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