ADAM

SEC source: 0001273685-23-000025 · wf-form4_167521236266500.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,754,146

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: 0001273685-23-000025 · wf-form4_167521236266500.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,810,799

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: 0001273685-23-000029 · wf-form4_167521243176024.xml · nonDerivative · entry 4

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,610

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

SEC source: 0001273685-23-000029 · wf-form4_167521243176024.xml · nonDerivative · entry 3

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 665,110

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: 0001273685-23-000029 · wf-form4_167521243176024.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 579,503

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: 0001273685-23-000029 · wf-form4_167521243176024.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608,852

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: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,770

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

SEC source: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,176

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: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,022

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: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,058

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: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,307

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

SEC source: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,029,973

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: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 901,562

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: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 948,817

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: 0001273685-23-000013 · wf-form4_167287007853836.xml · derivative · entry 9

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,923

Underlying: Common Stock, par value $0.01 per share · 14,935 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 44,803 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 44,803 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 44,803 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · derivative · entry 8

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,858

Underlying: Common Stock, par value $0.01 per share · 15,056 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 45,167 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 45,167 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 45,167 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · derivative · entry 7

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,914

Underlying: Common Stock, par value $0.01 per share · 8,917 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.

F8 · kind: On January 1, 2020, the Reporting Person was granted 26,752 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.exercise_date: On January 1, 2020, the Reporting Person was granted 26,752 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.expiration_date: On January 1, 2020, the Reporting Person was granted 26,752 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · nonDerivative · entry 6

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,908

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

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · nonDerivative · entry 5

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,131

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 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.

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · nonDerivative · entry 4

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,196

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

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · nonDerivative · entry 3

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,490

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 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.

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · nonDerivative · entry 2

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,434

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

SEC source: 0001273685-23-000013 · wf-form4_167287007853836.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,162

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 2020.

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.

SEC source: 0001273685-23-000017 · wf-form4_167287066705374.xml · derivative · entry 6

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,200

Underlying: Common Stock, par value $0.01 per share · 54,201 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.

F7 · kind: On January 27, 2021, the Reporting Person was granted 162,202 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F7 · derivative.exercise_date: On January 27, 2021, the Reporting Person was granted 162,202 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F7 · derivative.expiration_date: On January 27, 2021, the Reporting Person was granted 162,202 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-23-000017 · wf-form4_167287066705374.xml · derivative · entry 5

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,401

Underlying: Common Stock, par value $0.01 per share · 32,102 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.

F6 · kind: On January 1, 2020, the Reporting Person was granted 96,308 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F6 · derivative.exercise_date: On January 1, 2020, the Reporting Person was granted 96,308 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F6 · derivative.expiration_date: On January 1, 2020, the Reporting Person was granted 96,308 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001273685-23-000017 · wf-form4_167287066705374.xml · nonDerivative · entry 4

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791,382

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

SEC source: 0001273685-23-000017 · wf-form4_167287066705374.xml · nonDerivative · entry 3

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,812,407

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 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.

SEC source: 0001273685-23-000017 · wf-form4_167287066705374.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,758,206

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

SEC source: 0001273685-23-000017 · wf-form4_167287066705374.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,771,626

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 2020.

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.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,733

Underlying: Common Stock, par value $0.01 per share · 49,283 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 147,849 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 147,849 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 147,849 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,016

Underlying: Common Stock, par value $0.01 per share · 45,167 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 135,501 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 135,501 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 135,501 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,183

Underlying: Common Stock, par value $0.01 per share · 26,752 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.

F8 · kind: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.exercise_date: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.expiration_date: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816,940

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

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,178

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 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.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 785,895

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

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 804,476

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 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.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 759,309

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

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,657

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 2020.

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.

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · derivative · entry 9

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,848

Underlying: Common Stock, par value $0.01 per share · 29,869 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 89,606 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 89,606 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 89,606 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · derivative · entry 8

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,717

Underlying: Common Stock, par value $0.01 per share · 30,111 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 90,334 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 90,334 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 90,334 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · derivative · entry 7

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,828

Underlying: Common Stock, par value $0.01 per share · 17,835 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.

F8 · kind: On January 1, 2020, the Reporting Person was granted 53,505 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.exercise_date: On January 1, 2020, the Reporting Person was granted 53,505 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.expiration_date: On January 1, 2020, the Reporting Person was granted 53,505 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · nonDerivative · entry 6

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 560,308

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

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · nonDerivative · entry 5

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 572,984

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 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.

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · nonDerivative · entry 4

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 543,115

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

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · nonDerivative · entry 3

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 556,921

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 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.

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,810

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

SEC source: 0001273685-23-000014 · wf-form4_167287012324278.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,024

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 2020.

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.

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,539

Underlying: Common Stock, par value $0.01 per share · 16,801 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 50,403 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 50,403 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 50,403 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,340

Underlying: Common Stock, par value $0.01 per share · 16,938 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 50,813 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 50,813 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 50,813 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,278

Underlying: Common Stock, par value $0.01 per share · 10,032 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 New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

F8 · kind: On January 1, 2020, the Reporting Person was granted 30,096 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.exercise_date: On January 1, 2020, the Reporting Person was granted 30,096 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.expiration_date: On January 1, 2020, the Reporting Person was granted 30,096 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.