Extracted from this filing and checked against the source text.
Governance Changes
SEC 8-K Item 5.03/5.05/5.06
confidence 0.9
Ellington Financial Inc.: Filed Certificate of Designations establishing terms of 8.625% Series C Fixed-Rate Reset Cumulative Redeemable Preferred Stock, effective February 3, 2023 (effective 2023-02-03).
- Change
- charter amendment
- Effective
- 2023-02-03
Exact text from the filing
On February 3, 2023, the Company filed a Certificate of Designations (the “Certificate of Designations”) with the Secretary of State of the State of Delaware to designate 4,600,000 shares of the Company’s authorized preferred stock as shares of 8.625% Series C Fixed-Rate Reset Cumulative Redeemable Preferred Stock, par value $0.001 per share, with a liquidation preference of $25.00 per share (“Series C Preferred Stock”), with the designations, powers, rights, preferences, qualifications, limitations and restrictions as set forth in the Certificate of Designations. The Certificate of Designations became effective upon filing on February 3, 2023.
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Material Agreements
SEC 8-K Item 1.01/1.02
confidence 0.9
Ellington Financial Inc. entered into Underwriting Agreement with Piper Sandler & Co. (effective 2023-02-02).
- Action
- entry
- Agreement
- underwriting
- Counterparty
- Piper Sandler & Co.
- Effective
- 2023-02-02
Exact text from the filing
On February 2, 2023, Ellington Financial Inc. (the “Company”) and Ellington Financial Management LLC (the “Manager”) entered into an underwriting agreement (the “Underwriting Agreement”) with Piper Sandler & Co., as representative of the several underwriters named therein (the “Underwriters”), relating to the offer and sale of 4,000,000 shares of Series C Preferred Stock (as defined below).
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