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Item 1. | | |
| (a) | Name of Issuer: |
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| | Ellington Financial Inc., a Delaware corporation (the "Issuer"). |
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| (b) | Address of Issuer’s Principal Executive Offices: |
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| | 53 Forest Avenue Old Greenwich, Connecticut 06870 |
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Item 2. | (a) | Name of Person Filing: |
| (b) | Address of Principal Business Office: |
| (c) | Citizenship: |
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| | Integrated Core Strategies (US) LLC c/o Millennium Management LLC 399 Park Avenue New York, New York 10022 Citizenship: Delaware |
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| | Integrated Assets II LLC c/o Millennium International Management LP 399 Park Avenue New York, New York 10022 Citizenship: Cayman Islands |
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| | Millennium International Management LP 399 Park Avenue New York, New York 10022 Citizenship: Delaware |
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| | Millennium Management LLC 399 Park Avenue New York, New York 10022 Citizenship: Delaware |
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| | Millennium Group Management LLC 399 Park Avenue New York, New York 10022 Citizenship: Delaware |
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| | Israel A. Englander c/o Millennium Management LLC 399 Park Avenue New York, New York 10022 Citizenship: United States |
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| (d) | Title of Class of Securities: |
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| | common stock, par value $0.001 per share ("Common Stock") |
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| (e) | CUSIP Number: |
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| | 28852N109 |
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CUSIP No. | | 28852N109 | SCHEDULE 13G | Page | | 9 | | of | | 14 |
Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a:
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| | (a) | | o | | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
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| | (b) | | o | | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
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| | (c) | | o | | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
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| | (d) | | o | | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
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| | (e) | | o | | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
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| | (f) | | o | | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
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CUSIP No. | | 28852N109 | SCHEDULE 13G | Page | | 10 | | of | | 14 |
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| | (g) | | o | | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
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| | (h) | | o | | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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| | (i) | | o | | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
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| | (j) | | o | | Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
Item 4. Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount Beneficially Owned:
Millennium International Management LP, a Delaware limited partnership ("Millennium International Management"), is the investment manager to Integrated Assets II and may be deemed to have shared voting control and investment discretion over securities owned by Integrated Assets II.
Millennium Management LLC, a Delaware limited liability company ("Millennium Management"), is the general partner of the managing member of Integrated Core Strategies and may be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Management is also the general partner of the 100% owner of Integrated Assets II and may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Assets II.
Millennium Group Management LLC, a Delaware limited liability company ("Millennium Group Management"), is the managing member of Millennium Management and may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Group Management is also the general partner of Millennium International Management and may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Assets II.
The managing member of Millennium Group Management is a trust of which Israel A. Englander, a United States citizen ("Mr. Englander"), currently serves as the sole voting trustee. Therefore, Mr. Englander may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies and Integrated Assets II.
The foregoing should not be construed in and of itself as an admission by Millennium International Management, Millennium Management, Millennium Group Management or Mr. Englander as to beneficial ownership of the securities owned by Integrated Core Strategies or Integrated Assets II, as the case may be.
(b) Percent of Class:
As of the close of business on May 19, 2021, Millennium Management, Millennium Group Management and Mr. Englander may be deemed to have beneficially owned 248,910 shares of the Issuer’s Common Stock or 0.6% of the Issuer’s Common Stock outstanding (see Item 4(a) above), which percentage was calculated based on 43,781,684 shares of the Issuer’s Common Stock outstanding as of May 7, 2021, as reported in the Issuer’s Form 10-Q filed on May 10, 2021.
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CUSIP No. | | 28852N109 | SCHEDULE 13G | Page | | 11 | | of | | 14 |
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote -0-
(ii) Shared power to vote or to direct the vote
248,910 (See Item 4(b))
(iii) Sole power to dispose or to direct the disposition of
-0-
(iv) Shared power to dispose or to direct the disposition of
248,910 (See Item 4(b))
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following þ .
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Members of the Group
See Exhibit I.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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CUSIP No. | | 28852N109 | SCHEDULE 13G | Page | | 12 | | of | | 14 |
Exhibits:
Exhibit I: Joint Filing Agreement, dated as of May 19, 2021, by and among Integrated Core Strategies (US) LLC, Integrated Assets II LLC, Millennium International Management LP, Millennium Management LLC, Millennium Group Management LLC and Israel A. Englander
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CUSIP No. | | 28852N109 | SCHEDULE 13G | Page | | 13 | | of | | 14 |
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| | | SIGNATURE | | | | | | | |
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.
Dated: May 19, 2021
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INTEGRATED CORE STRATEGIES (US) LLC
By: Integrated Holding Group LP, its Managing Member
By: Millennium Management LLC, its General Partner |
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By: /s/Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | INTEGRATED ASSETS II LLC
By: Millennium International Management LP, its Investment Manager |
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By: /s/ Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | MILLENNIUM INTERNATIONAL MANAGEMENT LP |
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By: /s/Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | MILLENNIUM MANAGEMENT LLC |
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By: /s/Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | MILLENNIUM GROUP MANAGEMENT LLC |
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By: /s/Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | |
/s/ Israel A. Englander |
Israel A. Englander
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CUSIP No. | | 28852N109 | SCHEDULE 13G | Page | | 14 | | of | | 14 |
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| | | EXHIBIT I | | | | | | | |
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| | | JOINT FILING AGREEMENT | | | | | | | |
This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the Common Stock, par value $0.001 per share, of Ellington Financial Inc., a Delaware corporation, will be filed on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.
Dated: May 19, 2021
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INTEGRATED CORE STRATEGIES (US) LLC
By: Integrated Holding Group LP, its Managing Member
By: Millennium Management LLC, its General Partner |
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By: /s/ Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | INTEGRATED ASSETS II LLC
By: Millennium International Management LP, its Investment Manager |
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By: /s/ Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | MILLENNIUM INTERNATIONAL MANAGEMENT LP |
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By: /s/Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | MILLENNIUM MANAGEMENT LLC |
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By: /s/Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | MILLENNIUM GROUP MANAGEMENT LLC |
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By: /s/Gil Raviv |
Name: Gil Raviv Title: Global General Counsel | |
/s/ Israel A. Englander |
Israel A. Englander
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