ADAM

SEC source: 0001273685-24-000015 · wk-form4_1706220321.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,986

F1 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2021. Per the terms of the award agreement governing the PSUs, the number of underlying shares of NYMT common stock that the recipient ultimately became entitled to receive at the time of vesting ranged from 0% to 200% of the target number of PSUs granted, subject to the achievement of a pre-established performance metric. The vesting of these PSUs was based on NYMT's total stockholder return for the three years ended December 31, 2023.

SEC source: 0001273685-24-000014 · wk-form4_1706220307.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,952

F2 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 1 above.

SEC source: 0001273685-24-000014 · wk-form4_1706220307.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,836

F1 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2021. Per the terms of the award agreement governing the PSUs, the number of underlying shares of NYMT common stock that the recipient ultimately became entitled to receive at the time of vesting ranged from 0% to 200% of the target number of PSUs granted, subject to the achievement of a pre-established performance metric. The vesting of these PSUs was based on NYMT's total stockholder return for the three years ended December 31, 2023.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,679

Underlying: Common Stock, par value $0.01 per share · 34,180 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F11 · kind: On April 25, 2023, the Reporting Person was granted 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F11 · 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.

F11 · 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: 0001273685-24-000009 · wk-form4_1704326148.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,859

Underlying: Common Stock, par value $0.01 per share · 12,321 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F10 · kind: On January 27, 2022, the Reporting Person was granted 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.exercise_date: On January 27, 2022, the Reporting Person was granted 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.expiration_date: On January 27, 2022, the Reporting Person was granted 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,180

Underlying: Common Stock, par value $0.01 per share · 11,291 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F9 · kind: On January 27, 2021, the Reporting Person was granted 33,875 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.exercise_date: On January 27, 2021, the Reporting Person was granted 33,875 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.expiration_date: On January 27, 2021, the Reporting Person was granted 33,875 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,019

F8 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 282,175

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.

F7 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,995

F6 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 254,260

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.

F5 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2022.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 241,939

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,862

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 January 2021.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · derivative · entry 9

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,295

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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F11 · kind: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F11 · 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.

F11 · 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: 0001273685-24-000008 · wk-form4_1704325873.xml · derivative · entry 8

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,709

Underlying: Common Stock, par value $0.01 per share · 7,467 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F10 · kind: On January 27, 2022, the Reporting Person was granted 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.exercise_date: On January 27, 2022, the Reporting Person was granted 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.expiration_date: On January 27, 2022, the Reporting Person was granted 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · derivative · entry 7

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,176

Underlying: Common Stock, par value $0.01 per share · 7,527 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F9 · kind: On January 27, 2021, the Reporting Person was granted 22,583 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.exercise_date: On January 27, 2021, the Reporting Person was granted 22,583 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.expiration_date: On January 27, 2021, the Reporting Person was granted 22,583 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 6

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,774

F8 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 5

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,953

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.

F7 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 4

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,539

F6 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 3

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,745

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.

F5 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2022.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,278

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,537

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 January 2021.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,731

Underlying: Common Stock, par value $0.01 per share · 9,766 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F11 · kind: On April 25, 2023, the Reporting Person was granted 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F11 · 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.

F11 · 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: 0001273685-24-000007 · wk-form4_1704325611.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,497

Underlying: Common Stock, par value $0.01 per share · 4,200 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F10 · kind: On January 27, 2022, the Reporting Person was granted 12,600 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.exercise_date: On January 27, 2022, the Reporting Person was granted 12,600 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.expiration_date: On January 27, 2022, the Reporting Person was granted 12,600 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,697

Underlying: Common Stock, par value $0.01 per share · 4,234 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F9 · kind: On January 27, 2021, the Reporting Person was granted 12,703 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.exercise_date: On January 27, 2021, the Reporting Person was granted 12,703 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.expiration_date: On January 27, 2021, the Reporting Person was granted 12,703 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,232

F8 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,511

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.

F7 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,745

F6 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,888

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.

F5 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2022.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,688

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

F3 · balance_after: 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.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,850

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 January 2021.

F2 · price: 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 · balance_after: 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.

SEC source: 0001273685-23-000086 · wk-form4_1686776469.xml · nonDerivative · entry 1

Greenberg Audrey · CIK 0001871975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,222

F1 · shares: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F2 · balance_after: 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.

SEC source: 0001273685-23-000085 · wk-form4_1686776411.xml · nonDerivative · entry 1

Norcutt Steven G · CIK 0001294794 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,688

F1 · shares: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F2 · balance_after: 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.

SEC source: 0001273685-23-000084 · wk-form4_1686776347.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 464,540

F1 · shares: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F2 · balance_after: 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.

SEC source: 0001273685-23-000090 · wk-form4_1686776741.xml · nonDerivative · entry 1

Pendergast Lisa A · CIK 0001735205 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,485

F1 · shares: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F2 · balance_after: 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.

SEC source: 0001273685-23-000088 · wk-form4_1686776611.xml · nonDerivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,169

F1 · shares: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F2 · balance_after: 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.

SEC source: 0001273685-23-000087 · wk-form4_1686776560.xml · nonDerivative · entry 1

Cheng Gena · CIK 0001890687 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,599

F1 · shares: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents annual stock grant for non-employee directors. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F2 · balance_after: 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.

SEC source: 0001273685-23-000064 · wf-form4_168262696778470.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,931

Underlying: Common Stock, par value $0.01 per share · 29,297 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F2 · balance_after: 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.

SEC source: 0001273685-23-000063 · wf-form4_168262693864866.xml · derivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,703

Underlying: Common Stock, par value $0.01 per share · 73,242 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F2 · balance_after: 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.

SEC source: 0001273685-23-000062 · wf-form4_168262692036670.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,471

Underlying: Common Stock, par value $0.01 per share · 102,539 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT 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 NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F2 · balance_after: 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.

SEC source: 0001273685-23-000039 · wf-form4_167580792877733.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,867

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).

SEC source: 0001273685-23-000037 · wf-form4_167580789077730.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,810,348

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).

SEC source: 0001273685-23-000036 · wf-form4_167580787312574.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 612,041

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).

SEC source: 0001273685-23-000038 · wf-form4_167580790819766.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,465

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).

SEC source: 0001273685-23-000035 · wf-form4_167580785189581.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 946,284

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).

SEC source: 0001273685-23-000027 · wf-form4_167521239757650.xml · nonDerivative · entry 4

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,613

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 3 above.

SEC source: 0001273685-23-000027 · wf-form4_167521239757650.xml · nonDerivative · entry 3

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,044

F3 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2020. Per the terms of the award agreement governing the PSUs, the number of underlying shares of NYMT common stock that the recipient ultimately became entitled to receive at the time of vesting ranged from 0% to 200% of the target number of PSUs granted, subject to the achievement of a pre-established performance metric. The vesting of these PSUs was based on NYMT's total stockholder return for the three years ended December 31, 2022.

SEC source: 0001273685-23-000027 · wf-form4_167521239757650.xml · nonDerivative · entry 2

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,240

F2 · kind: Surrendered to satisfy tax liability incident to the vesting of shares of restricted stock issued pursuant to NYMT's 2017 Stock Incentive Plan.

SEC source: 0001273685-23-000027 · wf-form4_167521239757650.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,953

F1 · kind: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Stock Incentive Plan as payment of the restricted stock portion of compensation earned by the Reporting Person pursuant to NYMT's 2022 Annual Incentive Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant.

SEC source: 0001273685-23-000025 · wf-form4_167521236266500.xml · nonDerivative · entry 4

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,852,688

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 3 above.

SEC source: 0001273685-23-000025 · wf-form4_167521236266500.xml · nonDerivative · entry 3

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,908,239

F3 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2020. Per the terms of the award agreement governing the PSUs, the number of underlying shares of NYMT common stock that the recipient ultimately became entitled to receive at the time of vesting ranged from 0% to 200% of the target number of PSUs granted, subject to the achievement of a pre-established performance metric. The vesting of these PSUs was based on NYMT's total stockholder return for the three years ended December 31, 2022.