0001181431-13-048784.txt : 20130912
0001181431-13-048784.hdr.sgml : 20130912
20130912163327
ACCESSION NUMBER: 0001181431-13-048784
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130911
FILED AS OF DATE: 20130912
DATE AS OF CHANGE: 20130912
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: SIMON RONALD I
CENTRAL INDEX KEY: 0001060435
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34569
FILM NUMBER: 131094504
MAIL ADDRESS:
STREET 1: 485 MADISON AVENUE
STREET 2: 14TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
rrd390330.xml
X0306
4
2013-09-11
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 liabiilty company interests
2013-09-11
4
M
0
1782
0
A
11782
I
By trust
LTIP Units
2013-09-11
4
A
0
1822
0
A
Common shares representing ltd liability company interests
1822
3604
D
LTIP Units
2013-09-11
4
M
0
1782
0
D
Common Shares
1782
1822
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 liability company interests ("LTIP Units") of Ellington Financial LLC (the "Company"), which are structured as profits interests. The LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2007 Incentive Plan for Individuals.
The 1,822 LTIP Units remain forfeitable, subject to the reporting person's continued service as a member of the board of directors of the Company, until September 10, 2014. After the applicable forfeiture restrictions lapse, the LTIP Units may be converted at the election of the holder, into common shares representing limited liability interests of the Company ("Common Shares") on a one-for-one basis. The rights to convert LTIP Units into Common Shares do not have expiration dates.
/s/ Sara Walden Brown, attorney-in-fact for Ronald I. Simon
2013-09-12