0001181431-12-052922.txt : 20121002 0001181431-12-052922.hdr.sgml : 20121002 20121002161956 ACCESSION NUMBER: 0001181431-12-052922 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121001 FILED AS OF DATE: 20121002 DATE AS OF CHANGE: 20121002 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: 121123720 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 rrd357246.xml X0306 4 2012-10-01 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 2012-10-01 4 M 0 1250 0 A 10000 I By trust LTIP Units 2012-10-01 4 M 0 1250 0 D Common Shares 1250 1782 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 9/14/2012. 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 2012-10-01