Mumma Steven R 4
4 · NEW YORK MORTGAGE TRUST INC · Filed Jan 4, 2023
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.