ADAM

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,687

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

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,382

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: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,581

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

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,382

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: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,444

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

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,064

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: 0001273685-22-000063 · wf-form4_165489149525246.xml · nonDerivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,867

F1 · shares: Represents the reporting person's election to receive the cash portion of his non-employee director compensation in the form of shares of common stock based on a closing sales price of $3.11 per share on June 6, 2022. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents the reporting person's election to receive the cash portion of his non-employee director compensation in the form of shares of common stock based on a closing sales price of $3.11 per share on June 6, 2022. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

SEC source: 0001273685-22-000058 · wf-form4_165472614104498.xml · nonDerivative · entry 1

Greenberg Audrey · CIK 0001871975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,076

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.

SEC source: 0001273685-22-000057 · wf-form4_165472595788675.xml · nonDerivative · entry 1

Norcutt Steven G · CIK 0001294794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,942

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.

SEC source: 0001273685-22-000060 · wf-form4_165473849773775.xml · nonDerivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,281

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.

SEC source: 0001273685-22-000059 · wf-form4_165472628280067.xml · nonDerivative · entry 1

Cheng Gena · CIK 0001890687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,586

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.

SEC source: 0001273685-22-000056 · wf-form4_165472532730275.xml · nonDerivative · entry 1

Pendergast Lisa A · CIK 0001735205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,128

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.

SEC source: 0001273685-22-000021 · wf-form4_164435773672083.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 743,905

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

SEC source: 0001273685-22-000015 · wf-form4_164367902299044.xml · derivative · entry 4

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,831

Underlying: Common Stock, par value $0.01 per share · 44,803 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

F4 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

F4 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

SEC source: 0001273685-22-000015 · wf-form4_164367902299044.xml · nonDerivative · entry 3

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,245

F3 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 2 above.

SEC source: 0001273685-22-000015 · wf-form4_164367902299044.xml · nonDerivative · entry 2

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,990

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2019. 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, 2021.

SEC source: 0001273685-22-000015 · wf-form4_164367902299044.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,150

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 2021 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: 0001273685-22-000012 · wf-form4_164367799652497.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,739,524

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2019. 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, 2021.

SEC source: 0001273685-22-000012 · wf-form4_164367799652497.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,533,243

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 2021 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: 0001273685-22-000014 · wf-form4_164367879580034.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,935

Underlying: Common Stock, par value $0.01 per share · 147,849 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

F4 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

F4 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

SEC source: 0001273685-22-000014 · wf-form4_164367879580034.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 779,921

F3 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 2 above.

SEC source: 0001273685-22-000014 · wf-form4_164367879580034.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 864,827

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2019. 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, 2021.

SEC source: 0001273685-22-000014 · wf-form4_164367879580034.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 692,926

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 2021 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: 0001273685-22-000013 · wf-form4_164367840544452.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,310

Underlying: Common Stock, par value $0.01 per share · 50,403 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

F3 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

F3 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity 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. 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.

SEC source: 0001273685-22-000013 · wf-form4_164367840544452.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,032

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2019. 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, 2021.

SEC source: 0001273685-22-000013 · wf-form4_164367840544452.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,192

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 2021 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: 0001273685-22-000006 · wf-form4_164185311705556.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,958

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: 0001273685-22-000002 · wf-form4_164133348570171.xml · derivative · entry 4

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,028

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.

F5 · kind: On January 27, 2021, the Reporting Person was granted 45,167 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F5 · 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.

F5 · 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: 0001273685-22-000002 · wf-form4_164133348570171.xml · derivative · entry 3

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,084

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.

F4 · 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.

F4 · 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.

F4 · 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: 0001273685-22-000002 · wf-form4_164133348570171.xml · nonDerivative · entry 2

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,791

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.

F3 · 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: 0001273685-22-000002 · wf-form4_164133348570171.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,735

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: 0001273685-22-000001 · wf-form4_164133344291399.xml · derivative · entry 6

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,503

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 162,602 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 162,602 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 162,602 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-22-000001 · wf-form4_164133344291399.xml · derivative · entry 5

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,704

Underlying: Common Stock, par value $0.01 per share · 32,103 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: 0001273685-22-000001 · wf-form4_164133344291399.xml · nonDerivative · entry 4

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,322,081

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

SEC source: 0001273685-22-000001 · wf-form4_164133344291399.xml · nonDerivative · entry 3

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,343,700

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: 0001273685-22-000001 · wf-form4_164133344291399.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,289,499

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

SEC source: 0001273685-22-000001 · wf-form4_164133344291399.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,302,887

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: 0001273685-22-000004 · wf-form4_164133354565581.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,086

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.

F7 · kind: On January 27, 2021, the Reporting Person was granted 135,501 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 135,501 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 135,501 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-22-000004 · wf-form4_164133354565581.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,253

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.

F6 · 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.

F6 · 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.

F6 · 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: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 577,006

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

SEC source: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595,811

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: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,644

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

SEC source: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 561,996

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: 0001273685-22-000003 · wf-form4_164133350984937.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,907

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.

F5 · kind: On January 27, 2021, the Reporting Person was granted 50,813 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F5 · 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.

F5 · 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: 0001273685-22-000003 · wf-form4_164133350984937.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,845

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.

F4 · 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.

F4 · 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.

F4 · 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.

SEC source: 0001273685-22-000003 · wf-form4_164133350984937.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,326

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.

F3 · 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: 0001273685-22-000003 · wf-form4_164133350984937.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,388

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: 0001273685-21-000074 · wf-form4_162612079153240.xml · nonDerivative · entry 1

Greenberg Audrey · CIK 0001871975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,490

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.

SEC source: 0001273685-21-000062 · wf-form4_162387506271888.xml · nonDerivative · entry 1

Norcutt Steven G · CIK 0001294794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,356

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.

SEC source: 0001273685-21-000064 · wf-form4_162387510115956.xml · nonDerivative · entry 1

Hainey Alan L · CIK 0001295229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,648

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: The ending balance includes shares acquired under a dividend reinvestment plan.