Nario-Eng Kristine Rimando

SEC source: 0001273685-22-000013 · wf-form4_164367840544452.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,032

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: 0001273685-22-000013 · wf-form4_164367840544452.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,192

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: 0001273685-22-000003 · wf-form4_164133350984937.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,907

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.

F5 · kind: On January 27, 2021, the Reporting Person was granted 50,813 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

F5 · 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.

F5 · 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: 0001273685-22-000003 · wf-form4_164133350984937.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,845

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.

F4 · 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.

F4 · 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.

F4 · 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: 0001273685-22-000003 · wf-form4_164133350984937.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,326

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.

F3 · 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: 0001273685-22-000003 · wf-form4_164133350984937.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,388

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: 0001273685-21-000015 · wf-form4_161196586517386.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,877

Underlying: Common Stock, par value $0.01 per share · 50,813 shares

Expires not disclosed

F4 · 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.

F4 · 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.

F4 · 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: 0001273685-21-000015 · wf-form4_161196586517386.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,356

F2 · kind: Shares acquired pursuant to the settlement of performance-based stock units ("PSUs") granted to the Reporting Person in 2018. Per the terms of the award agreement governing the PSUs, the number of underlying shares of NYMT common stock that the recipient ultimately became entitled to receive at the time of vesting ranged from 0% to 200% of the target number of PSUs granted, subject to the achievement of a pre-established performance metric. The vesting of these PSUs was based on NYMT's total stockholder return for the three years ended December 31, 2020.

F3 · shares: The Compensation Committee of the Board of Directors of NYMT has confirmed and certified that the PSUs vested at a level above target.

SEC source: 0001273685-21-000015 · wf-form4_161196586517386.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,801

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

SEC source: 0001273685-21-000007 · wf-form4_160988381966365.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,064

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.

F3 · 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.

F3 · 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.

F3 · 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: 0001273685-21-000007 · wf-form4_160988381966365.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,626

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

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

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

SEC source: 0001273685-20-000031 · wf-form4_158411961006619.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,594

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

SEC source: 0001273685-20-000026 · wf-form4_158394975977224.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,094

F1 · shares: Represents an open market purchase of New York Mortgage Trust's common stock, par value $0.01 per share, on March 11, 2020.

SEC source: 0001273685-20-000015 · wf-form4_158103034086856.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,094

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 Mrs. Nario-Eng 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: 0001273685-20-000006 · wf-form4_157808853550766.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,096

Underlying: Common Stock, par value $0.01 per share · 30,096 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: 0001273685-19-000009 · wf-form4_154957553367448.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,600

F1 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's ("NYMT") 2017 Stock Incentive Plan as payment of the restricted stock portion of compensation earned by Mrs. Nario-Eng pursuant to NYMT's 2018 Annual Incentive Plan, 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant.

SEC source: 0001273685-18-000007 · wf-form4_151881775655361.xml · nonDerivative · entry 1

Nario Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,608

F1 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's 2017 Stock Incentive Plan., 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant.

SEC source: 0001273685-18-000012 · wf-form4a_151913614443138.xml · nonDerivative · entry 1

Nario Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,608

F1 · date: The reporting person is amending the previously filed Form 4 of 02/16/2018 to correct the date of earliest transaction and transaction date, which were incorrectly reported in the original Form 4 as 02/16/2018

F2 · shares: Represents shares of restricted stock issued pursuant to New York Mortgage Trust's 2017 Stock Incentive Plan., 1/3 of which will become fully vested and non-forfeitable on each of the first, second and third anniversaries of the date of grant.

SEC source: 0001273685-17-000009 · wf-form4_148676194456205.xml · nonDerivative · entry 1

Nario Kristine Rimando · CIK 0001608612 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,506