Serrano Jason T

SEC source: 0001273685-22-000021 · wf-form4_164435773672083.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 743,905

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

SEC source: 0001273685-22-000014 · wf-form4_164367879580034.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,935

Underlying: Common Stock, par value $0.01 per share · 147,849 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F4 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F4 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to NYMT's 2017 Equity Incentive Plan (as amended) under NYMT's 2022 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the Reporting Person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

SEC source: 0001273685-22-000014 · wf-form4_164367879580034.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 779,921

F3 · kind: Surrendered to satisfy tax liability incident to the settlement of PSUs described in Note 2 above.

SEC source: 0001273685-22-000014 · wf-form4_164367879580034.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 864,827

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: 0001273685-22-000014 · wf-form4_164367879580034.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 692,926

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: 0001273685-22-000006 · wf-form4_164185311705556.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,958

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: 0001273685-22-000004 · wf-form4_164133354565581.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,086

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.

F7 · kind: On January 27, 2021, the Reporting Person was granted 135,501 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 135,501 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 135,501 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-22-000004 · wf-form4_164133354565581.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,253

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.

F6 · 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.

F6 · 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.

F6 · 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: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 577,006

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

SEC source: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595,811

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: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,644

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

SEC source: 0001273685-22-000004 · wf-form4_164133354565581.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 561,996

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,244

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

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,005

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

Expires not disclosed

F2 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

F2 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2021 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms and conditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares of NYMT common stock underlying the RSUs.

SEC source: 0001273685-21-000013 · wf-form4_161196583398766.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,326

F1 · kind: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan as payment of the restricted stock portion of compensation earned by the Reporting Person pursuant to NYMT's 2020 Annual Incentive Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant.

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,504

Underlying: Common Stock, par value $0.01 per share · 26,753 shares

Expires not disclosed

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

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

F4 · kind: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F4 · derivative.exercise_date: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F4 · derivative.expiration_date: On January 1, 2020, the Reporting Person was granted 80,257 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,525

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

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,911

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

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

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

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,158

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

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,068

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

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

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,668

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

SEC source: 0001273685-20-000013 · wf-form4_158103000824887.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,158

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. Serrano 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: 0001273685-20-000008 · wf-form4_157808881114722.xml · derivative · entry 1

Serrano Jason T · CIK 0001763908 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,257

Underlying: Common Stock, par value $0.01 per share · 80,257 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2020 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first,second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms andconditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares ofNYMT common stock underlying the RSUs.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2020 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first,second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms andconditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares ofNYMT common stock underlying the RSUs.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Equity Incentive Plan (as amended) under NYMT's 2020 Long-Term Equity Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first,second and third anniversaries of the date of grant. Pursuant to a restricted stock unit award agreement (the "RSU Award Agreement"), the RSUs represent the right to receive shares of common stock of NYMT on a one-to-one basis upon vesting, subject to the terms andconditions of the RSU Award Agreement, and are granted in tandem with a corresponding dividend equivalent right that entitles, upon vesting, the reporting person to receive payments in cash or stock of NYMT equivalent to any dividends paid by NYMT on the shares ofNYMT common stock underlying the RSUs.

SEC source: 0001273685-19-000005 · wf-form4_154697742513348.xml · nonDerivative · entry 1

Serrano Jason T · CIK 0001763908 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,812

F1 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's 2017 Equity 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.