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