Mah Nicholas

SEC source: 0001273685-26-000021 · wk-form4_1769638116.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 251,456

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

SEC source: 0001273685-26-000016 · wk-form4_1769465466.xml · derivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,337

Underlying: Common Stock, par value $0.01 per share · 127,321 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas 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 Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas 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 Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to Adamas Trust, Inc.'s ("Adamas") 2017 Equity Incentive Plan (as amended) under Adamas's 2026 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2027, January 1, 2028 and January 1, 2029. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of Adamas 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 Adamas equivalent to any dividends paid by Adamas on the shares of Adamas common stock underlying the RSUs.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · derivative · entry 9

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,016

Underlying: Common Stock, par value $0.01 per share · 48,948 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 Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F10 · kind: On January 23, 2025, the Reporting Person was granted 146,842 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.exercise_date: On January 23, 2025, the Reporting Person was granted 146,842 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

F10 · derivative.expiration_date: On January 23, 2025, the Reporting Person was granted 146,842 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · derivative · entry 8

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 178,964

Underlying: Common Stock, par value $0.01 per share · 32,122 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 Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F9 · kind: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.exercise_date: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F9 · derivative.expiration_date: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · derivative · entry 7

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,086

Underlying: Common Stock, par value $0.01 per share · 24,414 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 Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

F8 · kind: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.exercise_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F8 · derivative.expiration_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 6

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,693

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

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 5

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,477

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 2025.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 4

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,529

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

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 3

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,034

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 April 2024.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,912

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

SEC source: 0001273685-26-000011 · wk-form4_1767395994.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,421

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 April 2023.

F2 · price: Each RSU is the economic equivalent of one share of common stock of Adamas Trust, Inc. ("Adamas"). Each RSU was settled in one share of common stock of Adamas.

SEC source: 0001273685-25-000023 · wk-form4_1738192960.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 207,007

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: 0001273685-25-000013 · wk-form4_1737757808.xml · derivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 235,500

Underlying: Common Stock, par value $0.01 per share · 146,842 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2025 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2026, January 1, 2027 and January 1, 2028. 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 NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2025 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2026, January 1, 2027 and January 1, 2028. 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 NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2025 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of January 1, 2026, January 1, 2027 and January 1, 2028. 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: 0001273685-25-000004 · wk-form4_1735858556.xml · derivative · entry 9

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,658

Underlying: Common Stock, par value $0.01 per share · 32,122 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.

F11 · kind: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F11 · derivative.exercise_date: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

F11 · derivative.expiration_date: On April 10, 2024, the Reporting Person was granted 96,366 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-25-000004 · wk-form4_1735858556.xml · derivative · entry 8

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,780

Underlying: Common Stock, par value $0.01 per share · 24,414 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 April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F10 · derivative.exercise_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F10 · derivative.expiration_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-25-000004 · wk-form4_1735858556.xml · derivative · entry 7

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,194

Underlying: Common Stock, par value $0.01 per share · 7,467 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, 2022, the Reporting Person was granted 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F9 · derivative.exercise_date: On January 27, 2022, the Reporting Person was granted 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F9 · derivative.expiration_date: On January 27, 2022, the Reporting Person was granted 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-25-000004 · wk-form4_1735858556.xml · nonDerivative · entry 6

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 214,691

F8 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above.

F3 · 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: 0001273685-25-000004 · wk-form4_1735858556.xml · nonDerivative · entry 5

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,700

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.

F7 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2024.

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.

F3 · 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: 0001273685-25-000004 · wk-form4_1735858556.xml · nonDerivative · entry 4

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 199,578

F6 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above.

F3 · 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: 0001273685-25-000004 · wk-form4_1735858556.xml · nonDerivative · entry 3

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,580

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.

F5 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023.

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.

F3 · 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: 0001273685-25-000004 · wk-form4_1735858556.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,166

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

F3 · 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: 0001273685-25-000004 · wk-form4_1735858556.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,284

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 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.

F3 · 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: 0001273685-24-000041 · wk-form4_1712866113.xml · derivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,661

Underlying: Common Stock, par value $0.01 per share · 96,366 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2024 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each January 1, 2025, January 1, 2026 and January 1, 2027. 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 NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2024 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each January 1, 2025, January 1, 2026 and January 1, 2027. 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 NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2024 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each January 1, 2025, January 1, 2026 and January 1, 2027. 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: 0001273685-24-000022 · wk-form4_1706582851.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,817

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: 0001273685-24-000015 · wk-form4_1706220321.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,994

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

SEC source: 0001273685-24-000015 · wk-form4_1706220321.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,986

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: 0001273685-24-000008 · wk-form4_1704325873.xml · derivative · entry 9

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,295

Underlying: Common Stock, par value $0.01 per share · 24,414 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.

F11 · kind: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F11 · derivative.exercise_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

F11 · derivative.expiration_date: On April 25, 2023, the Reporting Person was granted 73,242 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · derivative · entry 8

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,709

Underlying: Common Stock, par value $0.01 per share · 7,467 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 22,401 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 22,401 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 22,401 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · derivative · entry 7

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,176

Underlying: Common Stock, par value $0.01 per share · 7,527 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 22,583 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 22,583 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 22,583 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 6

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,774

F8 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above.

F3 · 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: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 5

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,953

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.

F7 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023.

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.

F3 · 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: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 4

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,539

F6 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above.

F3 · 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: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 3

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,745

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.

F5 · 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.

F3 · 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: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 2

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,278

F4 · kind: Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

F3 · 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: 0001273685-24-000008 · wk-form4_1704325873.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,537

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 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.

F3 · 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: 0001273685-23-000063 · wf-form4_168262693864866.xml · derivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,703

Underlying: Common Stock, par value $0.01 per share · 73,242 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. 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 NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. 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 NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2023 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on January 1, 2024, January 1, 2025 and January 1, 2026. 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 · 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: 0001273685-23-000036 · wf-form4_167580787312574.xml · nonDerivative · entry 1

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 612,041

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,610

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 665,110

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 579,503

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608,852

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,848

Underlying: Common Stock, par value $0.01 per share · 29,869 shares

Expires not disclosed

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

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

F10 · kind: On January 27, 2022, the Reporting Person was granted 89,606 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.exercise_date: On January 27, 2022, the Reporting Person was granted 89,606 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

F10 · derivative.expiration_date: On January 27, 2022, the Reporting Person was granted 89,606 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,717

Underlying: Common Stock, par value $0.01 per share · 30,111 shares

Expires not disclosed

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

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

F9 · kind: On January 27, 2021, the Reporting Person was granted 90,334 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.exercise_date: On January 27, 2021, the Reporting Person was granted 90,334 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F9 · derivative.expiration_date: On January 27, 2021, the Reporting Person was granted 90,334 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,828

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

Expires not disclosed

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

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

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

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

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 560,308

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 572,984

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

F6 · kind: Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2022.

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 543,115

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 556,921

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

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

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,810

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

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

Mah Nicholas · CIK 0001960129 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,024

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

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

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