Form Type: 4

SEC EDGAR Link
Accession Number:0001628280-21-025397
Date:2021-12-16
Issuer: ELLINGTON RESIDENTIAL MORTGAGE REIT (EARN)
Original Submission Date:

Reporting Person:

SMERNOFF CHRIS
53 FOREST AVENUE
OLD GREENWICH, CT 06870

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON SHARES OF BENEFICIAL INTEREST 2021-12-16 A 3,532 a $0.00 14,333 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the common shares of beneficial interest (the "common shares") were granted to the reporting person as the company's chief financial officer, under the ellington residential mortgage reit 2013 equity incentive plan. 1,766 of the common shares will vest, subject to certain limitations, on december 16, 2022, and the remaining 1,766 of the common shares will vest, subject to certain limitations, on december 16, 2023.
f2 1,517 of these common shares will vest, subject to certain limitations, on december 17, 2022.

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