Serrano Jason T 4

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

Form 4

Period: 2025-01-01

DirectorChief Executive Officer

Transactions

Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+12,320→ 301,944 total
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−6,316$38,275→ 295,628 total
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+34,180→ 329,808 total
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−17,635$106,868→ 312,173 total
Tax Payment
Common Stock, par value $0.01 per share
2025-01-01$6.06/sh−20,536$124,448→ 332,669 total
Exercise/Conversion
Restricted Stock Units
2025-01-01−34,180→ 157,274 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (34,180 underlying)
Exercise/Conversion
Common Stock, par value $0.01 per share
2025-01-01+41,032→ 353,205 total
Exercise/Conversion
Restricted Stock Units
2025-01-01−12,320→ 191,454 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (12,320 underlying)
Exercise/Conversion
Restricted Stock Units
2025-01-01−41,032→ 116,242 total
Exercise: $0.00→ Common Stock, par value $0.01 per share (41,032 underlying)

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 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.
[F11]On April 10, 2024, the Reporting Person was granted 123,095 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 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

Documents

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