0001181431-12-000687.txt : 20120104 0001181431-12-000687.hdr.sgml : 20120104 20120104162948 ACCESSION NUMBER: 0001181431-12-000687 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111230 FILED AS OF DATE: 20120104 DATE AS OF CHANGE: 20120104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Penn Laurence CENTRAL INDEX KEY: 0001474801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 12506519 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 4 1 rrd329482.xml FORM 4 X0304 4 2011-12-30 0 0001411342 Ellington Financial LLC EFC 0001474801 Penn Laurence 53 FOREST AVENUE OLD GREENWICH CT 06870 1 1 0 0 CEO and President Common Shares rep limited liability company interests 2011-12-30 4 P 0 635 17.16 A 16675 D Common Shares rep limited liability company interests 2011-12-31 4 J 0 154552 0 A 154552 I See footnote This transaction was executed in multiple trades at prices ranging from $17.10 to $17.18. 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. On December 31, 2011, as a result of an internal restructuring (the "Restructuring"), Mr. Penn may be deemed to be the beneficial owner of 153,022 common shares held by EMG Holdings, L.P. ("EMGH"). In connection with the Restructuring, common shares previously held by New Ellington Partners, L.P. ("NEP"), Ellington Mortgage Partners, LLC ("EMP") and New Ellington Credit Partners, L.P. ("NECP") were transferred to EMGH and other entities and persons via a series of pro rata distributions and contributions. No one received or paid any consideration for any common shares transferred in connection with the Restructuring. None of the pecuniary interests, to the extent any such interests exist, of the ultimate beneficial owners of common shares increased or decreased as a result of the Restructuring. /s/ Sara Walden Brown, attorney-in-fact for Laurence Penn 2012-01-04