Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ELLINGTON INCOME OPPORTUNITIES FUNDEIOM · Entity 112529 | Portfolio Manager | October 18, 2018 | October 31, 2018 |
| Ellington Financial Inc.EFC · Entity 4604 | Co-Chief Investment Officer | September 30, 2017 | March 26, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ELLINGTON INCOME OPPORTUNITIES FUND
Report date October 18, 2018 · Filed October 31, 2018
This filing explicitly reported no securities owned.
Ellington Financial Inc.
Report date September 30, 2017 · Filed March 26, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares rep limited liability company interestsSEC Table I · non-derivative | IndirectSee footnote | 26,838 |
Reported balance
After 2017-09-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-09-30 · Other · Acquired 1,511 · Balance 26,838 F1: In addition to the common shares that Mr. Tecotzky holds directly, Mr. Tecotzky is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Tecotzky receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Tecotzky has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Tecotzky gained the right to withdraw from EMGH an additional 1,511 common shares, and as a result Mr. Tecotzky may be deemed to have gained beneficial ownership of an additional 1,511 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Tecotzky did not pay or receive any consideration in connection with the change in status of these common shares. |
| Common Shares rep limited liability company interestsSEC Table I · non-derivative | Direct | 4,764 |
Reported balance
Holding disclosure · report date 2017-09-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,764 |
Filing footnotes · ownership attribution and instrument terms
F1: In addition to the common shares that Mr. Tecotzky holds directly, Mr. Tecotzky is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Tecotzky receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Tecotzky has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Tecotzky gained the right to withdraw from EMGH an additional 1,511 common shares, and as a result Mr. Tecotzky may be deemed to have gained beneficial ownership of an additional 1,511 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Tecotzky did not pay or receive any consideration in connection with the change in status of these common shares.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 30, 2017 Filed Mar 26, 2018 10:23 UTC | Ellington Financial Inc. EFC · Entity 4604 | OtherCommon Shares rep limited liability company interests | 1,511 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-003548 · wf-form4_152207418421878.xml · nonDerivative · entry 1 Tecotzky Mark · CIK 0001474810 · Co-Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 26,838 F1 · date: In addition to the common shares that Mr. Tecotzky holds directly, Mr. Tecotzky is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Tecotzky receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Tecotzky has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Tecotzky gained the right to withdraw from EMGH an additional 1,511 common shares, and as a result Mr. Tecotzky may be deemed to have gained beneficial ownership of an additional 1,511 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Tecotzky did not pay or receive any consideration in connection with the change in status of these common shares. F1 · shares: In addition to the common shares that Mr. Tecotzky holds directly, Mr. Tecotzky is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Tecotzky receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Tecotzky has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Tecotzky gained the right to withdraw from EMGH an additional 1,511 common shares, and as a result Mr. Tecotzky may be deemed to have gained beneficial ownership of an additional 1,511 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Tecotzky did not pay or receive any consideration in connection with the change in status of these common shares. F1 · ownership.nature: In addition to the common shares that Mr. Tecotzky holds directly, Mr. Tecotzky is also a limited partner in EMG Holdings L.P. ("EMGH"), which holds certain common shares with respect to which Mr. Tecotzky receives the economic benefit but does not have voting or dispositive power while held by EMGH. Historically, Mr. Tecotzky has had the right to withdraw from EMGH some of those common shares, but not others. On September 30, 2017, by virtue of the terms of the limited partnership agreement of EMGH, Mr. Tecotzky gained the right to withdraw from EMGH an additional 1,511 common shares, and as a result Mr. Tecotzky may be deemed to have gained beneficial ownership of an additional 1,511 common shares as of such date. As the result of an administrative oversight, the change in status of these common shares was not previously reported on Form 4. Mr. Tecotzky did not pay or receive any consideration in connection with the change in status of these common shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.