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Ellington Financial Inc. — Director's Dealing 2011
Nov 30, 2011
32031_dirs_2011-11-30_50415f0e-adc5-4b75-87f2-8fd884a1aac7.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Ellington Financial LLC (EFC)
CIK: 0001411342
Period of Report: 2011-11-28
Reporting Person: Penn Laurence (Director, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-11-28 | Common Shares rep. limited liability company interests | P | 385 | $17.15 | Acquired | 5004 | Direct |
| 2011-11-29 | Common Shares rep. limited liability company interests | P | 700 | $16.84 | Acquired | 5704 | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $17.10 to $17.23. 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. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person.
F2: This transaction was executed in multiple trades at prices ranging from $16.71 to $16.95. 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. All purchases pursuant to this transaction were made pursuant to a 10b5-1 trading plan adopted by the reporting person.