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Filing Details

Accession Number:
0000899243-18-006878
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-08 21:36:24
Reporting Period:
2018-03-06
Accepted Time:
2018-03-08 21:36:24
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1560672 Ellington Residential Mortgage Reit EARN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1070844 A Stephen Schwarzman C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1393818 L.p. Group Blackstone C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1404071 L.l.c. Management Group Blackstone C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1404073 L.p. Iii Holdings Blackstone C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1478809 L.p. Gp Iii Holdings Blackstone C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1478815 L.l.c. Management Gp Iii Holdings Blackstone C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1575478 L.l.c. Btoa C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1575479 L.l.c. Manager Earn Bto C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
1575483 L.l.c. Holdings Earn Opportunities Tactical Blackstone C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-03-06 18,002 $10.81 2,707,704 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2018-03-07 13,609 $10.90 2,721,313 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2018-03-08 10,855 $11.01 2,732,168 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnotes
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $10.65 to $10.92, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.
  2. These shares represent common shares of beneficial interest, $0.01 par value per share ("Common Shares") of Ellington Residential Mortgage REIT (the "Issuer") that are directly held by Blackstone Tactical Opportunities EARN Holdings L.L.C. ("EARN Holdings").
  3. BTO EARN Manager L.L.C. is the managing member of EARN Holdings. BTOA L.L.C. is the sole member of BTO EARN Manager L.L.C. Blackstone Holdings III L.P. is the managing member of BTOA L.L.C. The general partner of Blackstone Holdings III L.P. is Blackstone Holdings III GP L.P.
  4. The general partner of Blackstone Holdings III GP L.P. is Blackstone Holdings III GP Management L.L.C. The sole member of Blackstone Holdings III GP Management L.L.C. is The Blackstone Group L.P. The general partner of The Blackstone Group L.P. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman. As a result of his control of Blackstone Group Management L.L.C., Mr. Schwarzman may be deemed to have voting and investment power with respect to the Common Shares held by EARN Holdings.
  5. Each of such Blackstone entities and Mr. Schwarzman may be deemed to beneficially own the shares beneficially owned by EARN Holdings directly or indirectly controlled by it or him, but each (other than EARN Holdings to the extent of its direct holdings) disclaims beneficial ownership of such shares, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.
  6. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $10.80 to $10.96, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.
  7. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $10.88 to $11.09, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.