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