Nario-Eng Kristine Rimando

SEC source: 0001273685-26-000022 · wk-form4_1769638122.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,546

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: 0001273685-26-000017 · wk-form4_1769465471.xml · derivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,543

Underlying: Common Stock, par value $0.01 per share · 61,989 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: 0001273685-26-000009 · wk-form4_1767395969.xml · derivative · entry 9

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,554

Underlying: Common Stock, par value $0.01 per share · 24,123 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 72,368 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 72,368 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 72,368 RSUs, vesting in three equal annual installments beginning on January 1, 2026.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · derivative · entry 8

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,677

Underlying: Common Stock, par value $0.01 per share · 12,309 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 36,928 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 36,928 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 36,928 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · derivative · entry 7

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,986

Underlying: Common Stock, par value $0.01 per share · 9,765 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 29,297 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 29,297 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 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 6

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,297

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

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 5

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,639

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: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 4

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 146,516

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

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 3

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,827

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: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 2

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,518

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

SEC source: 0001273685-26-000009 · wk-form4_1767395969.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,287

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: 0001273685-25-000012 · wk-form4_1737757795.xml · derivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,751

Underlying: Common Stock, par value $0.01 per share · 72,368 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: 0001273685-25-000006 · wk-form4_1735858577.xml · derivative · entry 9

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,383

Underlying: Common Stock, par value $0.01 per share · 12,310 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 36,928 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 36,928 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 36,928 RSUs, vesting in three equal annual installments beginning on January 1, 2025.

SEC source: 0001273685-25-000006 · wk-form4_1735858577.xml · derivative · entry 8

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,693

Underlying: Common Stock, par value $0.01 per share · 9,766 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 29,297 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 29,297 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 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-25-000006 · wk-form4_1735858577.xml · derivative · entry 7

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,459

Underlying: Common Stock, par value $0.01 per share · 4,200 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 12,600 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 12,600 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 12,600 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-25-000006 · wk-form4_1735858577.xml · nonDerivative · entry 6

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,522

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: 0001273685-25-000006 · wk-form4_1735858577.xml · nonDerivative · entry 5

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 144,655

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: 0001273685-25-000006 · wk-form4_1735858577.xml · nonDerivative · entry 4

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,345

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: 0001273685-25-000006 · wk-form4_1735858577.xml · nonDerivative · entry 3

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,001

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: 0001273685-25-000006 · wk-form4_1735858577.xml · nonDerivative · entry 2

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,235

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: 0001273685-25-000006 · wk-form4_1735858577.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,439

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: 0001273685-24-000040 · wk-form4_1712866101.xml · derivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,659

Underlying: Common Stock, par value $0.01 per share · 36,928 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: 0001273685-24-000024 · wk-form4_1706582880.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,239

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: 0001273685-24-000017 · wk-form4_1706220348.xml · nonDerivative · entry 2

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,966

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

SEC source: 0001273685-24-000017 · wk-form4_1706220348.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,413

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: 0001273685-24-000007 · wk-form4_1704325611.xml · derivative · entry 9

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,731

Underlying: Common Stock, par value $0.01 per share · 9,766 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 29,297 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 29,297 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 29,297 RSUs, vesting in three equal annual installments beginning on January 1, 2024.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · derivative · entry 8

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,497

Underlying: Common Stock, par value $0.01 per share · 4,200 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 12,600 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 12,600 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 12,600 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · derivative · entry 7

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,697

Underlying: Common Stock, par value $0.01 per share · 4,234 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 12,703 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 12,703 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 12,703 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 6

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,232

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: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 5

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,511

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: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 4

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,745

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: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 3

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,888

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: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 2

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,688

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: 0001273685-24-000007 · wk-form4_1704325611.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,850

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: 0001273685-23-000064 · wf-form4_168262696778470.xml · derivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,931

Underlying: Common Stock, par value $0.01 per share · 29,297 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: 0001273685-23-000038 · wf-form4_167580790819766.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,465

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: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 4

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,770

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

SEC source: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 3

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,176

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: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 2

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,022

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: 0001273685-23-000028 · wf-form4_167521241433774.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,058

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: 0001273685-23-000012 · wf-form4_167287004047484.xml · derivative · entry 9

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,539

Underlying: Common Stock, par value $0.01 per share · 16,801 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 50,403 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 50,403 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 50,403 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · derivative · entry 8

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,340

Underlying: Common Stock, par value $0.01 per share · 16,938 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 50,813 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 50,813 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 50,813 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · derivative · entry 7

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,278

Underlying: Common Stock, par value $0.01 per share · 10,032 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.

F8 · kind: On January 1, 2020, the Reporting Person was granted 30,096 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 30,096 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 30,096 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 6

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,687

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

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 5

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,382

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: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 4

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,581

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

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 3

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,382

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: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 2

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,444

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

SEC source: 0001273685-23-000012 · wf-form4_167287004047484.xml · nonDerivative · entry 1

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,064

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

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

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

SEC source: 0001273685-22-000013 · wf-form4_164367840544452.xml · derivative · entry 3

Nario-Eng Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,310

Underlying: Common Stock, par value $0.01 per share · 50,403 shares

Expires not disclosed

F3 · 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.

F3 · 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.

F3 · 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.