Serrano Jason T

SEC source: 0001273685-26-000023 · wk-form4_1769638127.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 389,714

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: 0001273685-26-000015 · wk-form4_1769465460.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 427,216

Underlying: Common Stock, par value $0.01 per share · 216,711 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: 0001273685-26-000010 · wk-form4_1767395984.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,505

Underlying: Common Stock, par value $0.01 per share · 84,737 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 254,211 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 254,211 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 254,211 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,242

Underlying: Common Stock, par value $0.01 per share · 41,032 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each RSU is the economic equivalent of one share of common stock of 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 123,095 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 123,095 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 123,095 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 336,274

Underlying: Common Stock, par value $0.01 per share · 34,179 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 102,539 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 102,539 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 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 395,541

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

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 440,181

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: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 355,444

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

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,899

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: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,867

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

SEC source: 0001273685-26-000010 · wk-form4_1767395984.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 355,007

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: 0001273685-25-000021 · wk-form4_1738192940.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 320,828

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: 0001273685-25-000011 · wk-form4_1737757779.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 370,453

Underlying: Common Stock, par value $0.01 per share · 254,211 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: 0001273685-25-000005 · wk-form4_1735858566.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,242

Underlying: Common Stock, par value $0.01 per share · 41,032 shares

Expires not disclosed

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

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

F11 · kind: On April 10, 2024, the Reporting Person was granted 123,095 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 123,095 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 123,095 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-25-000005 · wk-form4_1735858566.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,274

Underlying: Common Stock, par value $0.01 per share · 34,180 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 102,539 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 102,539 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 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-25-000005 · wk-form4_1735858566.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 191,454

Underlying: Common Stock, par value $0.01 per share · 12,320 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 36,962 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 36,962 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 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-25-000005 · wk-form4_1735858566.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332,669

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: 0001273685-25-000005 · wk-form4_1735858566.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,205

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: 0001273685-25-000005 · wk-form4_1735858566.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,173

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: 0001273685-25-000005 · wk-form4_1735858566.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 329,808

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: 0001273685-25-000005 · wk-form4_1735858566.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,628

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: 0001273685-25-000005 · wk-form4_1735858566.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,944

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: 0001273685-24-000042 · wk-form4_1712866125.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,774

Underlying: Common Stock, par value $0.01 per share · 123,095 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 of 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 of 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 of 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: 0001273685-24-000025 · wk-form4_1706582894.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,624

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: 0001273685-24-000014 · wk-form4_1706220307.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,952

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

SEC source: 0001273685-24-000014 · wk-form4_1706220307.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,836

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: 0001273685-24-000009 · wk-form4_1704326148.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,679

Underlying: Common Stock, par value $0.01 per share · 34,180 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 102,539 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 102,539 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 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,859

Underlying: Common Stock, par value $0.01 per share · 12,321 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 36,962 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 36,962 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 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,180

Underlying: Common Stock, par value $0.01 per share · 11,291 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 33,875 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 33,875 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 33,875 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,019

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: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 282,175

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: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,995

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: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 254,260

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: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 241,939

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: 0001273685-24-000009 · wk-form4_1704326148.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,862

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: 0001273685-23-000062 · wf-form4_168262692036670.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,471

Underlying: Common Stock, par value $0.01 per share · 102,539 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: 0001273685-23-000035 · wf-form4_167580785189581.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 946,284

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: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,307

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

SEC source: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,029,973

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: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 901,562

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: 0001273685-23-000026 · wf-form4_167521238088950.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 948,817

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: 0001273685-23-000015 · wf-form4_167287015232325.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,733

Underlying: Common Stock, par value $0.01 per share · 49,283 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 147,849 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 147,849 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 147,849 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,016

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

Expires not disclosed

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

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

F9 · kind: On January 27, 2021, the Reporting Person was granted 135,501 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 135,501 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 135,501 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,183

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

Expires not disclosed

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

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

F8 · kind: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.exercise_date: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F8 · derivative.expiration_date: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816,940

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

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,178

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: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 785,895

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

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 804,476

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: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 759,309

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

SEC source: 0001273685-23-000015 · wf-form4_167287015232325.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,657

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.