0001628280-19-008619.txt : 20190708 0001628280-19-008619.hdr.sgml : 20190708 20190708072627 ACCESSION NUMBER: 0001628280-19-008619 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190703 FILED AS OF DATE: 20190708 DATE AS OF CHANGE: 20190708 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: 19944213 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_156258517219388.xml FORM 4 X0306 4 2019-07-03 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 2019-07-03 4 J 0 8078 17.95 A 1028556 I See Footnote Common Stock 262329 D Common Stock 1396003 I See footnote Common Stock 177474 I In Trust Pursuant to a transaction between Mr. Vranos and a limited partner of EMG Holdings, L.P. ("EMGH"), Mr. Vranos acquired a pecuniary interest in the shares reported as acquired in column 4 of this Form 4. Because Mr. Vranos already reported beneficial ownership of these shares held by another partner in EMGH, Mr. Vranos' beneficial ownership did not increase as a result of this transaction and the amount of shares reported in column 5 as beneficially owned following this transaction did not change from the amount reported in Mr. Vranos' Form 4 filed on November 2, 2018. Of these 1,028,556 shares of common stock, 1,024,079 shares are owned directly by EMGH and 4,477 shares 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. Michael W. 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. Common Stock is 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 2019-07-08