0001181431-12-050336.txt : 20120913 0001181431-12-050336.hdr.sgml : 20120913 20120913161658 ACCESSION NUMBER: 0001181431-12-050336 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120912 FILED AS OF DATE: 20120913 DATE AS OF CHANGE: 20120913 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMON RONALD I CENTRAL INDEX KEY: 0001060435 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 121090348 MAIL ADDRESS: STREET 1: 485 MADISON AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ellington Financial LLC CENTRAL INDEX KEY: 0001411342 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 53 Forest Ave CITY: Greenwich STATE: ct ZIP: 06870 BUSINESS PHONE: 203-698-1200 MAIL ADDRESS: STREET 1: 53 Forest Ave CITY: Greenwich STATE: ct ZIP: 06870 4 1 rrd356110.xml X0306 4 2012-09-12 0 0001411342 Ellington Financial LLC EFC 0001060435 SIMON RONALD I 53 FOREST AVE OLD GREENWICH CT 06870 1 0 0 0 LTIP Units 2012-09-12 4 A 0 1782 0 A Common shares representing ltd liability company interests 1782 3032 D Represents a separate non-voting class of limited liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2007 Incentive Plan for Individuals. The 1,782 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 11, 2013. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates. /s/ Sara Walden Brown, attorney-in-fact for Ronald I. Simon 2012-09-13