0001273685-23-000017.txt : 20230104 0001273685-23-000017.hdr.sgml : 20230104 20230104171826 ACCESSION NUMBER: 0001273685-23-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230101 FILED AS OF DATE: 20230104 DATE AS OF CHANGE: 20230104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mumma Steven R CENTRAL INDEX KEY: 0001294797 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 23507955 MAIL ADDRESS: STREET 1: 1301 AVENUE OF THE AMERICAS STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 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. 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: (212) 792-0107 MAIL ADDRESS: STREET 1: 90 PARK AVENUE. 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 4 1 wf-form4_167287066705374.xml FORM 4 X0306 4 2023-01-01 0 0001273685 NEW YORK MORTGAGE TRUST INC NYMT 0001294797 Mumma Steven R C/O NEW YORK MORTGAGE TRUST, INC. 90 PARK AVENUE NEW YORK NY 10016 1 0 0 0 Common Stock, par value $0.01 per share 2023-01-01 4 M 0 32102 0 A 1771626 D Common Stock, par value $0.01 per share 2023-01-01 4 F 0 13420 2.56 D 1758206 D Common Stock, par value $0.01 per share 2023-01-01 4 M 0 54201 0 A 1812407 D Common Stock, par value $0.01 per share 2023-01-01 4 F 0 21025 2.56 D 1791382 D Restricted Stock Units 2023-01-01 4 M 0 32102 0 D Common Stock, par value $0.01 per share 32102.0 108401 D Restricted Stock Units 2023-01-01 4 M 0 54201 0 D Common Stock, par value $0.01 per share 54201.0 54200 D Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2020. Each RSU is the economic equivalent of one share of common stock of New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT. Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above. Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2021. Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 4 above. On January 1, 2020, the Reporting Person was granted 96,308 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date. On January 27, 2021, the Reporting Person was granted 162,202 RSUs, vesting in three equal annual installments beginning on January 1, 2022. /s/ Kristine R. Nario-Eng, as attorney-in-fact 2023-01-04