Reese Nathan R

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

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,867

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

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

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,613

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

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

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,044

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

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

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,240

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

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

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,953

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

SEC source: 0001273685-23-000013 · 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: 0001273685-22-000015 · 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: 0001273685-22-000002 · 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: 0001273685-21-000021 · 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: 0001273685-21-000014 · 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: 0001273685-21-000006 · 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: 0001273685-20-000036 · 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: 0001273685-20-000014 · 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: 0001273685-20-000004 · wf-form4_157808821672276.xml · derivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,752

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

Expires not disclosed

F1 · 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 2020 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 andconditions 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 ofNYMT common stock underlying the RSUs.

F1 · 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 2020 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 andconditions 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 ofNYMT common stock underlying the RSUs.

F1 · 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 2020 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 andconditions 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 ofNYMT common stock underlying the RSUs.

SEC source: 0001273685-19-000011 · wf-form4_154957576539729.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,773

F1 · shares: 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 Mr. Reese pursuant to NYMT's 2018 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: 0001273685-18-000009 · wf-form4_151881787404216.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Managing Director / Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,757

F1 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's 2017 Stock 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: 0001273685-18-000013 · wf-form4a_151913620594362.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Managing Director / Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,757

F1 · date: The reporting person is amending the previously filed Form 4 of 02/16/2018 to correct the date of earliest transaction and transaction date, which were incorrectly reported in the original Form 4 as 02/16/2018

F2 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's 2017 Stock 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: 0001273685-17-000006 · wf-form4_148676175072181.xml · nonDerivative · entry 1

Reese Nathan R · CIK 0001462291 · Managing Director / Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,511