0001181431-13-047261.txt : 20130903
0001181431-13-047261.hdr.sgml : 20130902
20130903161341
ACCESSION NUMBER: 0001181431-13-047261
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130830
FILED AS OF DATE: 20130903
DATE AS OF CHANGE: 20130903
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: Penn Laurence
CENTRAL INDEX KEY: 0001474801
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34569
FILM NUMBER: 131075218
MAIL ADDRESS:
STREET 1: 52 FOREST AVENUE
CITY: OLD GREENWICH
STATE: CT
ZIP: 06870
4
1
rrd388927.xml
X0306
4
2013-08-30
0
0001411342
Ellington Financial LLC
EFC
0001474801
Penn Laurence
53 FOREST AVENUE
OLD GREENWICH
CT
06870
1
1
0
0
CEO and President
Common Units
2013-08-30
4
J
0
38759
0
A
Common Shares reprsenting ltd liability company interests
38759
38759
D
Common Units
2013-08-30
4
S
0
38759
16.6136
D
Common Shares
38759
38759
I
See footnote
Represents a class of limited liability company interests ("Common Units") of Ellington Financial Operating Partnership LLC, the operating partnership of Ellington Financial LLC (the "Issuer"). The Common Units may be converted into common shares representing limited liability company interests of the Issuer on a one-for-one basis after a two-year holding period and other applicable conditions have been satisfied. The two-year holding period may be waived upon the occurrence of certain events.
These Common Units were previously held by EMG Holdings, L.P. ("EMGH") and were distributed to Mr. Penn as part of a pro rata distribution to its partners by EMGH (the "Distribution"). No one received or paid any consideration for any Common Units transferred in connection with this Distribution. None of the pecuniary interests, to the extent any such interests exist, of the ultimate beneficial owners of Common Units increased or decreased as a result of the Distribution.
This transaction was a sale by Mr. Penn to an entity (the "transferee") owned by a family trust of which Mr. Penn is a settlor. Mr. Penn is also currently a manager of the transferee.
As a current manager of the transferee, Mr. Penn currently has the power to direct the voting and disposition of these Common Units, and as such may be regarded as the indirect beneficial owner of such Common Units. Mr. Penn disclaims any pecuniary interest in these Common Units.
/s/ Sara Walden Brown, attorney-in-fact for Laurence Penn
2013-09-03