0001273685-24-000009.txt : 20240103
0001273685-24-000009.hdr.sgml : 20240103
20240103185602
ACCESSION NUMBER: 0001273685-24-000009
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240101
FILED AS OF DATE: 20240103
DATE AS OF CHANGE: 20240103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Serrano Jason T
CENTRAL INDEX KEY: 0001763908
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32216
FILM NUMBER: 24509014
MAIL ADDRESS:
STREET 1: 275 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10016
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NEW YORK MORTGAGE TRUST INC
CENTRAL INDEX KEY: 0001273685
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
ORGANIZATION NAME: 05 Real Estate & Construction
IRS NUMBER: 470934168
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 90 PARK AVENUE. 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: (212) 792-0107
MAIL ADDRESS:
STREET 1: 90 PARK AVENUE. 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
4
1
wk-form4_1704326148.xml
FORM 4
X0508
4
2024-01-01
0
0001273685
NEW YORK MORTGAGE TRUST INC
NYMT
0001763908
Serrano Jason T
C/O NEW YORK MORTGAGE TRUST, INC.
90 PARK AVENUE
NEW YORK
NY
10016
1
1
0
0
Chief Executive Officer
0
Common Stock, par value $0.01 per share
2024-01-01
4
M
0
11291
0
A
247862
D
Common Stock, par value $0.01 per share
2024-01-01
4
F
0
5923
8.53
D
241939
D
Common Stock, par value $0.01 per share
2024-01-01
4
M
0
12321
0
A
254260
D
Common Stock, par value $0.01 per share
2024-01-01
4
F
0
6265
8.53
D
247995
D
Common Stock, par value $0.01 per share
2024-01-01
4
M
0
34180
0
A
282175
D
Common Stock, par value $0.01 per share
2024-01-01
4
F
0
17156
8.53
D
265019
D
Restricted Stock Units
2024-01-01
4
M
0
11291
0
D
Common Stock, par value $0.01 per share
11291
127180
D
Restricted Stock Units
2024-01-01
4
M
0
12321
0
D
Common Stock, par value $0.01 per share
12321
114859
D
Restricted Stock Units
2024-01-01
4
M
0
34180
0
D
Common Stock, par value $0.01 per share
34180
80679
D
Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2021.
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.
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.
Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.
Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2022.
Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 5 above.
Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in April 2023.
Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 7 above.
On January 27, 2021, the Reporting Person was granted 33,875 RSUs, vesting in three equal annual installments beginning on January 1, 2022.
On January 27, 2022, the Reporting Person was granted 36,962 RSUs, vesting in three equal annual installments beginning on January 1, 2023.
On April 25, 2023, the Reporting Person was granted 102,539 RSUs, vesting in three equal annual installments beginning on January 1, 2024.
/s/ Kristine R. Nario-Eng, as attorney-in-fact
2024-01-03