0001628280-18-003547.txt : 20180326
0001628280-18-003547.hdr.sgml : 20180326
20180326102258
ACCESSION NUMBER: 0001628280-18-003547
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20180326
DATE AS OF CHANGE: 20180326
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: 18711859
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
4
1
wf-form4_152207416451001.xml
FORM 4
X0306
4
2017-09-30
0
0001411342
Ellington Financial LLC
EFC
0001474801
Penn Laurence
53 FOREST AVENUE
OLD GREENWICH
CT
06870
1
1
0
0
CEO and President
Common Shares rep limited liability company interests
2017-09-30
4
J
0
6414
0
A
468611
I
See footnote
Common Shares rep limited liability company interests
16675
D
In addition to the common shares that Mr. Penn holds directly, Mr. Penn is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Penn gained the right to withdraw from EMGH an additional 6,414 common shares, and as a result Mr. Penn may be deemed to have gained beneficial ownership of an additional 6,414 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Penn did not pay or receive any consideration in connection with the change in status of these common shares.
/s/ Jason Frank, attorney-in-fact for Laurence Penn
2018-03-26