0001273685-20-000006.txt : 20200103 0001273685-20-000006.hdr.sgml : 20200103 20200103165552 ACCESSION NUMBER: 0001273685-20-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200101 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nario-Eng Kristine Rimando CENTRAL INDEX KEY: 0001608612 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 20506394 MAIL ADDRESS: STREET 1: 275 MADISON AVENUE STREET 2: SUITE 3200 CITY: NEW YORK STATE: NY ZIP: 10016 FORMER NAME: FORMER CONFORMED NAME: Nario Kristine Rimando DATE OF NAME CHANGE: 20140520 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 90 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: (212) 792-0107 MAIL ADDRESS: STREET 1: 90 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 4 1 wf-form4_157808853550766.xml FORM 4 X0306 4 2020-01-01 0 0001273685 NEW YORK MORTGAGE TRUST INC NYMT 0001608612 Nario-Eng Kristine Rimando C/O NEW YORK MORTGAGE TRUST, INC. 90 PARK AVENUE NEW YORK NY 10016 0 1 0 0 Chief Financial Officer Restricted Stock Units 2020-01-01 4 A 0 30096 0 A Common Stock, par value $0.01 per share 30096.0 30096 D Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2020 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first,second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms andconditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares ofNYMT common stock underlying the RSUs. /s/ Kristine R. Nario-Eng 2020-01-03