SEC Form 4 · accession 0001628280-15-005262
Ellington Financial Inc. · EFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laurence Penn
Officer — CEO and President · Director
Period of report
Jul 8, 2015
Accepted (ET)
Jul 8, 2015 · 1:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411342
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares rep limited liability company interestsF2 | Jul 8, 2015 | J | 279,023 | $0.00 | A | 462,197 | I | See footnote |
| Common Shares rep limited liability company interests | holding | — | — | — | 16,675 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 8, 2015, due to the movement of common shares held by EMG Holdings L.P. ("EMGH") from an account in EMGH under which Mr. Penn could not withdraw his proportional share of common shares held in such EMGH account to an account in EMGH from which Mr. Penn could withdraw such common shares with the consent of Michael W. Vranos, Mr. Penn may be deemed to beneficially own an additional 279,023 common shares. Mr. Penn did not pay or receive any consideration in connection with the transfer of such common shares.
- F2Shares are held by EMGH. Mr. Penn is a limited parnter of EMGH.