Mumma Steven R

SEC source: 0001273685-26-000057 · wk-form4_1782228922.xml · derivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,378

Underlying: Common Stock, par value $0.01 per share · 14,238 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the Adamas Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-25-000059 · wk-form4_1749844994.xml · derivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,140

Underlying: Common Stock, par value $0.01 per share · 18,678 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan"), that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-25-000022 · wk-form4_1738192950.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 491,541

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: 0001273685-24-000070 · wk-form4_1724700019.xml · derivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,462

Underlying: Common Stock, par value $0.01 per share · 18,462 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan") that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.exercise_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan") that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

F1 · derivative.expiration_date: Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan") that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the date of a Change in Control (as defined in the Plan).

SEC source: 0001273685-24-000023 · wk-form4_1706582866.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 501,169

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: 0001273685-24-000016 · wk-form4_1706220334.xml · nonDerivative · entry 2

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 515,458

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

SEC source: 0001273685-24-000016 · wk-form4_1706220334.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 567,520

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 464,540

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

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

F2 · balance_after: On March 9, 2023, NYMT effected a one-for-four reverse stock split of its common stock. The amount of securities reported has been adjusted to reflect the reverse stock split.

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,810,348

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,852,688

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,908,239

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,754,146

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,810,799

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,200

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

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

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

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

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,401

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

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

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

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

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791,382

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,812,407

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2021.

F2 · price: Each RSU is the economic equivalent of one share of common stock of New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,758,206

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

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

Mumma Steven R · CIK 0001294797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,771,626

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2020.

F2 · price: Each RSU is the economic equivalent of one share of common stock of New York Mortgage Trust ("NYMT"). Each RSU was settled in one share of common stock of NYMT.

SEC source: 0001273685-22-000012 · 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: 0001273685-22-000001 · 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: 0001273685-21-000027 · 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: 0001273685-21-000020 · 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: 0001273685-21-000016 · 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: 0001273685-21-000005 · 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: 0001273685-20-000030 · 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: 0001273685-20-000025 · 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: 0001273685-20-000016 · 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.

SEC source: 0001273685-20-000002 · wf-form4_157808770199461.xml · derivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,308

Underlying: Common Stock, par value $0.01 per share · 96,308 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 and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to 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 and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to 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 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: 0001273685-19-000045 · wf-form4_155838742026337.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 693,776

F1 · shares: Surrendered to satisfy the tax liability incident to the vesting of shares of restricted stock issued pursuant to New York Mortgage Trust's 2010 Stock Incentive Plan.

SEC source: 0001273685-19-000013 · wf-form4_155001312839553.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 709,592

F1 · shares: Surrendered to satisfy the tax liability incident to the vesting of shares of restricted stock issued pursuant to New York Mortgage Trust's 2010 Stock Incentive Plan.

SEC source: 0001273685-19-000010 · wf-form4_154957565128627.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 732,415

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. Mumma 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: 0001273685-18-000040 · wf-form4_152667028524030.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,446

F1 · shares: Surrendered to satisfy the tax liability incident to the vesting of shares of restricted stock issued pursuant to New York Mortgage Trust's 2010 Stock Incentive Plan.

SEC source: 0001273685-18-000008 · wf-form4_151881781832265.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 656,526

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: 0001273685-18-000011 · wf-form4a_151913606214499.xml · nonDerivative · entry 1

Mumma Steven R · CIK 0001294797 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 656,526

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.