Schedule 13G/A

0000950123-11-008133.txt : 20110202 0000950123-11-008133.hdr.sgml : 20110202 20110202093530 ACCESSION NUMBER: 0000950123-11-008133 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20110202 DATE AS OF CHANGE: 20110202 GROUP MEMBERS: JOSEPH LEWIS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK MORTGAGE TRUST INC CENTRAL INDEX KEY: 0001273685 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 470934168 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79935 FILM NUMBER: 11564982 BUSINESS ADDRESS: STREET 1: 52 VANDERBILT AVENUE STREET 2: SUITE 403 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: (212) 792-0107 MAIL ADDRESS: STREET 1: 52 VANDERBILT AVENUE STREET 2: SUITE 403 CITY: NEW YORK STATE: NY ZIP: 10017 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MANDARIN INC CENTRAL INDEX KEY: 0001015748 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O CAY HOUSE STREET 2: P O BOX N7776 CITY: LYFORD CAY BAHAMAS BUSINESS PHONE: 2125195182 MAIL ADDRESS: STREET 1: PO BOX N7776 CITY: LYFORD BAHAMAS SC 13G/A 1 c11730sc13gza.htm SCHEDULE 13G/A Schedule 13G/A

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

NEW YORK MORTGAGE TRUST, INC.

(Name of Issuer)

Common Stock, par value $0.01 per share

(Title of Class of Securities)

649604501

(CUSIP Number)

December 31, 2010

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o Rule 13d-1(b)

þ Rule 13d-1(c)

o Rule 13d-1(d)

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


CUSIP No.		649604501


1	NAMES OF REPORTING PERSONS Mandarin Inc.


2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
	(a) o
	(b) o

3	SEC USE ONLY



4	CITIZENSHIP OR PLACE OF ORGANIZATION

	Bahamas

		5	SOLE VOTING POWER

NUMBER OF			0 (see Item 4)

SHARES		6	SHARED VOTING POWER
BENEFICIALLY
OWNED BY			0 (see Item 4)

EACH		7	SOLE DISPOSITIVE POWER
REPORTING
PERSON			0 (see Item 4)

WITH:		8	SHARED DISPOSITIVE POWER

			0 (see Item 4)

9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

	0 (see Item 4)

10	CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

	o

11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

	0.0% (see Item 4)

12	TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

	CO

Page 2 of 7


CUSIP No.		649604501


1	NAMES OF REPORTING PERSONS Joseph Lewis


2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
	(a) o
	(b) o

3	SEC USE ONLY



4	CITIZENSHIP OR PLACE OF ORGANIZATION

	United Kingdom

		5	SOLE VOTING POWER

NUMBER OF			0 (see Item 4)

SHARES		6	SHARED VOTING POWER
BENEFICIALLY
OWNED BY			0 (see Item 4)

EACH		7	SOLE DISPOSITIVE POWER
REPORTING
PERSON			0 (see Item 4)

WITH:		8	SHARED DISPOSITIVE POWER

			0 (see Item 4)

9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

	0 (see Item 4)

10	CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

	o

11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

	0.0% (see Item 4)

12	TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

	IN

Page 3 of 7


Item 1(a).		Name of Issuer:

New York Mortgage Trust, Inc.


Item 1(b).		Address of Issuer’s Principal Executive Offices:

52 Vanderbilt Avenue, Suite 403
New York, New York 10017


Item 2(a).		Name of Person Filing:

This statement is filed jointly by Mandarin Inc. (“Mandarin”) and Joseph Lewis (together with Mandarin, the “Reporting Persons”) pursuant to Rule 13d-1(k)(1). Joseph Lewis is a director and the President of Mandarin and is the sole indirect owner of, and controls, Mandarin.


Item 2(b).		Address of Principal Business Office, or, if none, Residence:

The principal business address of the Reporting Persons is:

c/o Cay House
P.O. Box N-7776
E.P. Taylor Drive
Lyford Cay, New Providence, Bahamas


Item 2(c).		Citizenship:

Mandarin is an international business corporation organized under the laws of the Bahamas. Joseph Lewis is a permanent resident of the Bahamas and a citizen of the United Kingdom.


Item 2(d).		Title of Class of Securities:

Common Stock, par value $0.01 per share (“Shares”)


Item 2(e).		CUSIP Number:

649604501


Item 3.		If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

Not applicable.


Item 4.		Ownership.

	(a)		Amount beneficially owned:

			0 Shares

	(b)		Percent of class:

			0.0%

	(c)		Number of shares as to which such person has:

	(i)		Sole power to vote or direct the vote:

			0

Page 4 of 7

	(ii)		Shared power to vote or to direct the vote:

			0

	(iii)		Sole power to dispose or direct the disposition of:

			0

	(iv)		Shared power to dispose or to direct the disposition of:

			0


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 Persons have ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following þ.


Item 6.		Ownership of More than Five Percent on Behalf of Another Person.

Only Mandarin had the right to receive dividends and the proceeds from the sale of the Shares held by the Reporting Persons.


Item 7.		Identification and Classification of the Subsidiary Which Acquired the Security Being Reported by the Parent Holding Company.

Not applicable.


Item 8.		Identification and Classification of Member of the Group.

Not applicable.


Item 9.		Notice of Dissolution of Group.

Not applicable.


Item 10.		Certification.

Not applicable.

Exhibits

Joint Filing Agreement, dated the date hereof, between the Reporting Persons.

Page 5 of 7

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.


	MANDARIN INC.
Date: February 2, 2011
	By:	/s/ Jefferson R. Voss
	Name:	Jefferson R. Voss
	Title:	Vice President

	JOSEPH LEWIS
	By:	/s/ Joseph Lewis
	Name:	Joseph Lewis, Individually

Page 6 of 7

EX-99.1 2 c11730exv99w1.htm EXHIBIT 99.1 Exhibit 99.1

Exhibit 1

JOINT FILING AGREEMENT

The undersigned hereby agree that the Statement on Schedule 13G, dated February 2, 2011, with respect to the shares of New York Mortgage Trust, Inc. Common Stock, par value $0.01 per share, is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, and that this Agreement shall be included as an Exhibit to the Schedule 13G and each such amendment. Each of the undersigned agrees to be responsible for the timely filing of the Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning itself contained therein. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.

IN WITNESS WHEREOF, the undersigned have executed this Agreement as of the 2nd day of February, 2011.


	MANDARIN INC.
	By:	/s/ Jefferson R. Voss
	Name:	Jefferson R. Voss
	Title:	Vice President

	JOSEPH LEWIS
	By:	/s/ Joseph Lewis
	Name:	Joseph Lewis, Individually