0001181431-11-027466.txt : 20110505
0001181431-11-027466.hdr.sgml : 20110505
20110505164113
ACCESSION NUMBER: 0001181431-11-027466
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110503
FILED AS OF DATE: 20110505
DATE AS OF CHANGE: 20110505
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: 11815226
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: 11815225
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: 11815224
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
rrd310494.xml
FORM 4 Q1 INCENTIVE FEE
X0303
4
2011-05-03
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
0001478394
EMG Holdings, L.P.
53 FOREST AVE
OLD GREENWICH
CT
06870
0
0
1
0
Common shares
2011-05-03
4
J
0
2639
0.00
A
2608381
I
See Footnote
The shares were issued in connection with the first quarter 2011 incentive fee payable to Ellington Financial Management LLC ("EFM"), our manager, pursuant to our management agreement.
The shares are owned indirectly by each of Michael W. Vranos ("Mr. Vranos") and VC Investments LLC ("VC"). 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 22,436 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 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.
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, attorney-in-fact
2011-05-05