wife are the beneficiaries of the Trust. Mr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Includes 14,472 common shares previously owned directly which were transferred to the Trust on September 12, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Excludes 14,472 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 12, 2025.
F2: The shares are held in the Trust. Mr. Simon is a trustee of the Trust. Mr. Simon and his wife are the beneficiaries of the Trust. Mr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Includes 14,472 common shares previously owned directly which were transferred to the Trust on September 12, 2025.
Ellington Financial Inc.
Report date September 09, 2026 · Filed September 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 90,181 |
Reported balance
After 2026-09-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-09-09 · Grant · Acquired 10,181 · Balance 90,181 F1: The 10,181 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 8, 2027. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan. F2: The 10.181 Common Shares issued to Dr. Simon on September 9, 2026 are held at the transfer agent of the Company. As of the time of filing, other than 5,544 Common Shares held in an investment retirement account, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The 10,181 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 8, 2027. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan.
F2: The 10.181 Common Shares issued to Dr. Simon on September 9, 2026 are held at the transfer agent of the Company. As of the time of filing, other than 5,544 Common Shares held in an investment retirement account, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
INDEPENDENCE HOLDING CO
Report date February 15, 2022 · Filed February 16, 2022
Section 16 reporting ended · disclosed 2022-02-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $1.00 par value per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-02-15 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2022-02-15 · Disposition to issuer · Disposed 8,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. |
| Common Stock, $1.00 par value per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-02-15 transaction · row 4
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 4 · 2022-02-15 · Disposition to issuer · Disposed 4,950 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. F3: On the effective date of the merger, each outstanding restricted stock unit (RSU), whether vested or not then vested, was cancelled, extinguished and converted into the right to receive the $57.00 merger consideration pursuant to the Merger Agreement. |
| Common Stock, $1.00 par value per shareSEC Table I · non-derivative | IndirectBy Simon Family Trust | 0 |
Reported balance
After 2022-02-15 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2022-02-15 · Disposition to issuer · Disposed 35,400 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. |
| Common Stock, $1.00 par value per shareSEC Table I · non-derivative | IndirectBy Wife | 0 |
Reported balance
After 2022-02-15 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2022-02-15 · Disposition to issuer · Disposed 2,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. F2: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purpoes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger.
F2: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purpoes of Section 16 or for any other purpose.
F3: On the effective date of the merger, each outstanding restricted stock unit (RSU), whether vested or not then vested, was cancelled, extinguished and converted into the right to receive the $57.00 merger consideration pursuant to the Merger Agreement.
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 09, 2026 Filed Sep 10, 2026 20:10 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantCommon Stock | 10,181 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-061343 · wk-form4_1789071031.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 90,181 F1 · shares: The 10,181 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 8, 2027. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan. F1 · price: The 10,181 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 8, 2027. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2026 Equity Incentive Plan. F2 · ownership.nature: The 10.181 Common Shares issued to Dr. Simon on September 9, 2026 are held at the transfer agent of the Company. As of the time of filing, other than 5,544 Common Shares held in an investment retirement account, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 11, 2025 Filed Oct 2, 2025 16:33 UTC | Ellington Financial Inc. EFC · Entity 4604 | PurchaseCommon Stock | 5,544 | $13.56 | $75,176.09 |
DisclosureSEC source: 0001628280-25-043750 · wk-form4_1759437179.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 80,000 F3 · ownership.nature: The 5,544 Common Shares purchased by Dr. Simon on September 11, 2025 are held by his personal broker in an investment retirement account. As of the date of purchase, other than 5,544 shares purchased by Dr. Simon, the 9,198 shares granted on September 10, 2025, the 8,378 Common Shares that were previously issued to Dr. Simon on December 27, 2024, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 11, 2025 Filed Oct 2, 2025 16:29 UTC | Ellington Credit Co EARN · Entity 6459 | PurchaseCommon shares of beneficial interest | 10,536 | $5.68 | $59,843.43 |
DisclosureSEC source: 0001628280-25-043740 · wk-form4_1759436944.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,297 F1 · balance_after: Excludes 14,472 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 12, 2025. Read SEC document |
| September 10, 2025 Filed Oct 2, 2025 16:33 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantCommon Stock | 9,198 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-043750 · wk-form4_1759437179.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 74,456 F1 · shares: The 9,198 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 9, 2026. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2017 Equity Incentive Plan. F1 · price: The 9,198 shares of common stock, $0.001 par value per share (the "Common Shares") remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of Ellington Financial Inc. (the "Company"), until September 9, 2026. The Common Shares were issued pursuant to, and are subject to the terms and conditions of the Company's 2017 Equity Incentive Plan. F2 · ownership.nature: The 9,198 Common Shares issued to Dr. Simon on September 10, 2025 are held at the transfer agent of the Company. As of the date of issuance, other than the 9,198 shares issued to Dr. Simon and the 8,378 Common Shares that were previously issued to Dr. Simon on December 27, 2024, all of the remaining Common Shares held by Dr. Simon were held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 27, 2024 Filed Dec 30, 2024 16:44 UTC | Ellington Financial Inc. EFC · Entity 4604 | OtherOP LTIP Units · Derivative | 8,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001411342-24-000126 · wk-form4_1735595059.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Units · 8,378 shares Expires not disclosed F3 · 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 the Company. F1 · derivative.exercise_price: On December 27, 2024, Dr. Simon and Ellington Financial Inc. (the "Company") entered into an Exchange Agreement (the "Exchange Agreement") whereby Dr. Simon exchanged the 8,378 OP LTIP Units (as defined below) that were granted to him on September 11, 2024 pursuant to, and are subject to the terms and conditions of the Company's 2017 Equity Incentive Plan (the "Plan"), for 8,378 shares of common stock of the Company, $0.001 par value per share (the "Common Shares"). No other consideration was involved in connection with the Exchange Agreement. The Common Shares were also issued pursuant to, and are subject to the terms and conditions of, the Plan. The 8,378 Common Shares remain forfeitable, subject to Dr. Simon's continued service as a member of the board of directors of the Company, until December 26, 2025. F1 · kind: On December 27, 2024, Dr. Simon and Ellington Financial Inc. (the "Company") entered into an Exchange Agreement (the "Exchange Agreement") whereby Dr. Simon exchanged the 8,378 OP LTIP Units (as defined below) that were granted to him on September 11, 2024 pursuant to, and are subject to the terms and conditions of the Company's 2017 Equity Incentive Plan (the "Plan"), for 8,378 shares of common stock of the Company, $0.001 par value per share (the "Common Shares"). No other consideration was involved in connection with the Exchange Agreement. The Common Shares were also issued pursuant to, and are subject to the terms and conditions of, the Plan. The 8,378 Common Shares remain forfeitable, subject to Dr. Simon's continued service as a member of the board of directors of the Company, until December 26, 2025. F4 · derivative.exercise_date: Upon issuance, the 8,378 OP LTIP Units remained forfeitable, subject to Dr. Simon's continued service as a member of the board of directors of the Company, until September 10, 2025. Once the vesting restrictions lapsed, the OP LTIP Units would have been able to be converted, 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 would have been 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 previously issued pursuant to, and are subject to the terms and conditions of the Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F4 · derivative.expiration_date: Upon issuance, the 8,378 OP LTIP Units remained forfeitable, subject to Dr. Simon's continued service as a member of the board of directors of the Company, until September 10, 2025. Once the vesting restrictions lapsed, the OP LTIP Units would have been able to be converted, 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 would have been 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 previously issued pursuant to, and are subject to the terms and conditions of the Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| December 27, 2024 Filed Dec 30, 2024 16:44 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantCommon Stock | 8,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001411342-24-000126 · wk-form4_1735595059.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 65,258 F1 · shares: On December 27, 2024, Dr. Simon and Ellington Financial Inc. (the "Company") entered into an Exchange Agreement (the "Exchange Agreement") whereby Dr. Simon exchanged the 8,378 OP LTIP Units (as defined below) that were granted to him on September 11, 2024 pursuant to, and are subject to the terms and conditions of the Company's 2017 Equity Incentive Plan (the "Plan"), for 8,378 shares of common stock of the Company, $0.001 par value per share (the "Common Shares"). No other consideration was involved in connection with the Exchange Agreement. The Common Shares were also issued pursuant to, and are subject to the terms and conditions of, the Plan. The 8,378 Common Shares remain forfeitable, subject to Dr. Simon's continued service as a member of the board of directors of the Company, until December 26, 2025. F2 · ownership.nature: The 8,378 Common Shares issued to Dr. Simon on December 27, 2024 are held at the transfer agent of the Company. All of the remaining Common Shares held by Dr. Simon are held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 13, 2024 Filed Sep 13, 2024 17:07 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionOP LTIP Units · Derivative | 7,657 | $0.00 | $0.00 |
DisclosureSEC source: 0001411342-24-000091 · wk-form4_1726261645.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,378 Underlying: Common Units · 7,657 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. F2 · 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 the Company. F4 · derivative.exercise_price: 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 Shares. F5 · price: 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 7,657 OP LTIP Units became convertible on September 12, 2024. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.exercise_date: 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 7,657 OP LTIP Units became convertible on September 12, 2024. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.expiration_date: 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 7,657 OP LTIP Units became convertible on September 12, 2024. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.underlying: 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 7,657 OP LTIP Units became convertible on September 12, 2024. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| September 13, 2024 Filed Sep 13, 2024 17:07 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Stock | 7,657 | $0.00 | $0.00 |
DisclosureSEC source: 0001411342-24-000091 · wk-form4_1726261645.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 56,880 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 · ownership.nature: The common stock, par value $0.001 per share ("Common Shares"), of Ellington Financial Inc. (the "Company") are held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 11, 2024 Filed Sep 13, 2024 17:18 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 14,472 | $0.00 | $0.00 |
DisclosureSEC source: 0001560672-24-000102 · wk-form4_1726262301.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,233 F1 · price: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Credit Company 2023 Equity Incentive Plan. 8,684 of the Common Shares vested immediately upon their granting and 5,788 of the Common Shares will vest, subject to certain limitations, on the day following the day that shareholders of Ellington Credit Company (the "Company") approve certain proposals put forward by the Company at its 2024 annual meeting of shareholders that would allow the Company to convert to a registered closed-end fund. F2 · balance_after: Excludes 8,230 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 13, 2024. Read SEC document |
| September 11, 2024 Filed Sep 13, 2024 17:07 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 8,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001411342-24-000091 · wk-form4_1726261645.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,035 Underlying: Common Units · 8,378 shares Expires not disclosed F2 · 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 the Company. F3 · derivative.exercise_price: The 8,378 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, 2025. 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 rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · price: The 8,378 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, 2025. 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 rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.exercise_date: The 8,378 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, 2025. 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 rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.expiration_date: The 8,378 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, 2025. 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 rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.underlying: The 8,378 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, 2025. 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 rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| December 14, 2023 Filed Dec 18, 2023 17:08 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 7,657 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-041802 · wk-form4_1702937307.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,657 Underlying: Common Units · 7,657 shares Expires not disclosed F2 · 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 the Company. F5 · derivative.exercise_price: 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 2017 Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · price: 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 2017 Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.exercise_date: 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 2017 Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.expiration_date: 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 2017 Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.underlying: 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 2017 Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| September 14, 2023 Filed Dec 18, 2023 17:08 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionOP LTIP Units · Derivative | 6,199 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-041802 · wk-form4_1702937307.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Units · 6,199 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. F2 · 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 the Company. F3 · derivative.exercise_price: 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 Shares. F4 · price: 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 6,199 OP LTIP Units became convertible on September 12, 2023. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F4 · derivative.exercise_date: 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 6,199 OP LTIP Units became convertible on September 12, 2023. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F4 · derivative.expiration_date: 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 6,199 OP LTIP Units became convertible on September 12, 2023. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F4 · derivative.underlying: 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 6,199 OP LTIP Units became convertible on September 12, 2023. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| September 14, 2023 Filed Dec 18, 2023 17:08 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Stock | 6,199 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-041802 · wk-form4_1702937307.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 49,223 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 · ownership.nature: The common stock, par value $0.001 per share ("Common Shares"), of Ellington Financial Inc. (the "Company") are held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 16:27 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 8,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001560672-23-000071 · wk-form4_1694809651.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,991 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 2023 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 12, 2024. F2 · balance_after: Excludes 6,761 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 14, 2023. Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 16:06 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionOP LTIP Units · Derivative | 4,066 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-024995 · wf-form4_166327235442791.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,199 Underlying: Common Units · 4,066 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. F2 · 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 the Company. F4 · derivative.exercise_price: The OP LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the 2017 Plan and were converted into Common Units and then redeemed for Common Shares on a one-for-one basis. F5 · price: 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 4,066 LTIP Units became convertible on September 13, 2022. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.exercise_date: 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 4,066 LTIP Units became convertible on September 13, 2022. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.expiration_date: 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 4,066 LTIP Units became convertible on September 13, 2022. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.underlying: 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 4,066 LTIP Units became convertible on September 13, 2022. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 16:06 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 6,199 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-024995 · wf-form4_166327235442791.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,265 Underlying: Common Units · 6,199 shares Expires not disclosed F2 · 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 the Company. F3 · derivative.exercise_price: The 6,199 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 12, 2023. 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 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"). The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · price: The 6,199 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 12, 2023. 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 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"). The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.exercise_date: The 6,199 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 12, 2023. 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 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"). The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.expiration_date: The 6,199 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 12, 2023. 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 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"). The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.underlying: The 6,199 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 12, 2023. 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 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"). The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 16:06 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Stock | 4,066 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-024995 · wf-form4_166327235442791.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 43,024 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 · ownership.nature: The common stock, par value $0.001 per share ("Common Shares"), of Ellington Financial Inc. (the "Company") are held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 16:03 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 6,761 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-024990 · wf-form4_166327222492459.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,522 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, 2023. F2 · balance_after: Excludes 4,204 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 14, 2022. Read SEC document |
| February 15, 2022 Filed Feb 16, 2022 10:16 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | Disposition to issuerCommon Stock, $1.00 par value per share | 4,950 | $57.00 | $282,150.00 |
DisclosureSEC source: 0001104659-22-024153 · edgar.xml · nonDerivative · entry 4 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. F3 · price: On the effective date of the merger, each outstanding restricted stock unit (RSU), whether vested or not then vested, was cancelled, extinguished and converted into the right to receive the $57.00 merger consideration pursuant to the Merger Agreement. Read SEC document |
| February 15, 2022 Filed Feb 16, 2022 10:16 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | Disposition to issuerCommon Stock, $1.00 par value per share | 2,000 | $57.00 | $114,000.00 |
DisclosureSEC source: 0001104659-22-024153 · edgar.xml · nonDerivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Wife Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purpoes of Section 16 or for any other purpose. Read SEC document |
| February 15, 2022 Filed Feb 16, 2022 10:16 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | Disposition to issuerCommon Stock, $1.00 par value per share | 35,400 | $57.00 | $2,017,800.00 |
DisclosureSEC source: 0001104659-22-024153 · edgar.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. Read SEC document |
| February 15, 2022 Filed Feb 16, 2022 10:16 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | Disposition to issuerCommon Stock, $1.00 par value per share | 8,000 | $57.00 | $456,000.00 |
DisclosureSEC source: 0001104659-22-024153 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, by and among Independence Holding Company, Geneve Holdings, Inc. and Geneve Acquisition Corp. dated November 9, 2021 (the "Merger Agreement"), on the effective date of the merger. Read SEC document |
| December 27, 2021 Filed Feb 9, 2022 19:04 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | GiftCommon Stock | 3,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-017282 · tm226099d2_5.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 35,400 Read SEC document |
| November 22, 2021 Filed Nov 24, 2021 18:00 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-143687 · tm2133960-1_4.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 38,900 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F3 · balance_after: Includes 2,475 shares contributed by reporting person. Read SEC document |
| November 22, 2021 Filed Nov 24, 2021 18:00 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-143687 · tm2133960-1_4.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,950 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F2 · balance_after: Excludes 2,475 shares previously owned directly which were contributed to the Simon Family Trust. Read SEC document |
| November 12, 2021 Filed Nov 15, 2021 16:59 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | GrantCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-21-000002 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,425 F1 · shares: Restricted stock for units that provide for the acquisition of stock issued to the reporting person under the Independence Holding Company 2016 Stock Incentive Plan, as amended. The restricted stock units vest ratably over three years after the date of grant. Read SEC document |
| September 14, 2021 Filed Sep 15, 2021 16:08 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 4,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-018686 · wf-form4_163173647784707.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,965 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 13, 2022. F2 · balance_after: Excludes 3,755 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 14, 2021. Read SEC document |
| September 14, 2021 Filed Sep 15, 2021 16:07 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 4,066 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-018681 · wf-form4_163173640990182.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,066 Underlying: Common Units · 4,066 shares Expires not disclosed F2 · 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 the Company. F4 · derivative.exercise_price: The 4,066 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, 2022. 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"). F4 · price: The 4,066 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, 2022. 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"). F4 · derivative.exercise_date: The 4,066 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, 2022. 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"). F4 · derivative.expiration_date: The 4,066 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, 2022. 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"). F4 · derivative.underlying: The 4,066 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, 2022. 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 13, 2021 Filed Sep 15, 2021 16:07 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionOP LTIP Units · Derivative | 5,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-018681 · wf-form4_163173640990182.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Units · 5,710 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. F2 · 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 the Company. F2 · derivative.exercise_price: 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 the Company. F3 · price: 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 5,710 LTIP Units became convertible on September 9, 2021. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.exercise_date: 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 5,710 LTIP Units became convertible on September 9, 2021. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.expiration_date: 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 5,710 LTIP Units became convertible on September 9, 2021. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F3 · derivative.underlying: 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 5,710 LTIP Units became convertible on September 9, 2021. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| September 13, 2021 Filed Sep 15, 2021 16:07 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Stock | 5,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-018681 · wf-form4_163173640990182.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 38,958 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 · ownership.nature: The common stock, par value $0.001 per share ("Common Shares"), of Ellington Financial Inc. (the "Company") are held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 23, 2020 Filed Nov 24, 2020 16:17 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-20-000002 · edgar.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 36,425 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F3 · balance_after: Includes 2,475 shares contributed by reporting person. Read SEC document |
| November 23, 2020 Filed Nov 24, 2020 16:17 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-20-000002 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,950 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F2 · balance_after: Excludes 2,475 shares previously owned directly which were contributed to the Simon Family Trust. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 20:31 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | GrantCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-124570 · tm2035916d4_form4.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,425 F1 · shares: Restricted stock units that provide for the acqusition of stock issued to the reporting person under the Independence Holding Company 2016 Stock Incentive Plan, as amended. The restricted stock units vest ratably over three years after the date of grant. Read SEC document |
| September 11, 2020 Filed Sep 14, 2020 16:04 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionOP LTIP Units · Derivative | 3,638 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-013553 · wf-form4_160011385367961.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,710 Underlying: Common Units · 3,638 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 · security: The OP LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the 2017 Plan and were converted into Common Units and then redeemed for Common Shares on a one-for-one basis. F4 · derivative.exercise_price: The OP LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the 2017 Plan and were converted into Common Units and then redeemed for Common Shares on a one-for-one basis. F5 · price: 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 3,638 LTIP Units became convertible on September 10, 2020. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.exercise_date: 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 3,638 LTIP Units became convertible on September 10, 2020. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.expiration_date: 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 3,638 LTIP Units became convertible on September 10, 2020. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.underlying: 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 3,638 LTIP Units became convertible on September 10, 2020. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. 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: 0001628280-20-013557 · wf-form4_160011395141876.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,516 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. F2 · balance_after: Excludes 3,756 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 11, 2020. Read SEC document |
| September 10, 2020 Filed Sep 14, 2020 16:04 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 5,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-013553 · wf-form4_160011385367961.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,348 Underlying: Common Units · 5,710 shares Expires not disclosed F2 · 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 the Company. F3 · 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"). F3 · 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"). F3 · 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"). F3 · 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"). F3 · derivative.underlying: 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 16:04 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Stock | 3,638 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-013553 · wf-form4_160011385367961.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 33,248 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 · ownership.nature: The common stock, par value $0.001 per share ("Common Shares"), of Ellington Financial Inc. (the "Company") are held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 18:00 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-19-000006 · edgar.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 33,950 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F3 · balance_after: Includes 2,475 shares contributed by reporting person. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 18:00 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-19-000006 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,950 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F2 · balance_after: Excludes 2,475 shares previously owned directly which were contributed to the Simon Family Trust. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 17:12 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | SaleCommon Stock | 350 | $40.23 | $14,080.50 |
DisclosureSEC source: 0001060435-19-000004 · edgar.xml · nonDerivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 31,475 Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 17:12 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | SaleCommon Stock | 350 | $40.15 | $14,052.50 |
DisclosureSEC source: 0001060435-19-000004 · edgar.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 31,825 Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 17:12 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | SaleCommon Stock | 300 | $40.10 | $12,030.00 |
DisclosureSEC source: 0001060435-19-000004 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 32,175 Read SEC document |
| November 12, 2019 Filed Nov 13, 2019 17:39 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | GrantCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-19-000002 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,425 F1 · shares: Restricted stock for units that provide for the acquisition of stock issued to the reporting person under the Independence Holding Company 2016 Stock Incentive Plan. The restricted stock units vest ratably over three years after the date of grant. Read SEC document |
| September 12, 2019 Filed Sep 13, 2019 14:09 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionOP LTIP Units · Derivative | 3,610 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-011684 · wf-form4_156839812738160.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,638 Underlying: Common Units · 3,610 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 · security: The OP LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the 2017 Plan and were converted into Common Units and then redeemed for Common Shares on a one-for-one basis. F4 · derivative.exercise_price: The OP LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the 2017 Plan and were converted into Common Units and then redeemed for Common Shares on a one-for-one basis. F5 · price: 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 3,610 LTIP Units became convertible on September 11, 2019. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.exercise_date: 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 3,610 LTIP Units became convertible on September 11, 2019. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.expiration_date: 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 3,610 LTIP Units became convertible on September 11, 2019. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. F5 · derivative.underlying: 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 3,610 LTIP Units became convertible on September 11, 2019. The rights to convert LTIP Units into Common Units and redeem such Common Units do not have expiration dates. Read SEC document |
| September 12, 2019 Filed Sep 13, 2019 14:09 UTC | Ellington Financial Inc. EFC · Entity 4604 | Exercise / conversionCommon Stock | 3,610 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-011684 · wf-form4_156839812738160.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 29,610 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 · ownership.nature: The common stock, par value $0.001 per share ("Common Shares"), of Ellington Financial Inc. (the "Company") are held in the Simon Family Trust (the "Trust"). Dr. Simon is a trustee of the Trust. Dr. Simon and his wife are the beneficiaries of the Trust. Dr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 14:15 UTC | Ellington Credit Co EARN · Entity 6459 | GrantCommon shares of beneficial interest | 3,756 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-011693 · wf-form4_156839848498899.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,517 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. F2 · balance_after: Excludes 3,286 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 12, 2019. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 14:09 UTC | Ellington Financial Inc. EFC · Entity 4604 | GrantOP LTIP Units · Derivative | 3,638 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-011684 · wf-form4_156839812738160.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,248 Underlying: Common Units · 3,638 shares Expires not disclosed F2 · 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 the Company. F3 · 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. F3 · 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. F3 · 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. F3 · 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. F3 · 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 |
| November 20, 2018 Filed Nov 20, 2018 16:24 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-18-000004 · edgar.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 32,475 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F3 · balance_after: Includes 1,650 shares contributed by reporting person. Read SEC document |
| November 20, 2018 Filed Nov 20, 2018 16:24 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | OtherCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-18-000004 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,950 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F2 · balance_after: Excludes 1,650 shares previously owned directly which were contributed to the Simon Family Trust. Read SEC document |
| November 12, 2018 Filed Nov 13, 2018 16:49 UTC | INDEPENDENCE HOLDING CO IHC · Entity 130363 | GrantCommon Stock | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001060435-18-000002 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,600 F1 · shares: Restricted stock for units that provide for the acquisition of stock issued to the reporting person under the Independence Holding Company 2016 Stock Incentive Plan. The restricted stock units vest ratably over three years after the date of grant. 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.