UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 16, 2011

 

 

ELLINGTON FINANCIAL LLC

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-34569   26-0489289

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

53 Forest Avenue

Old Greenwich, CT 06870

(Address and zip code of principal executive offices)

Registrant’s telephone number, including area code: (203) 698-1200

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


Item 5.07. Submission of Matters to a Vote of Security Holders.

On May 16, 2011, Ellington Financial LLC (the “Company”) held its annual meeting of shareholders. Proxies for the meeting were solicited pursuant to Regulation 14A of the Securities Exchange Act of 1934. The following matters were submitted to a vote of the shareholders.

Election of Directors:

Votes regarding the election of five directors, each of whom was elected for a term expiring at the 2012 annual meeting or until such time as his respective successor is elected and qualified, were as follows:

 

     For    Withheld    Broker Non-Votes

Thomas F. Robards

   12,756,928    280,362    3,070,271

Michael W. Vranos

   12,756,365    280,925    3,070,271

Laurence Penn

   12,756,528    280,762    3,070,271

Ronald I. Simon, Ph.D.

   12,756,658    280,632    3,070,271

Edward Resendez

   12,756,223    281,067    3,070,271

Say on Pay

Votes on a proposal to approve, on an advisory basis, the compensation of the Company’s named executive officers were as follows:

 

For

 

Against

 

Abstentions

 

Broker Non-Votes

12,716,344   37,888   283,058   3,070,271

Say When On Pay

Votes on a proposal to approve, on an advisory basis, the frequency of a shareholder vote to approve the compensation of the Company’s named executive officers were as follows:

 

Every 1 Year

 

Every 2 Years

 

Every 3 Years

 

Abstentions

 

Broker Non-Votes

12,692,310   31,812   20,635   292,533   3,070,271

The Company has determined that future advisory votes on executive compensation will be held every year.

Ratification of Accountants:

Votes regarding the proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2011 were as follows:

 

For

 

Against

 

Abstentions

 

Broker Non-Votes

15,792,988   37,959   276,614   N/A


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

    ELLINGTON FINANCIAL LLC
  (Registrant)
Date: May 17, 2011   By:  

/s/ Lisa Mumford

    Lisa Mumford
    Chief Financial Officer