0001181431-12-043382.txt : 20120802 0001181431-12-043382.hdr.sgml : 20120802 20120802211649 ACCESSION NUMBER: 0001181431-12-043382 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120801 FILED AS OF DATE: 20120802 DATE AS OF CHANGE: 20120802 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: 121005050 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: 121005049 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 4 1 rrd352301.xml FORM 4 Q2 INCENTIVE FEE X0306 4 2012-08-01 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 AVE OLD GREENWICH CT 06870 0 0 1 0 Common shares 2012-08-01 4 J 0 11045 0.00 A 2373136 I See Footnote Common shares 14294 D The shares were issued in connection with the second quarter 2012 incentive fee payable to Ellington Financial Management LLC ("EFM"), the issuer's manager, pursuant to a management agreement between the issuer and EFM. The shares are owned indirectly by each of Michael W. Vranos and VC Investments LLC ("VC"). Of the 2,373,136 shares indirectly beneficially owned by each of Michael W. Vranos and VC, 2,362,091 common shares are owned directly by EMG Holdings, L.P. ("EMGH") and 11,045 common shares are directly owned by EFM. VC is the general partner of EMGH and the managing member of EFM. Michael W. Vranos is the managing member of, and holds a controlling interest in, VC. Michael W. Vranos and VC together share the power to direct the voting and disposition of these common shares, and may be regarded as the beneficial owners of the common shares owned beneficially or of record by each other. Each of Michael W. Vranos and VC disclaims beneficial ownership of any common shares owned beneficially or of record by each other except to the extent of its or his pecuniary interest therein. Represents common shares owned directly by Michael W. Vranos. In addition, Michael W. Vranos is the settlor of two trusts holding 500,000 and 109,000 common shares, respectively. Michael W. Vranos disclaims beneficial ownership of the common shares owned by the trusts. /s/ Christopher C. Green, attorney-in-fact for Michael W. Vranos 2012-08-02 /s/ Christopher C. Green, attorney-in-fact for VC Investments LLC 2012-08-02