-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EoPx+LgbWX71lEshiaYWVcp8JTYPhzm1XBx1DQPNPWKu29JJdZQkYcb9yN3B8o+I PxyOxVRQ8m7OwFrV9R1KIg== 0001367653-07-000004.txt : 20070323 0001367653-07-000004.hdr.sgml : 20070323 20070323114707 ACCESSION NUMBER: 0001367653-07-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070323 DATE AS OF CHANGE: 20070323 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-79935 FILM NUMBER: 07714236 BUSINESS ADDRESS: STREET 1: 1301 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2126349400 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Huntleigh Advisors, Inc. CENTRAL INDEX KEY: 0001367653 IRS NUMBER: 431911686 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 7800 FORSYTH BLVD. STREET 2: 5TH FLOOR CITY: ST. LOUIS STATE: MO ZIP: 63105 BUSINESS PHONE: 314-236-2253 MAIL ADDRESS: STREET 1: 7800 FORSYTH BLVD. STREET 2: 5TH FLOOR CITY: ST. LOUIS STATE: MO ZIP: 63105 SC 13G 1 ntr1.htm NTR 13G

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

SCHEDULE 13G

 

 

Under the Securities Exchange Act of 1934

 

 

 


 

New York Mortgage Trust, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

649604105

(CUSIP Number)

March 13, 2007

(Date of Event Which Requires Filing of this Statement)

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

x

Rule 13d-1(b)

o

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).

 

Page 1 of 9 pages




 

 

CUSIP No. 649604105

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
HUNTLEIGH ADVISORS, INC.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

x

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
MISSOURI

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
591,714

 

6.

Shared Voting Power
663,414

 

7.

Sole Dispositive Power
591,714

 

8.

Shared Dispositive Power
663,414

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,016,414

 

 

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)
5.62%

 

 

12.

Type of Reporting Person (See Instructions)
IA

  Page 2 of 9 pages




 

CUSIP No. 649604105

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
HUNTLEIGH SECURITIES CORP.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

x

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
MISSOURI

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
71,700

 

6.

Shared Voting Power
663,414

 

7.

Sole Dispositive Power
71,700

 

8.

Shared Dispositive Power
663,414

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,016,414

 

 

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)
5.62%

 

 

12.

Type of Reporting Person (See Instructions)
BD

 

 Page 3 of 9 pages


 

 

CUSIP No. 649604105

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Larwrence G. Callahan

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

x

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
353,000

 

6.

Shared Voting Power
944,714

 

7.

Sole Dispositive Power
353,000

 

8.

Shared Dispositive Power
944,714

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,016,414

 

 

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)
5.62%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 

Page 4of 9 pages




 

 

Item 1.

 

(a)

Name of Issuer:
New York Mortgage Trust, Inc. (the "Issuer")

 

(b)

Address of Issuer's Principal Executive Offices:
1301 Avenue of the Americas, New York, NY 10019

 

Item 2.

 

(a)

Name of Person Filing:
This Statement on Schedule 13G (this "Statement") is filed by Huntleigh Advisors, Inc., and Huntleigh Securities Corp, which are affiliated companies under common control.

 

(b)

Address of Principal Business Office or, if none, Residence:
7800 Forsyth Blvd, 5th Floor, St. Louis, MO 63105

 

(c)

Citizenship:
Huntleigh Advisors, Inc. is a Missouri corporation and an SEC registered investment adviser. Huntleigh Securities Corp. is a Missouri corporation and an NASD member broker/dealer. Lawrence Callahan is a US citizen.

 

(d)

Title of Class of Securities:
Common Stock

 

(e)

CUSIP Number:
649604105

 

Item 3.

Not applicable

 

 

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:   

Huntleigh Advisors, Inc.   Huntleigh Advisors, Inc. is the record and beneficial owner of 591,714 shares of Common Stock and shares voting and dispositive power over 663,414 with Huntleigh Securities Corp.,

Huntleigh Securities Corp. Huntleigh Securities Corp., as an affiliated company under common control, may be deemed to beneficially own the 663,414 shares held of record by Huntleigh Advisors, Inc., and shares voting and dispositive power over such shares with Huntleigh Advisors, Inc.

Lawrence Callahan Lawrence Callahan, as a controlling member of Huntleigh Advisors, Mr. Callahan may be deemed to beneficially own 591,714 shares held of record by Huntleigh Advisors, Inc. and 353,000 shares held by Mr. Callahan, his wife, and children.

 Page 5of 9 pages



 

 

 

(b)

Percent of class:   

Huntleigh Advisors, Inc.                                                                                               5.62%

Huntleigh Securities Inc.                                                                                               5.62%

Lawrence Callahan                                                                                                          5.62%

 

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote:   

Huntleigh Advisors, Inc.                                                                                  591,714 shares

Huntleigh Securities Corp.                                                                                71,700 shares

Lawrence Callahan                                                                                             353,000 shares


 

 

 

(ii)

Shared power to vote or to direct the vote:    

Huntleigh Advisors, Inc.                                                                                      663,414 shares

Huntleigh Securities Corp.                                                                                    663,414 shares

Lawrence Callahan                                                                                                 944,714 shares

 

 

 

(iii)

Sole power to dispose or to direct the disposition of:   

Huntleigh Advisors, Inc.                                                                                        591,714 shares

Huntleigh Securities Inc.                                                                                       71,000 shares

Lawrence Callahan                                                                                                  353,000 shares

 

 

(iv)

Shared power to dispose or to direct the disposition of:   

Shared power to vote or to direct the vote:    

Huntleigh Advisors, Inc.                                                                                      663,414 shares

Huntleigh Securities Inc.                                                                                      663,414 shares

Lawrence Callahan                                                                                                901,714 shares

 

 

 

 

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   o .

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

Not applicable.

 

 Page 6 of 9 pages




 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

Not applicable.

 

Item 8.

Identification and Classification of Members of the Group

Huntleigh Advisors, Inc., and Huntleigh Securities Corp., are under common control and may be deemed a group. Mr. Callahan, as a controlling member of Huntleigh Advisors, Inc. may be deemed a part of the group.

 

Item 9.

Notice of Dissolution of Group

Not applicable.

 

Item 10.

Certification

By signing below I certify that, to the best of my 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.

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.

 

 



Date:

 

March 13, 2007

 

 

 

 

 

 

 

 

 

 

 

 

 

 

By:

 

Huntleigh Advisors, Inc.

 

 

 

 

 

 

 

/s/ Robert Chambers

 

By:

 

Robert Chambers, President

 

By:

 

 

Huntleigh Securities Corp.

 

 

 

 

 

 

 

 

 

By:

 

/s/ Robert Chambers

 

 

 

Robert Chambers, President

 

 

 

 

 

 

 

 

 

By:

 

/s/ Robert Chambers

 

 

 

Robert Chambers, President

 

 

 

 

 

 

 

 

By:  

/s/ Lawrence Callahan

   

Lawrence Callahan

     
     
     

 

 

 

 

 

 

 

 

 

Page 8 of 9 pages




Exhibit 99.1

 

JOINT FILING AGREEMENT

 

     In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, of New York Mortgage Trust, Inc. and further agree to the filing of this agreement as an exhibit thereto.  In addition, each party to this Agreement expressly authorizes each other party to this Agreement to file on its behalf any and all amendments to such Statement on Schedule 13G.

 

Date: March 13, 2007

Huntleigh Advisors, Inc.

 

 

 

 

 

By:

/s/ Robert Chambers

 

 

 

Robert Chambers, President

 

 

 

 

 

 

Huntleigh Securities Corp.

 

 

 

 

 

 

By:

/s/ Robert Chambers

 

 

 

Robert Chambers, President

 

 

 

 

 

 

Lawrence Callahan

 

 

 

 

 

 

By:

/s/ Lawrence Callahan

 

 

 

Lawrence Callahan

 

 

 

 

 

 

 

 

 

 Page 9 of 9 pages



-----END PRIVACY-ENHANCED MESSAGE-----