Ellington Financial Updates NYSE Registered Securities in 8-K
Ticker: EFC-PD · Form: 8-K · Filed: Jan 12, 2024 · CIK: 1411342
| Field | Detail |
|---|---|
| Company | Ellington Financial Inc. (EFC-PD) |
| Form Type | 8-K |
| Filed Date | Jan 12, 2024 |
| Risk Level | low |
| Pages | 2 |
| Reading Time | 2 min |
| Key Dollar Amounts | $0.001 |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: regulatory-filing, corporate-governance, exchange-listing
TL;DR
**EFC confirms NYSE listing for common and Series A preferred stock.**
AI Summary
Ellington Financial Inc. filed an 8-K on January 11, 2024, to update the securities registered under Section 12(b) of the Securities Exchange Act of 1934. The filing specifically lists its Common Stock (EFC) and its 6.750% Series A Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock as registered on The New York Stock Exchange. This matters to investors because it confirms the active listing and trading of these specific securities, providing transparency and liquidity for shareholders.
Why It Matters
This filing confirms the official listing of Ellington Financial's common and Series A preferred stock on the NYSE, which is crucial for their liquidity and investor confidence.
Risk Assessment
Risk Level: low — This filing is purely administrative, updating registered securities, and does not introduce new financial risks or operational changes.
Analyst Insight
A smart investor would note this administrative update confirms the continued listing of EFC's common and Series A preferred stock on the NYSE, ensuring market access and liquidity, but it doesn't signal any immediate investment action.
Key Numbers
- $0.001 — par value per share (for Ellington Financial Inc.'s Common Stock)
- 6.750% — coupon rate (for Ellington Financial Inc.'s Series A Preferred Stock)
Key Players & Entities
- Ellington Financial Inc. (company) — the registrant filing the 8-K
- The New York Stock Exchange (company) — the exchange where securities are registered
- Common Stock (other) — a class of securities registered
- 6.750% Series A Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock (other) — a class of securities registered
- $0.001 (dollar_amount) — par value per share of Common Stock
FAQ
What is the purpose of this 8-K filing by Ellington Financial Inc.?
The purpose of this 8-K filing is to report 'Other Events' and specifically to update the securities registered pursuant to Section 12(b) of the Securities Exchange Act of 1934, as stated in the filing's 'ITEM INFORMATION: Other Events' and the 'Securities registered pursuant to Section 12(b) of the Act' section.
Which specific securities of Ellington Financial Inc. are listed as registered in this filing?
The filing lists 'Common Stock, $0.001 par value per share' with trading symbol EFC, and '6.750% Series A Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock' as registered securities.
On which exchange are these securities registered?
Both the Common Stock (EFC) and the 6.750% Series A Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock are registered on 'The New York Stock Exchange', as indicated in the 'Name of Each Exchange on Which Registered' column.
What is the par value of Ellington Financial Inc.'s Common Stock according to this filing?
The par value of Ellington Financial Inc.'s Common Stock is '$0.001 par value per share', as specified in the 'Title of Each Class' section of the filing.
What is the earliest event reported date for this 8-K filing?
The 'Date of Report (Date of earliest event reported)' is January 11, 2024, as stated at the beginning of the FORM 8-K document.
Filing Stats: 552 words · 2 min read · ~2 pages · Grade level 11.4 · Accepted 2024-01-12 09:18:12
Key Financial Figures
- $0.001 — ange on Which Registered Common Stock, $0.001 par value per share EFC The New York
Filing Documents
- efc-20240111.htm (8-K) — 33KB
- 0001411342-24-000006.txt ( ) — 221KB
- efc-20240111.xsd (EX-101.SCH) — 2KB
- efc-20240111_def.xml (EX-101.DEF) — 18KB
- efc-20240111_lab.xml (EX-101.LAB) — 34KB
- efc-20240111_pre.xml (EX-101.PRE) — 19KB
- efc-20240111_htm.xml (XML) — 7KB
01 Other Events
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