ADAM

SEC source: 0001273685-26-000061 · wk-form4_1782228946.xml · derivative · entry 1

Greenberg Audrey · CIK 0001871975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,378

Underlying: Common Stock, par value $0.01 per share · 14,238 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

SEC source: 0001273685-26-000062 · wk-form4_1782228952.xml · derivative · entry 1

Norcutt Steven G · CIK 0001294794 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,378

Underlying: Common Stock, par value $0.01 per share · 14,238 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-26-000057 · wk-form4_1782228922.xml · derivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,378

Underlying: Common Stock, par value $0.01 per share · 14,238 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-26-000059 · wk-form4_1782228934.xml · derivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,238

Underlying: Common Stock, par value $0.01 per share · 14,238 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date.

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date.

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date.

SEC source: 0001273685-26-000060 · wk-form4_1782228940.xml · derivative · entry 1

Pendergast Lisa A · CIK 0001735205 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,378

Underlying: Common Stock, par value $0.01 per share · 14,238 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-26-000058 · wk-form4_1782228928.xml · derivative · entry 1

Cheng Gena · CIK 0001890687 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,378

Underlying: Common Stock, par value $0.01 per share · 14,238 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-26-000050 · wk-form4_1781277250.xml · derivative · entry 2

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Represents deferred stock units ("DSUs") granted on June 12, 2025 pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 10, 2026, the day preceding the date of the Issuer's 2026 annual meeting of stockholders.

F1 · derivative.exercise_date: Represents deferred stock units ("DSUs") granted on June 12, 2025 pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 10, 2026, the day preceding the date of the Issuer's 2026 annual meeting of stockholders.

F1 · derivative.expiration_date: Represents deferred stock units ("DSUs") granted on June 12, 2025 pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 10, 2026, the day preceding the date of the Issuer's 2026 annual meeting of stockholders.

SEC source: 0001273685-26-000050 · wk-form4_1781277250.xml · nonDerivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,309

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents deferred stock units ("DSUs") granted on June 12, 2025 pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 10, 2026, the day preceding the date of the Issuer's 2026 annual meeting of stockholders.

F1 · price: Represents deferred stock units ("DSUs") granted on June 12, 2025 pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 10, 2026, the day preceding the date of the Issuer's 2026 annual meeting of stockholders.

F1 · acquired: Represents deferred stock units ("DSUs") granted on June 12, 2025 pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 10, 2026, the day preceding the date of the Issuer's 2026 annual meeting of stockholders.

SEC source: 0001273685-26-000022 · wk-form4_1769638122.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,546

F1 · shares: Surrendered to satisfy tax liability incident to the vesting of shares of restricted stock issued pursuant to Adamas Trust, Inc.'s 2017 Equity Incentive Plan (as amended).

SEC source: 0001273685-26-000023 · wk-form4_1769638127.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 389,714

F1 · shares: Surrendered to satisfy tax liability incident to the vesting of shares of restricted stock issued pursuant to Adamas Trust, Inc.'s 2017 Equity Incentive Plan (as amended).

SEC source: 0001273685-26-000021 · wk-form4_1769638116.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 251,456

F1 · shares: Surrendered to satisfy tax liability incident to the vesting of shares of restricted stock issued pursuant to Adamas Trust, Inc.'s 2017 Equity Incentive Plan (as amended).

SEC source: 0001273685-26-000017 · wk-form4_1769465471.xml · derivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,543

Underlying: Common Stock, par value $0.01 per share · 61,989 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

SEC source: 0001273685-26-000015 · wk-form4_1769465460.xml · derivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 427,216

Underlying: Common Stock, par value $0.01 per share · 216,711 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

SEC source: 0001273685-26-000016 · wk-form4_1769465466.xml · derivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,337

Underlying: Common Stock, par value $0.01 per share · 127,321 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · derivative · entry 9

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,016

Underlying: Common Stock, par value $0.01 per share · 48,948 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F10 · kind: On January 23, 2025, the Reporting Person was granted 146,842 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.exercise_date: On January 23, 2025, the Reporting Person was granted 146,842 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.expiration_date: On January 23, 2025, the Reporting Person was granted 146,842 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · derivative · entry 8

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 178,964

Underlying: Common Stock, par value $0.01 per share · 32,122 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F9 · kind: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.exercise_date: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.expiration_date: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · derivative · entry 7

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,086

Underlying: Common Stock, par value $0.01 per share · 24,414 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F8 · kind: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.exercise_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.expiration_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 6

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,693

F7 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 6 above.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 5

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,477

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2025.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 4

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,529

F5 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 4 above.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 3

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,034

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2024.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,912

F3 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,421

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in April 2023.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · derivative · entry 9

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,505

Underlying: Common Stock, par value $0.01 per share · 84,737 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F10 · kind: On January 23, 2025, the Reporting Person was granted 254,211 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.exercise_date: On January 23, 2025, the Reporting Person was granted 254,211 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.expiration_date: On January 23, 2025, the Reporting Person was granted 254,211 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · derivative · entry 8

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,242

Underlying: Common Stock, par value $0.01 per share · 41,032 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F9 · kind: On April 10, 2024, the Reporting Person was granted 123,095 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.exercise_date: On April 10, 2024, the Reporting Person was granted 123,095 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.expiration_date: On April 10, 2024, the Reporting Person was granted 123,095 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · derivative · entry 7

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 336,274

Underlying: Common Stock, par value $0.01 per share · 34,179 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F8 · kind: On April 25, 2023, the Reporting Person was granted 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.exercise_date: On April 25, 2023, the Reporting Person was granted 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.expiration_date: On April 25, 2023, the Reporting Person was granted 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 6

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 395,541

F7 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 6 above.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 5

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 440,181

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2025.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 4

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 355,444

F5 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 4 above.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 3

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,899

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2024.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 2

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,867

F3 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 355,007

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in April 2023.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · derivative · entry 9

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,554

Underlying: Common Stock, par value $0.01 per share · 24,123 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F10 · kind: On January 23, 2025, the Reporting Person was granted 72,368 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.exercise_date: On January 23, 2025, the Reporting Person was granted 72,368 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.expiration_date: On January 23, 2025, the Reporting Person was granted 72,368 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · derivative · entry 8

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,677

Underlying: Common Stock, par value $0.01 per share · 12,309 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F9 · kind: On April 10, 2024, the Reporting Person was granted 36,928 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.exercise_date: On April 10, 2024, the Reporting Person was granted 36,928 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.expiration_date: On April 10, 2024, the Reporting Person was granted 36,928 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · derivative · entry 7

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,986

Underlying: Common Stock, par value $0.01 per share · 9,765 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F8 · kind: On April 25, 2023, the Reporting Person was granted 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.exercise_date: On April 25, 2023, the Reporting Person was granted 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.expiration_date: On April 25, 2023, the Reporting Person was granted 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 6

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,297

F7 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 6 above.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 5

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,639

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2025.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 4

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 146,516

F5 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 4 above.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 3

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,827

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2024.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 2

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,518

F3 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,287

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in April 2023.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-25-000058 · wk-form4_1749844984.xml · derivative · entry 1

Greenberg Audrey · CIK 0001871975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,140

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

SEC source: 0001273685-25-000062 · wk-form4_1749845026.xml · derivative · entry 1

Norcutt Steven G · CIK 0001294794 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,140

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-25-000059 · wk-form4_1749844994.xml · derivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,140

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-25-000061 · wk-form4_1749845015.xml · derivative · entry 3

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,678

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents an award of DSUs granted to the Reporting Person pursuant to the Plan that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date.

F2 · derivative.exercise_date: Represents an award of DSUs granted to the Reporting Person pursuant to the Plan that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date.

F2 · derivative.expiration_date: Represents an award of DSUs granted to the Reporting Person pursuant to the Plan that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date.

SEC source: 0001273685-25-000060 · wk-form4_1749845005.xml · derivative · entry 1

Cheng Gena · CIK 0001890687 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,140

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date that is the third anniversary of the date of grant.

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date that is the third anniversary of the date of grant.

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date that is the third anniversary of the date of grant.

SEC source: 0001273685-25-000057 · wk-form4_1749844974.xml · derivative · entry 1

Pendergast Lisa A · CIK 0001735205 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,140

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time, that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a change in control or the date that is the third anniversary of the date of grant.

SEC source: 0001273685-25-000061 · wk-form4_1749845015.xml · derivative · entry 2

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 18,462 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Represents deferred stock units ("DSUs") granted on August 22, 2024 pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 11, 2025, the day preceding the date of the Issuer's 2025 annual meeting of stockholders.

F1 · derivative.exercise_date: Represents deferred stock units ("DSUs") granted on August 22, 2024 pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 11, 2025, the day preceding the date of the Issuer's 2025 annual meeting of stockholders.

F1 · derivative.expiration_date: Represents deferred stock units ("DSUs") granted on August 22, 2024 pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 11, 2025, the day preceding the date of the Issuer's 2025 annual meeting of stockholders.

SEC source: 0001273685-25-000061 · wk-form4_1749845015.xml · nonDerivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,631

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents deferred stock units ("DSUs") granted on August 22, 2024 pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 11, 2025, the day preceding the date of the Issuer's 2025 annual meeting of stockholders.

F1 · price: Represents deferred stock units ("DSUs") granted on August 22, 2024 pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 11, 2025, the day preceding the date of the Issuer's 2025 annual meeting of stockholders.

F1 · acquired: Represents deferred stock units ("DSUs") granted on August 22, 2024 pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"). The DSUs vested on June 11, 2025, the day preceding the date of the Issuer's 2025 annual meeting of stockholders.

SEC source: 0001273685-25-000022 · wk-form4_1738192950.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 491,541

F1 · shares: Surrendered to satisfy tax liability incident to the vesting of shares of restricted stock issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended).