0001628280-18-006820.txt : 20180515
0001628280-18-006820.hdr.sgml : 20180515
20180515163250
ACCESSION NUMBER: 0001628280-18-006820
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180514
FILED AS OF DATE: 20180515
DATE AS OF CHANGE: 20180515
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: 18837086
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_152641635243775.xml
FORM 4
X0306
4
2018-05-14
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
2018-05-14
4
P
0
3959
15.96
A
44524
D
Common Shares rep limited liability company interests
468611
I
See footnote
This transaction was executed in multiple trades at prices ranging from $15.95 to $15.99. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Mr. Penn is 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. Mr. Penn currently has the right to withdraw 468,611 of these common shares from EMGH.
/s/ Jason Frank, attorney-in-fact for Laurence Penn
2018-05-15