ADAM

SEC source: 0001273685-21-000061 · wf-form4_162387502801158.xml · nonDerivative · entry 1

Bock David R · CIK 0001294801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,469

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.

SEC source: 0001273685-21-000065 · wf-form4_162387512236255.xml · nonDerivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,695

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: 0001273685-21-000063 · wf-form4_162387508315022.xml · nonDerivative · entry 1

Pendergast Lisa A · CIK 0001735205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,542

F1 · shares: Represents the sum of the annual stock grant for non-employee directors and the reporting person's election to receive the cash portion of her non-employee director compensation in the form of shares of common stock based on a closing sales price of $4.70 per share. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents the sum of the annual stock grant for non-employee directors and the reporting person's election to receive the cash portion of her non-employee director compensation in the form of shares of common stock based on a closing sales price of $4.70 per share. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

SEC source: 0001273685-21-000027 · wf-form4_161351642803234.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,270,784

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: 0001273685-21-000020 · wf-form4_161282108706464.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283,579

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: 0001273685-21-000021 · wf-form4_161282110915644.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,818

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: 0001273685-21-000020 · wf-form4_161282108706464.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,299,260

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: 0001273685-21-000022 · wf-form4_161282114438158.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,244

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: 0001273685-21-000014 · wf-form4_161196585026765.xml · derivative · entry 4

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,001

Underlying: Common Stock, par value $0.01 per share · 45,167 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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.

F5 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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.

F5 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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: 0001273685-21-000014 · wf-form4_161196585026765.xml · nonDerivative · entry 3

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,850

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 2 above.

SEC source: 0001273685-21-000014 · wf-form4_161196585026765.xml · nonDerivative · entry 2

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,284

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2018. 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, 2020.

F3 · shares: The Compensation Committee of the Board of Directors of NYMT has confirmed and certified that the PSUs vested at a level above target.

SEC source: 0001273685-21-000014 · wf-form4_161196585026765.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,729

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 2020 Annual Incentive Plan, 1/3of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant.

SEC source: 0001273685-21-000016 · wf-form4_161196588008850.xml · derivative · entry 4

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,807

Underlying: Common Stock, par value $0.01 per share · 162,602 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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.

F5 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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.

F5 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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: 0001273685-21-000016 · wf-form4_161196588008850.xml · nonDerivative · entry 3

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,341,683

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 2 above.

SEC source: 0001273685-21-000016 · wf-form4_161196588008850.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,459,610

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2018. 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, 2020.

F3 · shares: The Compensation Committee of the Board of Directors of NYMT has confirmed and certified that the PSUs vested at a level above target.

SEC source: 0001273685-21-000016 · wf-form4_161196588008850.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,161,392

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 2020 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: 0001273685-21-000015 · wf-form4_161196586517386.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,877

Underlying: Common Stock, par value $0.01 per share · 50,813 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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 New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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 New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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: 0001273685-21-000015 · wf-form4_161196586517386.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,356

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2018. 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, 2020.

F3 · shares: The Compensation Committee of the Board of Directors of NYMT has confirmed and certified that the PSUs vested at a level above target.

SEC source: 0001273685-21-000015 · wf-form4_161196586517386.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,801

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 2020 Annual Incentive Plan, 1/3of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant.

SEC source: 0001273685-21-000013 · wf-form4_161196583398766.xml · derivative · entry 2

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,005

Underlying: Common Stock, par value $0.01 per share · 135,501 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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.

F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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.

F2 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 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: 0001273685-21-000013 · wf-form4_161196583398766.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,326

F1 · kind: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan as payment of the restricted stock portion of compensation earned by the Reporting Person pursuant to NYMT's 2020 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: 0001273685-21-000005 · wf-form4_160988374282005.xml · derivative · entry 3

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,205

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.

F4 · 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.

F4 · 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.

F4 · 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: 0001273685-21-000005 · wf-form4_160988374282005.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,020,031

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

SEC source: 0001273685-21-000005 · wf-form4_160988374282005.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,033,014

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: 0001273685-21-000006 · wf-form4_160988379791098.xml · derivative · entry 2

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,834

Underlying: Common Stock, par value $0.01 per share · 8,918 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.

F3 · 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.

F3 · 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.

F3 · 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: 0001273685-21-000006 · wf-form4_160988379791098.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,185

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: 0001273685-21-000008 · wf-form4_160988383548168.xml · derivative · entry 3

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,504

Underlying: Common Stock, par value $0.01 per share · 26,753 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 80,257 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 80,257 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 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001273685-21-000008 · wf-form4_160988383548168.xml · nonDerivative · entry 2

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,525

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

SEC source: 0001273685-21-000008 · wf-form4_160988383548168.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,911

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: 0001273685-21-000007 · wf-form4_160988381966365.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,064

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.

F3 · 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.

F3 · 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.

F3 · 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: 0001273685-21-000007 · wf-form4_160988381966365.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,626

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: 0001273685-20-000075 · wf-form4_159406693674468.xml · nonDerivative · entry 1

Hainey Alan L · CIK 0001295229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,504

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.

SEC source: 0001273685-20-000076 · wf-form4_159406702523468.xml · nonDerivative · entry 1

Norcutt Steven G · CIK 0001294794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,824

F1 · shares: Represents the sum of the annual stock grant for non-employee directors and 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 $2.58 per share. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

F1 · price: Represents the sum of the annual stock grant for non-employee directors and 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 $2.58 per share. Shares of common stock were issued pursuant to the New York Mortgage Trust, Inc. 2017 Stock Incentive Plan.

SEC source: 0001273685-20-000072 · wf-form4_159406670771126.xml · nonDerivative · entry 1

Bock David R · CIK 0001294801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,840

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.

SEC source: 0001273685-20-000074 · wf-form4_159406687158105.xml · nonDerivative · entry 1

Clement Michael B. · CIK 0001677585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,163

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: 0001273685-20-000073 · wf-form4_159406681472888.xml · nonDerivative · entry 1

Pendergast Lisa A · CIK 0001735205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,478

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: 0001273685-20-000036 · wf-form4_158413682125586.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,267

F1 · shares: Represents an open market purchase of New York Mortgage Trust's common stock, par value $0.01 per share, on March 13, 2020.

SEC source: 0001273685-20-000032 · wf-form4_158412610322117.xml · nonDerivative · entry 1

Norcutt Steven G · CIK 0001294794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,801

F1 · shares: Represents an open market purchase of New York Mortgage Trust's common stock, par value $0.01 per share, on March 13, 2020.

SEC source: 0001273685-20-000030 · wf-form4_158411950528994.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,911

F1 · shares: Represents an open market purchase of New York Mortgage Trust's common stock, par value $0.01 per share, on March 13, 2020.

SEC source: 0001273685-20-000034 · wf-form4_158413265924264.xml · nonDerivative · entry 3

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,158

F1 · shares: Represents three separate open market purchases of New York Mortgage Trust's common stock, par value $0.01 per share, on March 13, 2020.

SEC source: 0001273685-20-000034 · wf-form4_158413265924264.xml · nonDerivative · entry 2

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,068

F1 · shares: Represents three separate open market purchases of New York Mortgage Trust's common stock, par value $0.01 per share, on March 13, 2020.

SEC source: 0001273685-20-000034 · wf-form4_158413265924264.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,668

F1 · shares: Represents three separate open market purchases of New York Mortgage Trust's common stock, par value $0.01 per share, on March 13, 2020.

SEC source: 0001273685-20-000031 · wf-form4_158411961006619.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,594

F1 · shares: Represents an open market purchase of New York Mortgage Trust's common stock, par value $0.01 per share, on March 13, 2020.

SEC source: 0001273685-20-000026 · wf-form4_158394975977224.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,094

F1 · shares: Represents an open market purchase of New York Mortgage Trust's common stock, par value $0.01 per share, on March 11, 2020.

SEC source: 0001273685-20-000025 · wf-form4_158394963288378.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 968,911

F1 · shares: Represents two separate, open market purchases of New York Mortgage Trust's common stock, par value $0.01 per share, on March 10, 2020.

SEC source: 0001273685-20-000025 · wf-form4_158394963288378.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 919,408

F1 · shares: Represents two separate, open market purchases of New York Mortgage Trust's common stock, par value $0.01 per share, on March 10, 2020.

SEC source: 0001273685-20-000020 · wf-form4_158206865094712.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918,911

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: 0001273685-20-000016 · wf-form4_158103056976519.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 927,637

F2 · 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: 0001273685-20-000014 · wf-form4_158103016739036.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,267

F1 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) as payment of the restricted stock portion of compensation earned by Mr. Reese pursuant to NYMT's 2019 Amended and Restated 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: 0001273685-20-000016 · wf-form4_158103056976519.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,591

F1 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) as payment of the restricted stock portion of compensation earned by Mr. Mumma pursuant to NYMT's 2019 Amended and Restated 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.