Mah Nicholas 4

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

Form 4

Period: 2025-01-01

President

Transactions

Exercise/Conversion
Restricted Stock Units
2025-01-01−7,467→ 145,194 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (7,467 underlying)
Exercise/Conversion
Restricted Stock Units
2025-01-01−32,122→ 88,658 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (32,122 underlying)
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−14,002$84,852→ 199,578 total
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−4,118$24,955→ 189,166 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+24,414→ 213,580 total
Exercise/Conversion
Restricted Stock Units
2025-01-01−24,414→ 120,780 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (24,414 underlying)
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−17,009$103,075→ 214,691 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+7,467→ 193,284 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+32,122→ 231,700 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 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.
[F11]On April 10, 2024, the Reporting Person was granted 96,366 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 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

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