0001628280-21-015162.txt : 20210802
0001628280-21-015162.hdr.sgml : 20210802
20210802161746
ACCESSION NUMBER: 0001628280-21-015162
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210730
FILED AS OF DATE: 20210802
DATE AS OF CHANGE: 20210802
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: 211136252
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_162793544698791.xml
FORM 4
X0306
4
2021-07-30
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
2021-07-30
4
J
0
37373
0
A
888260
I
See Footnote
Common Stock
1889689
I
See footnote
Common Stock
38759
I
In Trusts
Common Stock
177474
I
In Trust
The shares of common stock ("Common Stock") of Ellington Financial Inc. (the "Issuer") were issued in connection with the second quarter 2021 incentive fee payable to Ellington Financial Management LLC ("EFM"), the Issuer's manager, pursuant to a management agreement between the Issuer and EFM, and the Issuer's 2017 Equity Incentive Plan.
Of these 888,260 shares of Common Stock, 850,250 of them are owned directly by EMG Holdings, L.P. ("EMGH") and 38,010 of them are directly owned by EFM. VC Investments LLC ("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. 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 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 its or his pecuniary interest therein.
Mr. Vranos is the managing member of an entity that holds these shares for estate planning purposes.
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
2021-08-02