0001181431-11-020048.txt : 20110324
0001181431-11-020048.hdr.sgml : 20110324
20110324212349
ACCESSION NUMBER: 0001181431-11-020048
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110217
FILED AS OF DATE: 20110324
DATE AS OF CHANGE: 20110324
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vranos Michael W
CENTRAL INDEX KEY: 0001474808
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34569
FILM NUMBER: 11710766
MAIL ADDRESS:
STREET 1: 52 FOREST AVENUE
CITY: OLD GREENWICH
STATE: CT
ZIP: 06870
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VC INVESTMENTS LLC
CENTRAL INDEX KEY: 0001098488
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34569
FILM NUMBER: 11710767
BUSINESS ADDRESS:
STREET 1: 53 FOREST AVENUE
STREET 2: 2ND FLOOR
CITY: OLD GREENWICH
STATE: CT
ZIP: 06870
BUSINESS PHONE: 2036981136
MAIL ADDRESS:
STREET 1: 53 FOREST AVENUE
STREET 2: 2ND FLOOR
CITY: OLD GREENWICH
STATE: CT
ZIP: 06870
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EMG Holdings, L.P.
CENTRAL INDEX KEY: 0001478394
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34569
FILM NUMBER: 11710765
BUSINESS ADDRESS:
STREET 1: 53 FOREST AVENUE
CITY: OLD GREENWICH
STATE: CT
ZIP: 06870
BUSINESS PHONE: (203) 698-1200
MAIL ADDRESS:
STREET 1: 53 FOREST AVENUE
CITY: OLD GREENWICH
STATE: CT
ZIP: 06870
4
1
rrd306528.xml
FORM 4
X0303
4
2011-02-17
0
0001411342
Ellington Financial LLC
EFC
0001474808
Vranos Michael W
53 FOREST AVENUE
OLD GREENWICH
CT
06870
1
1
1
0
Co-Chief Investment Officer
0001098488
VC INVESTMENTS LLC
53 FOREST AVENUE
OLD GREENWICH
CT
06870
0
0
1
0
0001478394
EMG Holdings, L.P.
53 FOREST AVENUE
OLD GREENWICH
CT
06870
0
0
1
0
Common shares
2011-02-17
4
J
0
6400
0
A
2605742
I
See Footnotes
Common shares
2011-02-17
4
J
0
6400
0
A
2605742
I
See Footnotes
Common shares
2011-03-04
4
J
0
8991
0
A
1335854
D
Common shares
2011-03-04
4
J
0
91
A
1335945
D
The shares were issued in connection with the fourth quarter 2010 incentive fee payable to Ellington Financial Management LLC ("EFM") pursuant to a management agreement between the registrant and EFM.
The shares are owned indirectly by Michael W. Vranos ("Mr. Vranos"). See footnote (3) below for additional information regarding the ownership of these shares.
Three affiliated hedge funds ("Hedge Funds") own 1,250,000 Common Shares. Each of EMG Holdings, L.P. ("EMGH") and EFM owns 1,335,945 Common Shares and 19,797 Common Shares, respectively, as of the date of this Form 4. Ellington Capital Management, LLC ("ECM") is the general partner of the Hedge Funds. VC Investments LLC ("VC") is the general partner of EMGH and the managing member of EFM and ECM. Mr. Vranos is the managing member of, and holds a controlling interest in, VC. Mr. Vranos, together with VC and, with respect to 1,335,945 Common Shares, EMGH, share the power to direct the voting and disposition of the Common Shares, and may be regarded as the beneficial owners of the Common Shares owned beneficially or of record by each other.
The shares are owned indirectly by VC. See footnote (3) above for additional information regarding the ownership of these shares.
The shares are owned directly by EMGH. The 8,991 shares acquired reflect the March 2011 distribution by EFM to EMGH. EMGH owns 99% of the Class A limited liability company interests of EFM.
The shares are owned directly by EMGH. The 91 shares acquired reflect the contribution by VC of 91 Common Shares to EMGH pursuant to a Contribution and Assignment Agreement in exchange for a corresponding increase in VC's capital account with EMGH. VC is the general partner of EMGH.
Each of Mr. Vranos, VC and EMGH disclaims beneficial ownership of any Common Shares owned beneficially or of record by each other except to the extent of it or his pecuniary interest therein.
/s/ Christopher C. Green, as attorney-in-fact for Michael W. Vranos
2011-03-24
/s/ Christopher C. Green, as attorney-in-fact for VC Investments LLC
2011-03-24
/s/ Christopher C. Green, as attorney-in-fact for EMG Holdings, L.P.
2011-03-24