Form Type: 4

SEC EDGAR Link
Acccession Number:0001628280-19-008619
Date:2019-07-03
Issuer: ELLINGTON FINANCIAL INC. (EFC)
Original Submission Date:

Reporting Person:

VRANOS MICHAEL W
53 FOREST AVENUE
OLD GREENWICH, CT 06870

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-07-03 J 8,078 a $17.95 1,028,556 indirect f3
COMMON STOCK 0 $0.00 262,329 direct
COMMON STOCK 0 $0.00 1,396,003 indirect f4
COMMON STOCK 0 $0.00 177,474 indirect f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 pursuant to a transaction between mr. vranos and a limited partner of emg holdings, l.p. ("emgh"), mr. vranos acquired a pecuniary interest in the shares reported as acquired in column 4 of this form 4.
f2 because mr. vranos already reported beneficial ownership of these shares held by another partner in emgh, mr. vranos' beneficial ownership did not increase as a result of this transaction and the amount of shares reported in column 5 as beneficially owned following this transaction did not change from the amount reported in mr. vranos' form 4 filed on november 2, 2018.
f3 of these 1,028,556 shares of common stock, 1,024,079 shares are owned directly by emgh and 4,477 shares are directly owned by efm. vc investments llc ("vc") is the general partner of emgh and the managing member of efm. michael w. vranos is the managing member of, and holds a controlling interest in, vc. michael w. vranos and vc together share the power to direct the voting and disposition of shares of common stock held by emgh and efm, and may be regarded as the beneficial owners of the shares of common stock. each of michael w. vranos and vc disclaims beneficial ownership of any shares of common stock owned beneficially or of record by each other except to the extent of its or his pecuniary interest therein.
f4 mr. vranos is the managing member of an entity that holds these shares for estate planning purposes.
f5 common stock is held in family trusts for the benefit of emgh partners (other than mr. vranos) for which mr. vranos acts as trustee.

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