0001181431-11-052922.txt : 20111018 0001181431-11-052922.hdr.sgml : 20111018 20111018160047 ACCESSION NUMBER: 0001181431-11-052922 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111014 FILED AS OF DATE: 20111018 DATE AS OF CHANGE: 20111018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tecotzky Mark CENTRAL INDEX KEY: 0001474810 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 111145790 MAIL ADDRESS: STREET 1: 53 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 4 1 rrd323940.xml FORM 4 X0304 4 2011-10-14 0 0001411342 Ellington Financial LLC EFC 0001474810 Tecotzky Mark 53 FOREST AVENUE OLD GREENWICH CT 06870 0 1 0 0 Co-Chief Investment Officer Common Shares rep. limited liability company interests 2011-10-14 4 P 0 130 17.50 A 500 D Common Shares rep. limited liability company interests 2011-10-17 4 P 0 190 17.47 A 690 D This transaction was executed in multiple trades at prices ranging from $17.45 to $17.51. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person. This transaction was executed in multiple trades at prices ranging from $17.39 to $17.48. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person. /s/ Sara Walden Brown, as attorney-in-fact for Mark Tecotzky 2011-10-18