Business Context and Reporting Period
Company: Ellington Financial LLC
Filing Type: Form 8-K (Current Report)
Date of Report: September 25, 2013
Reporting Period: The filing discloses preliminary operating results for the month ended August 31, 2013.
The Company operates under a commodity pool operator operational exemption from certain CFTC regulatory requirements, effective January 1, 2013, pursuant to changes under the Dodd-Frank Act.
Key Financial Metrics
This filing serves as a Regulation FD disclosure to satisfy public disclosure requirements for CFTC Regulation 4.12(c). The text of this 8-K does not contain specific numerical values for revenue, profit, cash flow, margins, debt, or liquidity.
Specific preliminary operating results for the month ended August 31, 2013, are referenced as being posted on the Company's website (www.ellingtonfinancial.com) under "For Our Shareholders-CFTC Registration."
Material Changes
The filing does not provide comparative financial data or detail material changes versus prior periods within the text itself. It solely references the availability of the August 2013 preliminary results online.
Guidance, Outlook, and Risks
- Regulatory Context: The disclosure is driven by CFTC regulations implemented under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
- Legal Disclaimer: The information included in this report is not deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934 and is not subject to the liabilities of that section. It is not incorporated by reference into other filings unless expressly stated.
Investor Verification Checklist
- Verify the specific preliminary operating results for the month ended August 31, 2013, by accessing the Company's website at www.ellingtonfinancial.com under the "For Our Shareholders-CFTC Registration" section.
- Confirm the Company's continued compliance with CFTC Regulation 4.12(c) regarding monthly disclosures.
- Note that this 8-K is a disclosure mechanism and does not contain the actual financial figures within the document text.