0001181431-13-059239.txt : 20131115 0001181431-13-059239.hdr.sgml : 20131115 20131115160902 ACCESSION NUMBER: 0001181431-13-059239 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131114 FILED AS OF DATE: 20131115 DATE AS OF CHANGE: 20131115 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 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: 131224050 MAIL ADDRESS: STREET 1: 52 FOREST AVENUE CITY: OLD GREENWICH STATE: CT ZIP: 06870 4 1 rrd395500.xml FORM 4 X0306 4 2013-11-14 0 0001411342 Ellington Financial LLC EFC 0001474808 Vranos Michael W 53 FOREST AVENUE OLD GREENWICH CT 06870 1 1 1 0 Co-Chief Investment Officer Common shares 2013-11-14 4 P 0 500000 23.275 A 514294 D Common shares 2192059 I See Footnote The shares were purchased from a trust of which Michael W. Vranos is the settlor. Of these 2,192,059 common shares, 1,905,443 common shares are owned directly by EMG Holdings, L.P. ("EMGH"), 109,142 common shares are directly owned by Ellington Financial Management LLC ("EFM") and 177,474 common shares are held in family trusts for the benefit of EMGH partners (other than Mr. Vranos) for which Mr. Vranos acts as trustee. 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. 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 common shares. Each of Michael W. Vranos and VC disclaims beneficial ownership of any common shares owned beneficially or of record by each other except to the extent of its or his pecuniary interest therein. In addition, Michael W. Vranos is the settlor of a trust holding 109,000 common shares. Michael W. Vranos disclaims beneficial ownership of the common shares owned by the trust. /s/ Christopher C. Green, attorney-in-fact for Michael W. Vranos 2013-11-15