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