0001273685-24-000016.txt : 20240125 0001273685-24-000016.hdr.sgml : 20240125 20240125170545 ACCESSION NUMBER: 0001273685-24-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240124 FILED AS OF DATE: 20240125 DATE AS OF CHANGE: 20240125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mumma Steven R CENTRAL INDEX KEY: 0001294797 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 24563099 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] 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_1706220334.xml FORM 4 X0508 4 2024-01-24 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 0 Common Stock, par value $0.01 per share 2024-01-24 4 A 0 102980 0 A 567520 D Common Stock, par value $0.01 per share 2024-01-24 4 F 0 52062 8.23 D 515458 D Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2021. Per the terms of the award agreement governing the PSUs, the number of underlying shares of NYMT common stock that the recipient ultimately became entitled to receive at the time of vesting ranged from 0% to 200% of the target number of PSUs granted, subject to the achievement of a pre-established performance metric. The vesting of these PSUs was based on NYMT's total stockholder return for the three years ended December 31, 2023. Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 1 above. /s/ Kristine R. Nario-Eng, as attornery-in-fact 2024-01-25