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