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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): January 11, 2024
ELLINGTON FINANCIAL INC.
(Exact name of registrant as specified in its charter)
Delaware001-3456926-0489289
(State or other jurisdiction
of incorporation)
(Commission File Number)(IRS Employer Identification No.)
53 Forest Avenue
Old Greenwich, CT 06870
(Address and zip code of principal executive offices)
Registrant's telephone number, including area code: (203) 698-1200
Not Applicable
(Former Name or Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of Each ClassTrading Symbol(s)Name of Each Exchange on Which Registered
Common Stock, $0.001 par value per share
EFC
The New York Stock Exchange
6.750% Series A Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock
EFC PR A
The New York Stock Exchange
6.250% Series B Fixed-Rate Reset
Cumulative Redeemable Preferred Stock
EFC PR BThe New York Stock Exchange
8.625% Series C Fixed-Rate Reset
Cumulative Redeemable Preferred Stock
EFC PR CThe New York Stock Exchange
7.00% Series D Cumulative Perpetual Redeemable Preferred StockEFC PRDThe New York Stock Exchange
8.250% Series E Fixed-to-Floating Rate Cumulative Redeemable Preferred StockEFC PREThe New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company    ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.     ¨


Item 8.01 Other Events.
As previously disclosed, in connection with its merger with Arlington Asset Investment Corp. (“AAIC”), Ellington Financial Inc. (the “Company”) agreed to increase the size of its board of directors by one member, with AAIC subsequently designating J. Rock Tonkel, Jr. as the additional board member.
Notwithstanding the previous disclosures and prior agreements, on January 11, 2024, Mr. Tonkel has, after careful consideration, declined to serve as a director of the Company in order to pursue other opportunities. Mr. Tonkel's decision was not the result of any matter relating to the Company's operations, policies or practices. As a result, the Company will not be increasing the size of its board of directors.
2


SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
   ELLINGTON FINANCIAL INC.
Date: January 12, 2024 By: /s/ JR Herlihy
   JR Herlihy
   Chief Financial Officer
3
v3.23.4
Cover
Jan. 11, 2024
Class of Stock [Line Items]  
Document Type 8-K
Document Period End Date Jan. 11, 2024
Entity Registrant Name ELLINGTON FINANCIAL INC
Entity Incorporation, State or Country Code DE
Entity File Number 001-34569
Entity Tax Identification Number 26-0489289
Entity Address, Address Line One 53 Forest Avenue
Entity Address, City or Town Old Greenwich
Entity Address, State or Province CT
Entity Address, Postal Zip Code 06870
City Area Code 203
Local Phone Number 698-1200
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Amendment Flag false
Entity Central Index Key 0001411342
Common Stock  
Class of Stock [Line Items]  
Title of 12(b) Security Common Stock, $0.001 par value per share
Trading Symbol EFC
Security Exchange Name NYSE
Series A Preferred Stock  
Class of Stock [Line Items]  
Title of 12(b) Security 6.750% Series A Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock
Trading Symbol EFC PR A
Security Exchange Name NYSE
Series B Preferred Stock  
Class of Stock [Line Items]  
Title of 12(b) Security 6.250% Series B Fixed-Rate Reset Cumulative Redeemable Preferred Stock
Trading Symbol EFC PR B
Security Exchange Name NYSE
Series C Preferred Stock  
Class of Stock [Line Items]  
Title of 12(b) Security 8.625% Series C Fixed-Rate Reset Cumulative Redeemable Preferred Stock
Trading Symbol EFC PR C
Security Exchange Name NYSE
Series D Preferred Stock  
Class of Stock [Line Items]  
Title of 12(b) Security 7.00% Series D Cumulative Perpetual Redeemable Preferred Stock
Trading Symbol EFC PRD
Security Exchange Name NYSE
Series E Preferred Stock  
Class of Stock [Line Items]  
Title of 12(b) Security 8.250% Series E Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock
Trading Symbol EFC PRE
Security Exchange Name NYSE
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