0001628280-20-001146.txt : 20200206 0001628280-20-001146.hdr.sgml : 20200206 20200206181422 ACCESSION NUMBER: 0001628280-20-001146 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200205 FILED AS OF DATE: 20200206 DATE AS OF CHANGE: 20200206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vranos Michael W CENTRAL INDEX KEY: 0001474808 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 20584020 MAIL ADDRESS: STREET 1: 52 FOREST AVENUE CITY: OLD GREENWICH STATE: CT ZIP: 06870 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ellington Financial Inc. CENTRAL INDEX KEY: 0001411342 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 FORMER COMPANY: FORMER CONFORMED NAME: Ellington Financial LLC DATE OF NAME CHANGE: 20070831 4 1 wf-form4_158103084543410.xml FORM 4 X0306 4 2020-02-05 0 0001411342 Ellington Financial Inc. EFC 0001474808 Vranos Michael W 53 FOREST AVENUE OLD GREENWICH CT 06870 0 1 1 0 Co-Chief Investment Officer Common Stock 2020-02-05 4 J 0 637 0 A 850887 I See Footnote Common Stock 409879 D Common Stock 1248453 I See footnote Common Stock 177474 I In Trust The shares were issued in connection with the fourth quarter 2019 incentive fee payable to Ellington Financial Management LLC ("EFM"), the issuer's manager, pursuant to a management agreement between the issuer and EFM. Of these 850,887 shares of common stock, 850,250 of them are owned directly by EMGH and 637 of them are directly owned by EFM. VC Investments L.L.C. ("VC") is the general partner of EMGH and the managing member of EFM. Michael W. Vranos is the managing member of, and holds a controlling interest in, VC. Michael W. Vranos and VC together share the power to direct the voting and disposition of common shares held by EMGH and EFM, and may be regarded as the beneficial owners of the shares of common stock. Each of Michael W. Vranos and VC disclaims beneficial ownership of any shares of common stock owned beneficially or of record by each other except to the extent of his or its pecuniary interest therein. Mr. Vranos is the managing member of an entity that holds these shares for estate planning purposes. Common Shares are held in family trusts for the benefit of EMGH partners (other than Mr. Vranos) for which Mr. Vranos acts as trustee. /s/ Jason S. Frank, attorney-in-fact for Michael W. Vranos 2020-02-06