Nario-Eng Kristine Rimando 4

4 · NEW YORK MORTGAGE TRUST INC · Filed Jan 2, 2025

Form 4

Period: 2025-01-01

Chief Financial Officer

Transactions

Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−2,204$13,356→ 128,235 total
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−5,656$34,275→ 132,345 total
Exercise/Conversion
Restricted Stock Units
2025-01-01−4,200→ 56,459 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (4,200 underlying)
Exercise/Conversion
Restricted Stock Units
2025-01-01−12,310→ 34,383 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (12,310 underlying)
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+9,766→ 138,001 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+4,200→ 130,439 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+12,310→ 144,655 total
Exercise/Conversion
Restricted Stock Units
2025-01-01−9,766→ 46,693 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (9,766 underlying)
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−7,133$43,226→ 137,522 total

Footnotes (11)

[F1]Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2022.
[F10]On April 25, 2023, the Reporting Person was granted 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.
[F11]On April 10, 2024, the Reporting Person was granted 36,928 RSUs, vesting in three equal annual installments beginning on January 1, 2025.
[F2]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.
[F3]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.
[F4]Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.
[F5]Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023.
[F6]Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above.
[F7]Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2024.
[F8]Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above.
[F9]On January 27, 2022, the Reporting Person was granted 12,600 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

Documents

1 file