4//SEC Filing
Mumma Steven R 4
Accession 0001273685-23-000017
CIK 0001273685other
Filed
Jan 3, 7:00 PM ET
Accepted
Jan 4, 5:18 PM ET
Size
14.2 KB
Accession
0001273685-23-000017
Insider Transaction Report
Form 4
Mumma Steven R
DirectorCEO, President and CFO
Transactions
- Exercise/Conversion
Common Stock, par value $0.01 per share
2023-01-01+32,102→ 1,771,626 total - Exercise/Conversion
Common Stock, par value $0.01 per share
2023-01-01+54,201→ 1,812,407 total - Exercise/Conversion
Restricted Stock Units
2023-01-01−54,201→ 54,200 total→ Common Stock, par value $0.01 per share (54,201 underlying) - Tax Payment
Common Stock, par value $0.01 per share
2023-01-01$2.56/sh−13,420$34,355→ 1,758,206 total - Tax Payment
Common Stock, par value $0.01 per share
2023-01-01$2.56/sh−21,025$53,824→ 1,791,382 total - Exercise/Conversion
Restricted Stock Units
2023-01-01−32,102→ 108,401 total→ Common Stock, par value $0.01 per share (32,102 underlying)
Footnotes (7)
- [F1]Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2020.
- [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]On January 1, 2020, the Reporting Person was granted 96,308 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- [F7]On January 27, 2021, the Reporting Person was granted 162,202 RSUs, vesting in three equal annual installments beginning on January 1, 2022.
Documents
Issuer
NEW YORK MORTGAGE TRUST INC
CIK 0001273685
Entity typeother
Related Parties
1- filerCIK 0001294797
Filing Metadata
- Form type
- 4
- Filed
- Jan 3, 7:00 PM ET
- Accepted
- Jan 4, 5:18 PM ET
- Size
- 14.2 KB