0001181431-11-052084.txt : 20111006 0001181431-11-052084.hdr.sgml : 20111006 20111006163844 ACCESSION NUMBER: 0001181431-11-052084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111005 FILED AS OF DATE: 20111006 DATE AS OF CHANGE: 20111006 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: 111129815 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 rrd323252.xml X0304 4 2011-10-05 0 0001411342 Ellington Financial LLC EFC 0001060435 SIMON RONALD I 53 FOREST AVE OLD GREENWICH CT 06870 1 0 0 0 Common shares rep. limited liability company interests 2011-10-05 4 M 0 1250 0 A 8750 I By trust LTIP Units 2011-10-05 4 M 0 1250 0 D Common Shares 1250 1250 D The shares are held in the Simon Family Trust (the "Trust"). Mr. Simon is the trustee of the Trust. Mr. Simon and his wife are the beneficiaries of the Trust. Mr. Simon disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Represents a separate non-voting class of limited laibility company interests ("LTIP Units") of the Issuer, which are structured as profits interests. The LTIP Units became fully vested on 10/1/2011. The LTIP Units are convertible, at the election of the holder, into common shares representing limited liability company interests of the Issuer on a one-for-one basis. /s/ Sara Walden Brown, Attorney-in-Fact 2011-10-06