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Filing Details

Accession Number:
0001628280-18-014369
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-11-14 16:34:20
Reporting Period:
2018-11-12
Accepted Time:
2018-11-14 16:34:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1411342 Ellington Financial Llc EFC Real Estate (6500) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1474801 Laurence Penn 53 Forest Avenue
Old Greenwich CT 06870
Ceo And President Yes Yes No 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 Shares Rep Limited Liability Company Interests Acquisiton 2018-11-12 30,000 $16.20 74,524 No 4 P Direct
Common Shares Rep Limited Liability Company Interests Acquisiton 2018-11-13 2,408 $16.16 76,932 No 4 A Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares Rep Limited Liability Company Interests 468,611 Indirect See footnote
Footnotes
  1. 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.
  2. 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.
  3. 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.