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