0001628280-20-017471.txt : 20201214 0001628280-20-017471.hdr.sgml : 20201214 20201214160549 ACCESSION NUMBER: 0001628280-20-017471 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201211 FILED AS OF DATE: 20201214 DATE AS OF CHANGE: 20201214 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: 201386220 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_160797993642126.xml FORM 4 X0306 4 2020-12-11 0 0001411342 Ellington Financial Inc. EFC 0001474808 Vranos Michael W 53 FOREST AVENUE OLD GREENWICH CT 06870 0 1 0 0 Co-Chief Investment Officer Common Stock 2020-12-11 4 J 0 140600 0 A 1889689 I See footnote Common Stock 850887 I See Footnote Common Stock 0 D Common Stock 38759 I In Trusts Common Stock 177474 I In Trust These shares of common stock ("Common Stock") of Ellington Financial Inc. (the "Issuer") that were not previously deemed to be beneficially owned by Mr. Vranos were transferred to an entity (the "Estate Planning Entity") that holds the shares for estate planning purposes. Mr. Vranos is the managing member of the Estate Planning Entity. Assets were transferred to the trusts that previously held the shares of Common Stock that had a value equivalent to such shares as of market close on the date of the transfer. Mr. Vranos is the managing member of the Estate Planning Entity. Shares of Common Stock held by the Estate Planning Entity include 409,879 shares of Common Stock previously held directly by Mr. Vranos and 90,757 shares of Common Stock previously held by a family trust of which Mr. Vranos is the settlor. Of these 850,887 shares of Common Stock, 850,250 of them are owned directly by EMG Holdings, L.P. ("EMGH") and 637 of them are directly owned by Ellington Financial Management LLC ("EFM"). VC Investments L.L.C. ("VC") is the general partner of EMGH and the managing member of EFM. Mr. Vranos is the managing member of, and holds a controlling interest in, VC. Mr. Vranos and VC together share the power to direct the voting and disposition of shares of Common Stock held by EMGH and EFM, and may be regarded as the beneficial owners of the shares of Common Stock. Each of Mr. 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. 38,759 shares of Common Stock are held by an entity owned by a family trust of which Laurence Penn is a settlor and for which Mr. Vranos serves as a trustee (the "Penn Family Trust"). Mr. Vranos has certain consent rights with respect to transfers of shares of Common Stock held by the Penn Family Trust. Mr. Vranos disclaims any pecuniary interest in the shares of Common Stock held by the Penn Family Trust. Shares of Common Stock 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 2020-12-14