person · Reporting owner

SIMON RONALD I

Disclosed activity across 3 companies

Tapewire entity: 74696
SEC CIK: 0001060435

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 row Row 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 row Row 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 row Row 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	Disclosure context
Common Stock, $1.00 par value per shareSEC Table I · non-derivative	Direct	Reported balance After 2022-02-15 transaction · row 1 Sequence does not reconcile; account continuity is unresolved. 1 source row Row 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	Reported balance After 2022-02-15 transaction · row 4 Sequence does not reconcile; account continuity is unresolved. 1 source row Row 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	Reported balance After 2022-02-15 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 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	Reported balance After 2022-02-15 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 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 API

Purchases/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 13, 2018 Filed Sep 14, 2018 16:05 UTC	Ellington Financial Inc. EFC · Entity 4604	Exercise / conversionLTIP Units · Derivative	3,334	$0.00	$0.00	Disclosure SEC source: 0001628280-18-011865 · wf-form4_153695549835258.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,610 Underlying: Common Shares · 3,334 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 LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the Company's 2017 Plan and were converted into Common Shares on a one-for-one basis. F4 · derivative.exercise_price: The LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the Company's 2017 Plan and were converted into Common Shares on a one-for-one basis. F5 · derivative.exercise_date: Represents the conversion of outstanding vested LTIP Units into Common Shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 3,334 LTIP Units became convertible on September 11, 2018. The rights to convert LTIP Units into Common Shares do not have expiration dates. F5 · derivative.expiration_date: Represents the conversion of outstanding vested LTIP Units into Common Shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 3,334 LTIP Units became convertible on September 11, 2018. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document
September 13, 2018 Filed Sep 14, 2018 16:05 UTC	Ellington Financial Inc. EFC · Entity 4604	Exercise / conversionCommon shares rep. limited liabiilty company interests	3,334	$0.00	$0.00	Disclosure SEC source: 0001628280-18-011865 · wf-form4_153695549835258.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 26,000 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 shares representing limited liability interests ("Common Shares") of Ellington Financial LLC (the "Company") are held in the Simon Family Trust (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. Read SEC document
September 12, 2018 Filed Sep 14, 2018 16:12 UTC	Ellington Credit Co EARN · Entity 6459	GrantCommon shares of beneficial interest	3,286	$0.00	$0.00	Disclosure SEC source: 0001628280-18-011876 · wf-form4_153695590389032.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,047 F1 · price: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 11, 2019. F2 · balance_after: Excludes 2,494 Common Shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 13, 2018. Read SEC document
September 12, 2018 Filed Sep 14, 2018 16:05 UTC	Ellington Financial Inc. EFC · Entity 4604	GrantLTIP Units · Derivative	3,610	$0.00	$0.00	Disclosure SEC source: 0001628280-18-011865 · wf-form4_153695549835258.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,944 Underlying: Common Shares · 3,610 shares Expires not disclosed F2 · security: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of the Company, which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2017 Equity Incentive Plan (the "2017 Plan"). F3 · derivative.exercise_price: The 3,610 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 11, 2019. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into Common Shares on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F3 · derivative.exercise_date: The 3,610 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 11, 2019. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into Common Shares on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F3 · derivative.expiration_date: The 3,610 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 11, 2019. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into Common Shares on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document
May 23, 2018 Filed May 24, 2018 16:13 UTC	Ellington Credit Co EARN · Entity 6459	PurchaseCommon shares of beneficial interest	3,224	$11.47	$36,979.28	Disclosure SEC source: 0001628280-18-007160 · wf-form4_152719280437555.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,255 F1 · price: This transaction was executed in multiple trades at prices ranging from $11.46 to $11.49. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person. Read SEC document
May 23, 2018 Filed May 24, 2018 16:07 UTC	Ellington Financial Inc. EFC · Entity 4604	PurchaseCommon shares rep. limited liabiilty company interests	1,839	$16.20	$29,791.80	Disclosure SEC source: 0001628280-18-007159 · wf-form4_152719244379673.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 22,666 F1 · price: This transaction was executed in multiple trades at prices ranging from $16.19 to $16.20. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The shares are held in the Simon Family Trust (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. Read SEC document
May 22, 2018 Filed May 24, 2018 16:13 UTC	Ellington Credit Co EARN · Entity 6459	PurchaseCommon shares of beneficial interest	537	$11.28	$6,057.36	Disclosure SEC source: 0001628280-18-007160 · wf-form4_152719280437555.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,031 Read SEC document
May 09, 2018 Filed May 10, 2018 18:12 UTC	Ellington Credit Co EARN · Entity 6459	PurchaseCommon shares of beneficial interest	2,500	$10.81	$27,025.00	Disclosure SEC source: 0001628280-18-006622 · wf-form4_152599031857027.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,494 Read SEC document
December 05, 2017 Filed Dec 5, 2017 17:01 UTC	INDEPENDENCE HOLDING CO IHC · Entity 130363	OtherCommon Stock	825	$0.00	$0.00	Disclosure SEC source: 0001144204-17-062422 · tv480870_form4.xml · nonDerivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Simon Family Trust Disclosed balance after: 30,825 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F3 · balance_after: Includes 825 shares contributed by reporting person. Read SEC document
December 05, 2017 Filed Dec 5, 2017 17:01 UTC	INDEPENDENCE HOLDING CO IHC · Entity 130363	OtherCommon Stock	825	$0.00	$0.00	Disclosure SEC source: 0001144204-17-062422 · tv480870_form4.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,125 F1 · kind: Represents the transfer of shares from reporting person to the Simon Family Trust. F2 · balance_after: Excludes 825 shares previously owned directly which were contributed to the Simon Family Trust. Read SEC document
November 15, 2017 Filed Nov 17, 2017 20:54 UTC	INDEPENDENCE HOLDING CO IHC · Entity 130363	GrantCommon Stock	2,475	$0.00	$0.00	Disclosure SEC source: 0001144204-17-060021 · tv479904_4.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,950 F1 · shares: Restricted stock units that provide for the acquisition of purely stock issued to the reporting person under the Independence Holding Company 2016 Stock Incentive Plan. The restricted stock unit vests ratably over three years after the date of grant. Read SEC document
September 13, 2017 Filed Sep 14, 2017 16:22 UTC	Ellington Financial Inc. EFC · Entity 4604	Exercise / conversionLTIP Units · Derivative	2,801	$0.00	$0.00	Disclosure SEC source: 0001628280-17-009309 · wf-form4_150542054660908.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,334 Underlying: Common Shares · 2,801 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 LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the Company's 2007 Incentive Plan for Individuals and were converted into Common Shares on a one-for-one basis. F4 · derivative.exercise_price: The LTIP Units were issued pursuant to, and were subject to the terms and conditions of, the Company's 2007 Incentive Plan for Individuals and were converted into Common Shares on a one-for-one basis. F5 · shares: Represents the conversion of outstanding vested LTIP Units into Common Shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 2,801 LTIP Units became convertible on September 12, 2017. The rights to convert LTIP Units into Common Shares do not have expiration dates. F5 · derivative.exercise_date: Represents the conversion of outstanding vested LTIP Units into Common Shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 2,801 LTIP Units became convertible on September 12, 2017. The rights to convert LTIP Units into Common Shares do not have expiration dates. F5 · derivative.expiration_date: Represents the conversion of outstanding vested LTIP Units into Common Shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 2,801 LTIP Units became convertible on September 12, 2017. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document
September 13, 2017 Filed Sep 14, 2017 16:22 UTC	Ellington Financial Inc. EFC · Entity 4604	Exercise / conversionCommon shares rep. limited liabiilty company interests	2,801	$0.00	$0.00	Disclosure SEC source: 0001628280-17-009309 · wf-form4_150542054660908.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 20,827 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 shares are held in the Simon Family Trust (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. Read SEC document
September 12, 2017 Filed Sep 14, 2017 16:22 UTC	Ellington Financial Inc. EFC · Entity 4604	GrantLTIP Units · Derivative	3,334	$0.00	$0.00	Disclosure SEC source: 0001628280-17-009309 · wf-form4_150542054660908.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,135 Underlying: Common Shares · 3,334 shares Expires not disclosed F2 · security: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Company's 2017 Equity Incentive Plan. F3 · derivative.exercise_price: The 3,334 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 11, 2018. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F3 · derivative.exercise_date: The 3,334 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 11, 2018. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F3 · derivative.expiration_date: The 3,334 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 11, 2018. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document
September 12, 2017 Filed Sep 14, 2017 16:16 UTC	Ellington Credit Co EARN · Entity 6459	GrantCommon shares of beneficial interest	2,494	$0.00	$0.00	Disclosure SEC source: 0001628280-17-009302 · wf-form4_150542017736868.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,994 F1 · price: The common shares of beneficial interest (the "Common Shares") of Ellington Residential Mortgage REIT (the "Company") were granted to the reporting person as an independent trustee under the Company's 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 11, 2018. F2 · balance_after: Excludes 2,464 Common Shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 13, 2017. Read SEC document
November 11, 2016 Filed Nov 15, 2016 14:17 UTC	INDEPENDENCE HOLDING CO IHC · Entity 130363	GrantCommon Stock	2,475	$0.00	$0.00	Disclosure SEC source: 0001060435-16-000005 · edgar.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,475 F1 · shares: Restricted stock units that provide for the acquisition of purely 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 14, 2016 Filed Sep 15, 2016 16:35 UTC	Ellington Financial Inc. EFC · Entity 4604	Exercise / conversionLTIP Units · Derivative	2,475	$0.00	$0.00	Disclosure SEC source: 0001628280-16-019597 · wf-form4_147397169147920.xml · derivative · entry 3 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,801 Underlying: Common Shares · 2,475 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 · derivative.exercise_price: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2007 Incentive Plan for Individuals. F4 · shares: Represents the conversion of outstanding vested LTIP Units into common shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 2,475 LTIP Units became convertible on September 14, 2016. The rights to convert LTIP Units into Common Shares do not have expiration dates. F4 · derivative.exercise_date: Represents the conversion of outstanding vested LTIP Units into common shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 2,475 LTIP Units became convertible on September 14, 2016. The rights to convert LTIP Units into Common Shares do not have expiration dates. F4 · derivative.expiration_date: Represents the conversion of outstanding vested LTIP Units into common shares pursuant to the terms thereof. The conversion does not represent or involve a disposition for value. The 2,475 LTIP Units became convertible on September 14, 2016. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document
September 14, 2016 Filed Sep 15, 2016 16:35 UTC	Ellington Financial Inc. EFC · Entity 4604	Exercise / conversionCommon shares rep. limited liabiilty company interests	2,475	$0.00	$0.00	Disclosure SEC source: 0001628280-16-019597 · wf-form4_147397169147920.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 18,026 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 shares are held in the Simon Family Trust (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. Read SEC document
September 13, 2016 Filed Sep 15, 2016 16:39 UTC	Ellington Credit Co EARN · Entity 6459	GrantCommon shares of beneficial interest	2,464	$0.00	$0.00	Disclosure SEC source: 0001628280-16-019601 · wf-form4_147397194100552.xml · nonDerivative · entry 1 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,964 F1 · price: The common shares of beneficial interest (the "Common Shares") were granted to the Reporting Person as an independent trustee under the Ellington Residential Mortgage REIT 2013 Equity Incentive Plan. The Common Shares will vest, subject to certain limitations, on September 12, 2017. F2 · balance_after: Excludes 2,307 common shares previously owned directly which were transferred to the Simon Family Trust (the "Trust") on September 14, 2016 Read SEC document
September 13, 2016 Filed Sep 15, 2016 16:35 UTC	Ellington Financial Inc. EFC · Entity 4604	GrantLTIP Units · Derivative	2,801	$0.00	$0.00	Disclosure SEC source: 0001628280-16-019597 · wf-form4_147397169147920.xml · derivative · entry 2 SIMON RONALD I · CIK 0001060435 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,276 Underlying: Common Shares · 2,801 shares Expires not disclosed F2 · security: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2007 Incentive Plan for Individuals. F3 · derivative.exercise_price: The 2,801 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 12, 2017. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F3 · derivative.exercise_date: The 2,801 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 12, 2017. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. F3 · derivative.expiration_date: The 2,801 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 12, 2017. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.