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