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