0001273685-24-000009.txt : 20240103 0001273685-24-000009.hdr.sgml : 20240103 20240103185602 ACCESSION NUMBER: 0001273685-24-000009 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: Serrano Jason T CENTRAL INDEX KEY: 0001763908 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 24509014 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] 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_1704326148.xml FORM 4 X0508 4 2024-01-01 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 Common Stock, par value $0.01 per share 2024-01-01 4 M 0 11291 0 A 247862 D Common Stock, par value $0.01 per share 2024-01-01 4 F 0 5923 8.53 D 241939 D Common Stock, par value $0.01 per share 2024-01-01 4 M 0 12321 0 A 254260 D Common Stock, par value $0.01 per share 2024-01-01 4 F 0 6265 8.53 D 247995 D Common Stock, par value $0.01 per share 2024-01-01 4 M 0 34180 0 A 282175 D Common Stock, par value $0.01 per share 2024-01-01 4 F 0 17156 8.53 D 265019 D Restricted Stock Units 2024-01-01 4 M 0 11291 0 D Common Stock, par value $0.01 per share 11291 127180 D Restricted Stock Units 2024-01-01 4 M 0 12321 0 D Common Stock, par value $0.01 per share 12321 114859 D Restricted Stock Units 2024-01-01 4 M 0 34180 0 D Common Stock, par value $0.01 per share 34180 80679 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 33,875 RSUs, vesting in three equal annual installments beginning on January 1, 2022. On January 27, 2022, the Reporting Person was granted 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023. On April 25, 2023, the Reporting Person was granted 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024. /s/ Kristine R. Nario-Eng, as attorney-in-fact 2024-01-03