Document


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, 2018
 
ELLINGTON FINANCIAL LLC
(Exact name of registrant as specified in its charter)
 
Commission File Number:  001-34569
Delaware
  
26-0489289
(State or other jurisdiction of
  
(IRS Employer
incorporation)
  
Identification No.)
 
53 Forest Avenue
Old Greenwich, CT 06870
(Address of principal executive offices, including zip code)
 
(203) 698-1200
(Registrant's telephone number, including area code)
 
(Former name or former address, if changed since last report)
 
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))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company    ¨
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.     ¨





Item 5.07. Submission of Matters to a Vote of Security Holders
On May 16, 2018, 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 final voting results for each of the matters submitted to a vote of the shareholders at the annual meeting are set forth below.
Proposal 1: Election of Directors
Votes regarding the election of five directors, each of whom was elected for a term expiring at the 2019 annual meeting or until such time as his successor is elected and qualified, were as follows:
 
  
For
  
Withheld
  
Broker Non-Votes
Thomas F. Robards
  
14,036,488

 
286,777

 
12,140,677

Michael W. Vranos
  
14,018,570

 
304,695

 
12,140,677

Laurence Penn
  
14,034,467

 
288,798

 
12,140,677

Ronald I. Simon, Ph.D.
  
14,022,642

 
300,623

 
12,140,677

Edward Resendez
  
14,022,749

 
300,516

 
12,140,677

Proposal 2: Advisory (Non-Binding) “Say on Pay” Vote to Approve Executive Compensation
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
13,697,796
 
421,107
 
204,362
 
12,140,677

Proposal 3: Ratification of the Appointment of the Company's Independent Registered Public 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, 2018 were as follows:
For
 
Against
 
Abstentions
 
Broker Non-Votes
26,213,134
 
159,314
 
91,494
 
*
* No broker non-votes arose in connection with this proposal due to the fact that the proposal was considered “routine” under New York Stock Exchange Rules. 






SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
 
 
 
 
 
 
 
 
ELLINGTON FINANCIAL LLC
Date:
May 17, 2018
 
 
 
By:
 
/s/ JR Herlihy
 
 
 
 
 
 
 
 
JR Herlihy
 
 
 
 
 
 
 
 
Chief Financial Officer