0001181431-13-025632.txt : 20130506 0001181431-13-025632.hdr.sgml : 20130506 20130506204437 ACCESSION NUMBER: 0001181431-13-025632 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130502 FILED AS OF DATE: 20130506 DATE AS OF CHANGE: 20130506 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vranos Michael W CENTRAL INDEX KEY: 0001474808 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 13817727 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VC INVESTMENTS LLC CENTRAL INDEX KEY: 0001098488 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 13817726 BUSINESS ADDRESS: STREET 1: 53 FOREST AVENUE STREET 2: 2ND FLOOR CITY: OLD GREENWICH STATE: CT ZIP: 06870 BUSINESS PHONE: 2036981136 MAIL ADDRESS: STREET 1: 53 FOREST AVENUE STREET 2: 2ND FLOOR CITY: OLD GREENWICH STATE: CT ZIP: 06870 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EMG Holdings, L.P. CENTRAL INDEX KEY: 0001478394 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 13817725 BUSINESS ADDRESS: STREET 1: 53 FOREST AVENUE CITY: OLD GREENWICH STATE: CT ZIP: 06870 BUSINESS PHONE: (203) 698-1200 MAIL ADDRESS: STREET 1: 53 FOREST AVENUE CITY: OLD GREENWICH STATE: CT ZIP: 06870 4 1 rrd378722.xml FORM 4 Q1 INCENTIVE FEE X0306 4 2013-05-02 0 0001411342 Ellington Financial LLC EFC 0001474808 Vranos Michael W 53 FOREST AVENUE OLD GREENWICH CT 06870 1 1 1 0 Co-Chief Investment Officer 0001098488 VC INVESTMENTS LLC 53 FOREST AVE OLD GREENWICH CT 06870 0 0 1 0 0001478394 EMG Holdings, L.P. 53 FOREST AVE OLD GREENWICH CT 06870 0 0 1 0 Common shares 2013-05-02 4 J 0 8288 0.00 A 2177666 I See Footnote Common shares 14294 D The shares were issued in connection with the first quarter 2013 incentive fee payable to Ellington Financial Management LLC ("EFM"), the issuer's manager, pursuant to a management agreement between the issuer and EFM. Of these 2,177,666 common shares, 1,905,443 common shares are owned directly by EMG Holdings, L.P. ("EMGH"), 94,749 common shares are directly owned by EFM and 177,474 common shares are held in family trusts for the benefit of EMGH partners (other than Mr. Vranos) for which Mr. Vranos acts as trustee. VC Investments LLC ("VC") is the general partner of EMGH and the managing member of EFM. Michael W. Vranos is the managing member of, and holds a controlling interest in, VC. Michael W. Vranos and VC together share the power to direct the voting and disposition of common shares held by EMGH and EFM, and may be regarded as the beneficial owners of the common shares. Each of Michael W. Vranos and VC disclaims beneficial ownership of any common shares owned beneficially or of record by each other except to the extent of its or his pecuniary interest therein. Represents common shares owned directly by Michael W. Vranos. In addition, Michael W. Vranos is the settlor of two trusts holding 500,000 and 109,000 common shares, respectively. Michael W. Vranos disclaims beneficial ownership of the common shares owned by the trusts. /s/ Sara Walden Brown, attorney-in-fact for Michael W. Vranos 2013-05-06 /s/ Sara Walden Brown, attorney-in-fact for VC Investments LLC 2013-05-06 /s/ Sara Walden Brown, attorney-in-fact for EMG Holdings, L.P. 2013-05-06