Reese Nathan R 4

4 · NEW YORK MORTGAGE TRUST INC · Filed Jan 4, 2023

Form 4

Period: 2023-01-01

Vice President and Secretary

Transactions

Tax Payment
Common Stock, par value $0.01 per share
2023-01-01$2.56/sh−3,728$9,544→ 276,434 total
Tax Payment
Common Stock, par value $0.01 per share
2023-01-01$2.56/sh−6,294$16,113→ 285,196 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2023-01-01+14,935→ 300,131 total
Tax Payment
Common Stock, par value $0.01 per share
2023-01-01$2.56/sh−6,223$15,931→ 293,908 total
Exercise/Conversion
Restricted Stock Units
2023-01-01−8,917→ 74,914 total
→ Common Stock, par value $0.01 per share (8,917 underlying)
Exercise/Conversion
Restricted Stock Units
2023-01-01−15,056→ 59,858 total
→ Common Stock, par value $0.01 per share (15,056 underlying)
Exercise/Conversion
Restricted Stock Units
2023-01-01−14,935→ 44,923 total
→ Common Stock, par value $0.01 per share (14,935 underlying)
Exercise/Conversion
Common Stock, par value $0.01 per share
2023-01-01+8,917→ 280,162 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2023-01-01+15,056→ 291,490 total

Footnotes (10)

[F1]Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2020.
[F10]On January 27, 2022, the Reporting Person was granted 44,803 RSUs, vesting in three equal annual installments beginning on January 1, 2023.
[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]Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.
[F4]Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2021.
[F5]Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 4 above.
[F6]Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2022.
[F7]Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 6 above.
[F8]On January 1, 2020, the Reporting Person was granted 26,752 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.
[F9]On January 27, 2021, the Reporting Person was granted 45,167 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

Documents

1 file