Ellington Financial Amends 8-K on Capital Structure

TL;DR

**Ellington Financial just updated its 8-K, clarifying its stock classes including various preferred series as of December 14, 2023.**

AI Summary

Ellington Financial Inc. filed an 8-K/A on February 23, 2024, amending a previous report from December 14, 2023. The filing primarily updates information regarding its capital structure, specifically mentioning Common Stock, Series A, B, C, D, and E Preferred Stock as of December 14, 2023. The company, incorporated in Delaware with IRS Employer Identification No. 26-0489289, operates out of 53 Forest Avenue, Old Greenwich, CT 06870.

Why It Matters

This amendment provides updated details on Ellington Financial's stock classes, which is crucial for investors to understand the company's capital structure and potential dividend obligations.

Risk Assessment

Risk Level: low — This is an amendment to a previous filing, primarily providing clarification on capital structure, which is generally not a high-risk event.

Key Players & Entities

• Ellington Financial Inc. (company) — registrant
• December 14, 2023 (date) — date of earliest event reported
• February 23, 2024 (date) — filing date
• Delaware (company) — state of incorporation
• 26-0489289 (dollar_amount) — IRS Employer Identification No.

FAQ

Key Financial Figures

• $0.001 — ange on Which Registered Common Stock, $0.001 par value per share EFC The New York

Filing Documents

• efc-20231214.htm (8-K/A) — 43KB
• ex231pwcconsent.htm (EX-23.1) — 2KB
• ex993proformas.htm (EX-99.3) — 245KB
• 0001411342-24-000013.txt ( ) — 499KB
• efc-20231214.xsd (EX-101.SCH) — 2KB
• efc-20231214_def.xml (EX-101.DEF) — 18KB
• efc-20231214_lab.xml (EX-101.LAB) — 34KB
• efc-20231214_pre.xml (EX-101.PRE) — 19KB
• efc-20231214_htm.xml (XML) — 7KB

01 Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits. (a) Financial Statements of Businesses Acquired. The required audited financial statements of Arlington as of December 31, 2022 and 2021 and for the years ended December 31, 2022 and 2021 are filed as Exhibit 99.1 and are incorporated herein by reference. The required unaudited financial statements of Arlington as of September 30, 2023 and for the nine months then ended are filed as Exhibit 99.2 and are incorporated herein by reference. (b) Pro Forma Financial Information. The required unaudited pro forma condensed combined financial information with respect to the Merger is filed as Exhibit 99.3 and incorporated herein by reference. (d) Exhibits . EXHIBIT INDEX Exhibit Number Description 2.1 Agreement and Plan of Merger, dated as of May 29, 2023, by and among Ellington Financial Inc., EF Merger Sub Inc., Arlington Asset Investment Corp. and, solely for the limited purposes set forth therein, Ellington Financial Management LLC (incorporated by reference to Exhibit 2.1 of Ellington Financial Inc.'s Current Report on Form 8-K filed with the SEC on May 30, 2023) 23.1* Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm (in respect of Arlington Asset Investment Corp.) 99.1 Audited consolidated financial statements of Arlington Asset Investment Corp. as of December 31, 2022 and December 31, 2021 and for each of the two years ended December 31, 2022, including the related notes thereto, and the Report of Independent Registered Public Accounting Firm (incorporated by reference to the Annual Report on Form 10-K for the year ended December 31, 2022 filed with the SEC by Arlington Asset Investment Corp. on March 31, 2023) 99.2 Unaudited consolidated financial statements of Arlington Asset Investment Corp. as of September 30, 2023, and for the nine months then ended (incorporated by reference to the Quarterly Report on Form 10-Q for the quarter ended September 30, 2023 filed with the

View Full Filing

View this 8-K/A filing on SEC EDGAR