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