0001628280-18-010957.txt : 20180809 0001628280-18-010957.hdr.sgml : 20180809 20180809163739 ACCESSION NUMBER: 0001628280-18-010957 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180806 FILED AS OF DATE: 20180809 DATE AS OF CHANGE: 20180809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mumford Lisa CENTRAL INDEX KEY: 0001380384 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 181005644 MAIL ADDRESS: STREET 1: 6 BEACHWOOD COURT CITY: DIX HILLS STATE: NY ZIP: 11746 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 3 1 wf-form3_153384704191142.xml FORM 3 X0206 3 2018-08-06 0 0001411342 Ellington Financial LLC EFC 0001380384 Mumford Lisa 53 FOREST AVE GREENWICH CT 06870 1 0 0 0 LTIP Units Common shares representing ltd liability company interests 61497.0 D Represents a separate non-voting class of limited liability company interests ("LTIP Units") of the Issuer, which are structured as profits interests. 5,887 of the LTIP Units will vest on December 12, 2018, 5,583 of the LTIP Units will vest on December 13, 2018, and 5,886 of the LTIP units will vest on December 12, 2019. The LTIP Units may be converted at the election of the holder, into common shares representing limited liability company interests of the Issuer on a one-for-one basis. 11,773 of the LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2017 Equity Incentive Plan. The remaining LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2007 Incentive Plan for Individuals. /s/ Jason Frank, as attorney-in-fact for Lisa Mumford 2018-08-09