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