0001273685-24-000008.txt : 20240103 0001273685-24-000008.hdr.sgml : 20240103 20240103185128 ACCESSION NUMBER: 0001273685-24-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240101 FILED AS OF DATE: 20240103 DATE AS OF CHANGE: 20240103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mah Nicholas CENTRAL INDEX KEY: 0001960129 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 24508977 MAIL ADDRESS: STREET 1: 90 PARK AVENUE STREET 2: FLOOR 23 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] ORGANIZATION NAME: 05 Real Estate & Construction 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 wk-form4_1704325873.xml FORM 4 X0508 4 2024-01-01 0 0001273685 NEW YORK MORTGAGE TRUST INC NYMT 0001960129 Mah Nicholas C/O NEW YORK MORTGAGE TRUST, INC. 90 PARK AVENUE NEW YORK NY 10016 0 1 0 0 President 0 Common Stock, par value $0.01 per share 2024-01-01 4 M 0 7527 0 A 160537 D Common Stock, par value $0.01 per share 2024-01-01 4 F 0 4259 8.53 D 156278 D Common Stock, par value $0.01 per share 2024-01-01 4 M 0 7467 0 A 163745 D Common Stock, par value $0.01 per share 2024-01-01 4 F 0 4206 8.53 D 159539 D Common Stock, par value $0.01 per share 2024-01-01 4 M 0 24414 0 A 183953 D Common Stock, par value $0.01 per share 2024-01-01 4 F 0 13179 8.53 D 170774 D Restricted Stock Units 0 2024-01-01 4 M 0 7527 0 D Common Stock, par value $0.01 per share 7527 88176 D Restricted Stock Units 0 2024-01-01 4 M 0 7467 0 D Common Stock, par value $0.01 per share 7467 80709 D Restricted Stock Units 0 2024-01-01 4 M 0 24414 0 D Common Stock, par value $0.01 per share 24414 56295 D Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2021. 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. 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. 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 2022. Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above. Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023. Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above. On January 27, 2021, the Reporting Person was granted 22,583 RSUs, vesting in three equal annual installments beginning on January 1, 2022. On January 27, 2022, the Reporting Person was granted 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023. On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024. /s/ Kristine R. Nario-Eng, as attorney-in-fact 2024-01-03