0001273685-23-000062.txt : 20230427 0001273685-23-000062.hdr.sgml : 20230427 20230427162215 ACCESSION NUMBER: 0001273685-23-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230425 FILED AS OF DATE: 20230427 DATE AS OF CHANGE: 20230427 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Serrano Jason T CENTRAL INDEX KEY: 0001763908 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 23857334 MAIL ADDRESS: STREET 1: 275 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 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_168262692036670.xml FORM 4 X0407 4 2023-04-25 0 0001273685 NEW YORK MORTGAGE TRUST INC NYMT 0001763908 Serrano Jason T C/O NEW YORK MORTGAGE TRUST, INC. 90 PARK AVENUE NEW YORK NY 10016 1 1 0 0 Chief Executive Officer 0 Restricted Stock Units 2023-04-25 4 A 0 102539 0 A Common Stock, par value $0.01 per share 102539.0 138471 D Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. 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 and conditions 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 of NYMT common stock underlying the RSUs. On March 9, 2023, NYMT effected a one-for-four reverse stock split of its common stock. The amount of securities reported has been adjusted to reflect the reverse stock split. /s/ Kristine R. Nario-Eng, as attornery-in-fact 2023-04-27