0001628280-18-014369.txt : 20181114 0001628280-18-014369.hdr.sgml : 20181114 20181114163420 ACCESSION NUMBER: 0001628280-18-014369 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181112 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Penn Laurence CENTRAL INDEX KEY: 0001474801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34569 FILM NUMBER: 181184485 MAIL ADDRESS: STREET 1: 52 FOREST AVENUE CITY: OLD GREENWICH STATE: CT ZIP: 06870 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 4 1 wf-form4_154223123165043.xml FORM 4 X0306 4 2018-11-12 0 0001411342 Ellington Financial LLC EFC 0001474801 Penn Laurence 53 FOREST AVENUE OLD GREENWICH CT 06870 1 1 0 0 CEO and President Common Shares rep limited liability company interests 2018-11-12 4 P 0 30000 16.20 A 74524 D Common Shares rep limited liability company interests 2018-11-13 4 A 0 2408 16.16 A 76932 D Common Shares rep limited liability company interests 468611 I See footnote This transaction was executed in multiple trades at prices ranging from $16.09 to $16.27. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $16.11 to $16.20. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Mr. Penn is a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Penn receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Penn has had the right to withdraw from EMGH some of those common shares, but not others. Mr. Penn currently has the right to withdraw 468,611 of these common shares from EMGH. /s/ Jason Frank, attorney-in-fact for Laurence Penn 2018-11-14