Ellington Financial Inc. (EFC) shareholders
EFCNYSEReal EstateFiscal year ends December 31Also trades as EFC.PB, EFC.PC, EFC.PD
Financials through Q3 FY2026, quarter ended Sep 30, 2026Last filing: 10-Q on Nov 6, 2026Score 15/3045% below fair value
$11.01−0.16 (-1.43%)
Close on Nov 12, 2026Market cap $1.42BP/E 6.7Yield 14168.90%
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
64M
Shares held, 13F filers
Institutional holders
248
40 new, 25 sold out
Net institutional buying
2M
In Q2 2026
Insider trades, 12 months
0 buys · 0 sales
Open-market trades only
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| BlackRock, Inc. | 20,610,539 | 16.40% | 13G (passive) amendment | Jun 30, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of EFC | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| BlackRock, Inc. | 20,877,584 | – | $284.14M | +1,176,614 | 0.00% |
| Vanguard Capital Management LLC | 5,339,974 | – | $72.68M | +292,408 | 0.00% |
| State Street Corp | 4,952,930 | – | $68.04M | +347,567 | 0.00% |
| Geode Capital Management, LLC | 3,180,748 | – | $43.30M | +255,628 | 0.00% |
| MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd. | 2,245,858 | – | $30.57M | +70,205 | 0.04% |
| Vanguard Portfolio Management LLC | 2,159,940 | – | $29.40M | +166,178 | 0.00% |
| Invesco Ltd. | 1,839,150 | – | $25.03M | +256,739 | 0.00% |
| Northern Trust Corp | 1,486,781 | – | $20.24M | +123,912 | 0.00% |
| JPMorgan Chase & Co | 1,480,642 | – | $20.24M | +549,957 | 0.00% |
| Delphi Financial Group, Inc. | 1,408,396 | – | $19.17M | – | 9.47% |
| Van Eck Associates Corp | 1,253,122 | – | $17.05M | −111,539 | 0.01% |
| Charles Schwab Investment Management Inc | 1,152,852 | – | $15.69M | +43,747 | 0.00% |
| EMG Holdings, L.P. | 1,122,952 | – | $15.28M | +161,934 | 12.21% |
| Victory Capital Management Inc | 860,613 | – | $11.71M | +22,779 | 0.01% |
| Morgan Stanley | 854,436 | – | $11.63M | −65,372 | 0.00% |
| Vanguard Fiduciary Trust Co | 820,680 | – | $11.17M | +23,526 | 0.00% |
| Bank of New York Mellon Corp | 818,015 | – | $11.13M | +7,130 | 0.00% |
| D. E. Shaw & Co., Inc. | 735,331 | – | $10.01M | +197,821 | 0.00% |
| Two Sigma Investments, LP | 689,244 | – | $9.38M | +656,544 | 0.01% |
| Principal Financial Group Inc | 606,012 | – | $8.25M | +331 | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 248 | 64M | 40 / 98 | 58 / 25 | 6M | 4M |
| Q1 2026 | 237 | 62M | 42 / 97 | 66 / 50 | 20M | 5M |
| Q4 2025 | 251 | 55M | 49 / 99 | 53 / 24 | 6M | 3M |
| Q3 2025 | 230 | 52M | 43 / 90 | 49 / 18 | 5M | 4M |
| Q2 2025 | 206 | 50M | 26 / 93 | 53 / 25 | 4M | 2M |
| Q1 2025 | 206 | 48M | 30 / 84 | 48 / 19 | 4M | 3M |
| Q4 2024 | 197 | 48M | 38 / 77 | 46 / 26 | 4M | 3M |
| Q3 2024 | 188 | 49M | 33 / 56 | 54 / 4 | 18M | 3M |
| Q2 2024 | 160 | 48M | 22 / 73 | 38 / 19 | 8M | 4M |
| Q1 2024 | 158 | 44M | 20 / 57 | 52 / 26 | 6M | 7M |
| Q4 2023 | 166 | 45M | 27 / 78 | 44 / 18 | 10M | 2M |
| Q3 2023 | 159 | 36M | 18 / 66 | 41 / 10 | 3M | 1M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
176 funds held EFC in Q2 2026, 82% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Michael W. Vranos | Co-Chief Investment Officer | 1,322,503 | Aug 6, 2026 |
| Chris Smernoff | Chief Accounting Officer | – | Dec 19, 2025 |
| John Herlihy | Chief Financial Officer | – | Dec 19, 2025 |
| Lisa Mumford | Director | 98,954 | Sep 10, 2026 |
| Stephen J. Dannhauser | Director | – | Sep 10, 2026 |
| Edward Resendez | Director | 2,500 | Sep 10, 2026 |
| Ronald I. Simon | Director | 90,181 | Sep 10, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Ronald I. Simon Director | Sep 9, 2026 | Award | +10,181 | – | – | 90,181 |
| Lisa Mumford Director | Sep 9, 2026 | Award | +10,181 | – | – | 98,954 |
| Michael W. Vranos Co-Chief Investment Officer | Aug 5, 2026 | Other | +6,794 | – | – | 1,129,746 |
| Michael W. Vranos Co-Chief Investment Officer | May 11, 2026 | Other | +161,934 | – | – | 1,122,952 |
| Lisa Mumford Director | Dec 31, 2025 | Award | +7,657 | – | – | 88,773 |
| Ronald I. Simon Director | Sep 11, 2025 | Buy | +5,544 | $13.56 | $75.18K | 80,000 |
| Lisa Mumford Director | Sep 10, 2025 | Award | +9,198 | – | – | 81,116 |
| Ronald I. Simon Director | Sep 10, 2025 | Award | +9,198 | – | – | 74,456 |
| Michael W. Vranos Co-Chief Investment Officer | May 20, 2025 | Other | +33,877 | – | – | 961,018 |
| Lisa Mumford Director | Dec 27, 2024 | Award | +8,378 | – | – | 71,918 |
| Ronald I. Simon Director | Dec 27, 2024 | Award | +8,378 | – | – | 65,258 |
| Michael W. Vranos Co-Chief Investment Officer | Oct 15, 2024 | Sale | −14,361 | $12.58 | $180.66K | 153,998 |
| Michael W. Vranos Co-Chief Investment Officer | Oct 14, 2024 | Sale | −14,000 | $12.48 | $174.72K | 168,359 |
| Ronald I. Simon Director | Sep 13, 2024 | Option exercise | +7,657 | – | – | 56,880 |
| Michael W. Vranos Co-Chief Investment Officer | Jul 2, 2024 | Sale | −5,900 | $12.12 | $71.51K | 179,655 |
| Michael W. Vranos Co-Chief Investment Officer | Jun 17, 2024 | Sale | −8,300 | $12.15 | $100.85K | 160,874 |
| Michael W. Vranos Co-Chief Investment Officer | Jun 14, 2024 | Sale | −8,300 | $12.11 | $100.51K | 169,174 |
| Lisa Mumford Director | Dec 14, 2023 | Sale | −21,180 | $13.06 | $276.61K | 63,540 |
| Lisa Mumford Director | Dec 4, 2023 | Option exercise | +84,720 | – | – | 84,720 |
| Ronald I. Simon Director | Sep 14, 2023 | Option exercise | +6,199 | – | – | 49,223 |
| Ronald I. Simon Director | Sep 13, 2022 | Option exercise | +4,066 | – | – | 43,024 |
| Michael W. Vranos Co-Chief Investment Officer | Feb 22, 2022 | Other | +19,094 | – | – | 927,141 |
| Michael W. Vranos Co-Chief Investment Officer | Nov 12, 2021 | Other | +28,453 | – | – | 916,713 |
| Michael W. Vranos Co-Chief Investment Officer | Nov 12, 2021 | Other | −8,666 | – | – | 908,047 |
| Ronald I. Simon Director | Sep 13, 2021 | Option exercise | +5,710 | – | – | 38,958 |
| Michael W. Vranos Co-Chief Investment Officer | Jul 30, 2021 | Other | +37,373 | – | – | 888,260 |
| Michael W. Vranos Co-Chief Investment Officer | Dec 11, 2020 | Other | +140,600 | – | – | 1,889,689 |
| Ronald I. Simon Director | Sep 10, 2020 | Option exercise | +3,638 | – | – | 33,248 |
| Laurence Penn CEO and President, Director | Mar 2, 2020 | Option exercise | +38,759 | – | – | 38,759 |
| Michael W. Vranos Co-Chief Investment Officer | Mar 2, 2020 | Option exercise | +129,516 | – | – | 129,516 |
| Michael W. Vranos Co-Chief Investment Officer, 10% owner | Feb 5, 2020 | Other | +637 | – | – | 850,887 |
| Michael W. Vranos Co-Chief Investment Officer, 10% owner | Nov 14, 2019 | Other | −178,306 | – | – | 850,250 |
| Ronald I. Simon Director | Sep 12, 2019 | Option exercise | +3,610 | – | – | 29,610 |
| Michael W. Vranos Co-Chief Investment Officer, 10% owner | Jul 3, 2019 | Other | +8,078 | $17.95 | $145.00K | 1,028,556 |
| Laurence Penn CEO and President, Director | Nov 14, 2018 | Buy | +28,631 | $16.15 | $462.39K | 105,563 |
| Laurence Penn CEO and President, Director | Nov 13, 2018 | Award | +2,408 | $16.16 | $38.91K | 76,932 |
| Laurence Penn CEO and President, Director | Nov 12, 2018 | Buy | +30,000 | $16.20 | $486.00K | 74,524 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | Oct 31, 2018 | Other | +2,636 | – | – | 1,028,556 |
| Ronald I. Simon Director | Sep 13, 2018 | Option exercise | +3,334 | – | – | 26,000 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | Aug 1, 2018 | Other | +1,841 | – | – | 1,025,920 |
| Ronald I. Simon Director | May 23, 2018 | Buy | +1,839 | $16.20 | $29.79K | 22,666 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | May 14, 2018 | Buy | +15,835 | $15.96 | $252.73K | 394,321 |
| Laurence Penn CEO and President, Director | May 14, 2018 | Buy | +3,959 | $15.96 | $63.19K | 44,524 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | May 11, 2018 | Buy | +63,960 | $15.80 | $1.01M | 378,486 |
| Laurence Penn CEO and President, Director | May 11, 2018 | Buy | +19,990 | $15.79 | $315.64K | 40,565 |
| Laurence Penn CEO and President, Director | May 10, 2018 | Buy | +3,900 | $15.68 | $61.15K | 20,575 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | Dec 14, 2017 | Other | −8,933 | – | – | 1,035,559 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | Dec 14, 2017 | Other | −11,480 | – | – | 1,024,079 |
| Mark Tecotzky Co-Chief Investment Officer | Sep 30, 2017 | Other | +1,511 | – | – | 26,838 |
| Laurence Penn CEO and President, Director | Sep 30, 2017 | Other | +6,414 | – | – | 468,611 |
| Ronald I. Simon Director | Sep 13, 2017 | Option exercise | +2,801 | – | – | 20,827 |
| Investments Llc Vc 10% owner | Nov 16, 2016 | Other | +65,879 | – | – | 1,044,492 |
| Ronald I. Simon Director | Sep 14, 2016 | Option exercise | +2,475 | – | – | 18,026 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | Mar 7, 2016 | Other | +8,601 | – | – | 978,613 |
| Ronald I. Simon Director | Sep 15, 2015 | Option exercise | +1,947 | – | – | 15,551 |
| Laurence Penn CEO and President, Director | Jul 8, 2015 | Other | +279,023 | – | – | 462,197 |
| Mark Tecotzky Co-Chief Investment Officer | Jul 8, 2015 | Other | +4,042 | – | – | 25,326 |
| Michael W. Vranos Co-Chief Investment Officer, Director, 10% owner | Nov 4, 2014 | Other | +6,106 | – | – | 2,211,729 |
| Ronald I. Simon Director | Sep 11, 2014 | Option exercise | +1,822 | – | – | 13,604 |
| Investments Llc Vc 10% owner | Feb 11, 2014 | Other | +13,564 | – | – | 2,205,623 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of float
8.16%
10M shares short
Days to cover
5.8
At 2M shares a day
Change since last report
-6.5%
From 11M shares
Short volume, 20 days
61.0%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Ellington Financial's stock actually held short. Settlement fails (shares not delivered on time) peaked at 32,759 shares on Sep 14, 2026 over the last 90 days.
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