EX-FILING FEES 7 tm2420167d1_ex-filingfees.htm EX-FILING FEES

 

Exhibit 107

 

Calculation of Filing Fee Tables

 

Form S-3

(Form Type)

 

New York Mortgage Trust, Inc.

(Exact Name of Registrant as Specified in its Charter)

 

Table 1: Newly Registered and Carry Forward Securities

 

   Security Type  Security Class Title  Fee Calculation
or Carry
Forward Rule		  Amount
Registered		  Proposed
Maximum
Offering Price
Per Unit		  Maximum
Aggregate
Offering Price		  Fee Rate  Amount of
Registration Fee		   Carry
Forward
Form Type		  Carry
Forward
File
Number		  Carry
Forward
Initial
effective
date		  Filing Fee
Previously
Paid In
Connection
with
Unsold
Securities
to be
Carried
Forward
                                      
Newly Registered Securities
Fees to Be Paid  Equity  Series D Preferred Stock  457(o)  (1)  (1)  (1)  0.00014760                 
Fees to Be Paid  Equity  Series E Preferred Stock  457(o)  (1)  (1)  (1)  0.00014760                 
Fees to Be Paid  Equity  Series F Preferred Stock  457(o)  (1)  (1)  (1)  0.00014760                 
Fees to Be Paid  Equity  Series G Preferred Stock  457(o)  (1)  (1)  (1)  0.00014760                 
Fees to Be Paid  Equity  Common Stock  457(o)  (1)  (1)  (1)  0.00014760                 
Fees to Be Paid  Debt  Debt Securities  457(o)  (1)  (1)  (1)  0.00014760                 
Fees to Be Paid  Unallocated (Universal) Shelf  —  457(o)  N/A  Unallocated (Universal) Shelf  $300,000,000  0.00014760  $44,280             
Fees Previously Paid  —  —  —  —  —  —  —   —             
   Total Offering Amounts              $300,000,000  0.00014760  $44,280             
   Total Fees Previously Paid                     —             
   Total Fee Offsets                    $21,820             
   Net Fee Due                    $22,460             

 

Table 2: Fee Offset Claims and Sources

 

    Registrant or
Filer Name		   Form or
Filing
Type		   File Number   Initial
Filing
Date		   Filing
Date		     Fee Offset Claimed   Security Type
Associated
with Fee Offset
Claimed		   Security Title
Associated with Fee
Offset Claimed		     Unsold
Securities
Associated
with Fee
Offset
Claimed		     Unsold
Aggregate
Offering Amount
Associated with
Fee Offset
Claimed		     Fee Paid with
Fee Offset Source
                                                     
Rule 457(p)
Fee Offset Claims   New York Mortgage Trust, Inc.   424(b)(5)   333-258589   8/10/2021         $ 10,910(4)   Equity     Common Stock             $ 100,000,000      
Fee Offset Sources   New York Mortgage Trust, Inc.   POSASR   333-213316       02/26/2018         Unallocated (Universal) Shelf     Unallocated
(Universal) Shelf		                     $ 9,029.54 (2)(3)
Fee Offset Sources   New York Mortgage Trust, Inc.   424(b)(5)   333-258589       8/10/2021         Equity     Common Stock                     $ 1,880.46 (2)(3)
                                                           
Fee Offset Claims   New York Mortgage Trust, Inc.   424(b)(5)   333-258589   8/10/2021         $ 1,640(8)   Equity     Series B Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, Common Stock             $ 100,000,000      
Fee Offset Sources   New York Mortgage Trust, Inc.   424(b)(5)   333-226726       11/27/2019         Equity     Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Common Stock                     $ 10,693 (5)(6)
Fee Offset Sources   New York Mortgage Trust, Inc.   424(b)(5)   333-258589       8/10/2021         Equity     Series B Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, Common Stock                     $ 217 (5)(6)
                                                           
Fee Offset Claims   New York Mortgage Trust, Inc.   424(b)(5)   333-258589   3/02/2022         $ 9,270(9)   Equity     Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, Series G Preferred Stock, Common Stock             $ 100,000,000      

 

 

 

 

    Registrant or
Filer Name		   Form or
Filing
Type		   File Number   Initial
Filing
Date		   Filing
Date		     Fee Offset Claimed   Security Type
Associated
with Fee Offset
Claimed		   Security Title
Associated with Fee
Offset Claimed		     Unsold
Securities
Associated
with Fee
Offset
Claimed		     Unsold
Aggregate
Offering Amount
Associated with
Fee Offset
Claimed		     Fee Paid with
Fee Offset Source
                                                     
Rule 457(p)
Fee Offset Sources   New York Mortgage Trust, Inc.   424(b)(5)   333-226726         11/27/2019         Equity     Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Common Stock                     $ 10,693 (5)(6)(7)

 

(1)Includes an indeterminate amount of securities of each identified class that is being registered hereunder and that may be issued under this registration statement at indeterminate prices from time to time in primary offerings or upon exercise, settlement, conversion or exchange of any securities registered hereunder that provide for exercise, settlement, conversion or exchange. No additional consideration will be received for such additional shares issued upon exercise, settlement, conversion or exchange of any securities registered hereunder that provide for exercise, conversion or exchange, and therefore no registration fee is or will be required pursuant to Rule 457(i) under the Securities Act for such securities. Pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement shall be deemed to cover any additional number of securities that may be offered or issued from time to time upon stock splits, stock dividends or similar transactions. Pursuant to Instruction 2.A.iii.b of Item 16(b) of Form S-3, the proposed maximum aggregate offering price for each class that is being registered hereunder is not specified. The proposed maximum offering price per unit of each class that is being registered hereunder will be determined from time to time by the registrant in connection with the issuance by the registrant of the securities registered hereunder. In no event will the maximum aggregate offering price of all securities issued from time to time pursuant to this registration statement exceed $300,000,000.

 

(2)On February 26, 2018, the registrant filed a post-effective amendment (the “Post-Effective Amendment”) to the registrant’s registration statement on Form S-3 filed with the Securities and Exchange Commission (the “Commission”) on August 25, 2016 (Registration No. 333-213316). The Post-Effective Amendment registered securities with a maximum aggregate offering price of $300,000,000 for a registration fee of $37,350 (the “Post-Effective Amendment Fee”). The Post-Effective Amendment fee was offset by $11,548.82 from a registration fee previously paid but not utilized, pursuant to Rule 457(p) under the Securities Act and a $25,801.18 fee payment to the Commission. The registrant terminated the offering of unsold securities under the Post-Effective Amendment. At termination of the Post-Effective Amendment, securities with an aggregate offering price of $223,272,882.54 remained unsold and $27,797.47 of the Post-Effective Amendment Fee remained available for offsetting future registration fees of the registrant. On September 10, 2018, the registrant filed a prospectus supplement (the “2018 Common Prospectus Supplement”) to the prospectus included in the registrant’s registration statement on Form S-3 filed with the Commission on August 9, 2018 (File No. 333-226726) (the “2018 Registration Statement”). The 2018 Common Prospectus Supplement registered securities with a maximum aggregate offering price of $100,000,000 for a registration fee of $12,450 (the “2018 Common Registration Fee”). The 2018 Registration Fee was offset by $12,450 from a Post-Effective Amendment Fee, pursuant to Rule 457(p) under the Securities Act. The registrant terminated the offering of unsold securities under the 2018 Common Prospectus Supplement. At termination of the 2018 Common Prospectus Supplement, securities with an aggregate offering price of $72,526,459.42 remained unsold and $9,029.54 of the 2018 Common Registration Fee remained available for offsetting future registration fees of the registrant.

 

(3)On August 10, 2021, the registrant filed a prospectus supplement (the “2021 Common Prospectus Supplement”) to the prospectus included in the registrant’s registration statement on Form S-3 filed with the Commission on August 6, 2021 (File No. 333-258589) (the “2021 Registration Statement”). The 2021 Common Prospectus Supplement registered securities with a maximum aggregate offering price of $100,000,000 for a registration fee of $10,910 (the “2021 Common Registration Fee”). The 2021 Common Registration Fee was offset by $9,029.54 from the 2018 Common Registration Fee, pursuant to Rule 457(p) under the Securities Act, and a $1,880.46 fee payment to the Commission. The registrant terminated the offering of unsold securities under the 2021 Common Prospectus Supplement. At termination of the 2021 Common Prospectus Supplement, securities with an aggregate offering price of $100,000,000 remained unsold and $1,880.46 of the 2021 Common Registration Fee as well as $9,029.54 of the 2018 Common Registration Fee remained available for offsetting future registration fees of the registrant.

 

(4)Pursuant to Rule 457(p) under the Securities Act, the registrant is offsetting the registration fee of $44,280 due under this registration statement by $1,880.46 of the 2021 Common Registration Fee and $9,029.54 of the 2018 Common Registration Fee.

 

(5)On November 27, 2019, the registrant filed a prospectus supplement (the “2019 Prospectus Supplement”) to the prospectus included in the 2018 Registration Statement. The 2019 Prospectus Supplement registered securities with a maximum aggregate offering price of $100,000,000 for a registration fee of $12,980 (the “2019 Registration Fee”). The 2019 Registration Fee was offset by $2,245 from a registration fee previously paid but not utilized, pursuant to Rule 457(p) under the Securities Act, and a $10,735 fee payment to the Commission. The registrant terminated the offering of unsold securities under the 2019 Prospectus Supplement. At termination of the 2019 Prospectus Supplement, securities with an aggregate offering price of $82,383,410 remained unsold and $10,693 of the 2019 Registration Fee remained available for offsetting future registration fees of the registrant. As described in Note 7 below, on March 3, 2022, $9,270 of the 2019 Registration Fee was used to offset the 2022 Preferred Registration Fee (as defined below) and $1,423 of the 2019 Registration Fee remained available for offsetting future registration fees of the registrant payable within five years of the date of the 2019 Prospectus Supplement.

 

 

 

 

(6)On August 10, 2021, the registrant filed a prospectus supplement (the “2021 Preferred Prospectus Supplement”) to the prospectus included in the 2021 Registration Statement. The 2021 Preferred Prospectus Supplement registered securities with a maximum aggregate offering price of $100,000,000 for a registration fee of $10,910 (the “2021 Preferred Registration Fee”). The 2021 Preferred Registration Fee was offset by $10,693 from the 2019 Preferred Registration Fee, pursuant to Rule 457(p) under the Securities Act, and a $217 fee payment to the Commission. The registrant terminated the offering of unsold securities under the 2021 Preferred Prospectus Supplement. At termination of the 2021 Prospectus Supplement, securities with an aggregate offering price of $100,000,000 remained unsold and $217 of the 2021 Registration Fee as well as $10,693 of the 2019 Registration Fee remained available for offsetting future registration fees of the registrant. As described in Note 7 below, on March 3, 2022, $9,270 of the 2019 Registration Fee was used to offset the 2022 Preferred Registration Fee (as defined below) and $1,423 of the 2019 Registration Fee remained available for offsetting future registration fees of the registrant payable within five years of the date of the 2019 Prospectus Supplement.

 

(7)On March 3, 2022, the registrant filed a prospectus supplement (the “2022 Preferred Prospectus Supplement”) to the prospectus included in the 2021 Registration Statement. The 2022 Preferred Prospectus Supplement registered securities with a maximum aggregate offering price of $100,000,000 for a registration fee of $9,270 (the “2022 Preferred Registration Fee”). The 2022 Preferred Registration Fee was offset by $9,270 from the 2019 Preferred Registration Fee, pursuant to Rule 457(p) under the Securities Act. The registrant terminated the offering of unsold securities under the 2022 Preferred Prospectus Supplement. At termination of the 2022 Prospectus Supplement, securities with an aggregate offering price of $100,000,000 remained unsold and $217 of the 2021 Registration Fee as well as $1,423 of the 2019 Registration Fee remained available for offsetting future registration fees of the registrant.

 

(8)Pursuant to Rule 457(p) under the Securities Act, the registrant is offsetting the registration fee of $44,280 due under this registration statement by $1,423 of the 2019 Registration Fee and $217 of the 2021 Registration Fee.

 

(9)Pursuant to Rule 457(p) under the Securities Act, the registrant is offsetting the registration fee of $44,280 due under this registration statement by $9,270 of the 2019 Registration Fee.