0001628280-23-041800.txt : 20231218
0001628280-23-041800.hdr.sgml : 20231218
20231218170713
ACCESSION NUMBER: 0001628280-23-041800
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231214
FILED AS OF DATE: 20231218
DATE AS OF CHANGE: 20231218
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dannhauser Stephen J
CENTRAL INDEX KEY: 0001622250
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34569
FILM NUMBER: 231494627
MAIL ADDRESS:
STREET 1: 122 WEST 55TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Ellington Financial Inc.
CENTRAL INDEX KEY: 0001411342
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500]
ORGANIZATION NAME: 05 Real Estate & Construction
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
wk-form4_1702937222.xml
FORM 4
X0508
4
2023-12-14
0
0001411342
Ellington Financial Inc.
EFC
0001622250
Dannhauser Stephen J
53 FOREST AVENUE
OLD GREENWICH
CT
06870
1
0
0
0
0
OP LTIP Units
2023-12-14
4
A
0
7657
0
A
Common Units
7657
17922
D
Represents a separate non-voting class of limited liability company interests ("OP LTIP Units") of Ellington Financial Operating Partnership LLC (the "Operating Partnership"), the operating partnership subsidiary of Ellington Financial Inc. (the "Company").
The 7,657 OP 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 13, 2024. The OP LTIP Units may be converted, upon lapse of the vesting restrictions described above, at the election of the holder, or at any time at the election of the Company, into limited liability company interests of the Operating Partnership designated as common units ("Common Units") on a one-for-one basis. Subject to certain conditions, the Common Units are redeemable by the holder for an equivalent number of shares of common stock of the Company, $0.001 par value per share (the "Common Shares") or for the cash value of such Common Shares, at the Company's election. The OP LTIP Units were issued pursuant to, and are subject to the terms and conditions of the Company's 2017 Equity Incentive Plan. The rights to convert OP LTIP Units into Common Units and redeem such Common Units do not have expiration dates.
/s/ Alaael-Deen Shilleh, as attorney-in-fact for Stephen J. Dannhauser
2023-12-18