0001273685-24-000073.txt : 20240826 0001273685-24-000073.hdr.sgml : 20240826 20240826152056 ACCESSION NUMBER: 0001273685-24-000073 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240822 FILED AS OF DATE: 20240826 DATE AS OF CHANGE: 20240826 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pendergast Lisa A CENTRAL INDEX KEY: 0001735205 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 241240663 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_1724700049.xml FORM 4 X0508 4 2024-08-22 0 0001273685 NEW YORK MORTGAGE TRUST INC NYMT 0001735205 Pendergast Lisa A C/O NEW YORK MORTGAGE TRUST, INC. 90 PARK AVENUE NEW YORK NY 10016 1 0 0 0 0 Deferred Stock Units 0 2024-08-22 4 A 0 18462 0 A Common Stock, par value $0.01 per share 18462 18462 D Represents an award of deferred stock units ("DSUs") granted to the Reporting Person pursuant to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan, as amended from time to time (the "Plan") that may be settled only for shares of common stock on a one-for-one basis. The DSUs will vest on the day immediately preceding the date of the Issuer's annual meeting of stockholders that occurs in the calendar year immediately following the calendar year in which the date of grant occurs, so long as the Reporting Person continuously provides services to the Issuer through such vesting date. Pursuant to the Reporting Person's election under the award agreement, settlement of the vested DSUs has been deferred until the earliest to occur of the date of a Change in Control (as defined in the Plan) or the date that is the third anniversary of the date of grant. /s/ Kristine R. Nario-Eng, as attorney-in-fact 2024-08-26