0001628280-18-011863.txt : 20180914 0001628280-18-011863.hdr.sgml : 20180914 20180914160438 ACCESSION NUMBER: 0001628280-18-011863 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180912 FILED AS OF DATE: 20180914 DATE AS OF CHANGE: 20180914 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mumford Lisa CENTRAL INDEX KEY: 0001380384 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 181071167 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 4 1 wf-form4_153695546007557.xml FORM 4 X0306 4 2018-09-12 0 0001411342 Ellington Financial LLC EFC 0001380384 Mumford Lisa 53 FOREST AVE GREENWICH CT 06870 1 0 0 0 LTIP Units 2018-09-12 4 A 0 3610 0 A Common shares representing ltd liability company interests 3610.0 65107 D 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 2017 Equity Incentive Plan. The 3,610 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 11, 2019. 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/ Jason Frank, as attorney-in-fact for Lisa Mumford 2018-09-14