0001273685-19-000023.txt : 20190315 0001273685-19-000023.hdr.sgml : 20190315 20190315161026 ACCESSION NUMBER: 0001273685-19-000023 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190315 ITEM INFORMATION: Other Events FILED AS OF DATE: 20190315 DATE AS OF CHANGE: 20190315 FILER: 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 19685151 BUSINESS ADDRESS: STREET 1: 275 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: (212) 792-0107 MAIL ADDRESS: STREET 1: 275 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 8-K 1 a8-koptionshareclosingmarc.htm 8-K 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): March 15, 2019

NEW YORK MORTGAGE TRUST, INC.
(Exact name of registrant as specified in its charter)
Maryland
001-32216
47-0934168
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)

275 Madison Avenue
New York, New York 10016
(Address and zip code of
principal executive offices)

Registrant’s telephone number, including area code: (212) 792-0107

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 under the Securities Act (§230.405 of this chapter) or Rule 12b-2 under the Exchange Act (§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 8.01.    Other Events.

As previously disclosed by New York Mortgage Trust, Inc. (the “Company”) in Item 8.01 of the Company’s Current Report on Form 8-K filed on March 1, 2019, pursuant to an underwriting agreement (the “Underwriting Agreement”), dated February 26, 2019, by and between the Company and Morgan Stanley & Co. LLC (the “Underwriter”), the Company granted the Underwriter a 30-day option (the “Option”) to purchase up to an additional 2,250,000 shares (the “Option Shares”) of the Company’s common stock, par value $0.01 per share, at a price of $5.88 per share.  On March 13, 2019, the Underwriter exercised the Option in full.  The closing for the Option Shares was completed on March 15, 2019 and resulted in total net proceeds to the Company of approximately $13.2 million before offering expenses payable by the Company.




SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 
NEW YORK MORTGAGE TRUST, INC.
 
(Registrant)
 
 
 
Date: March 15, 2019
By:
/s/ Steven R. Mumma
 
 
Steven R. Mumma
 
 
Chief Executive Officer