Ellington Financial Inc. — Director's Dealing 2018

Aug 9, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Ellington Financial LLC (EFC)
CIK: 0001411342
Period of Report: 2018-08-06

Reporting Person: Mumford Lisa (Director)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
LTIP Units	$		Common shares representing ltd liability company interests (61497.0)		Direct

Footnotes

F1: Represents a separate non-voting class of limited liability company interests ("LTIP Units") of the Issuer, which are structured as profits interests. 5,887 of the LTIP Units will vest on December 12, 2018, 5,583 of the LTIP Units will vest on December 13, 2018, and 5,886 of the LTIP units will vest on December 12, 2019. The LTIP Units may be converted at the election of the holder, into common shares representing limited liability company interests of the Issuer on a one-for-one basis. 11,773 of the LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2017 Equity Incentive Plan. The remaining LTIP Units were issued pursuant to, and are subject to the terms and conditions of, the Issuer's 2007 Incentive Plan for Individuals.