-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RAvI1a4bT2jnZSC0lP1F5SN29WKYL75oDBAxYA6IL7ziKrUcJdVibQQ84KbxPoEB FRupBBt2n6NVcPLckd9kTQ== 0001437749-09-001522.txt : 20091026 0001437749-09-001522.hdr.sgml : 20091026 20091026164521 ACCESSION NUMBER: 0001437749-09-001522 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20091023 ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20091026 DATE AS OF CHANGE: 20091026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK MORTGAGE TRUST INC CENTRAL INDEX KEY: 0001273685 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 470934168 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32216 FILM NUMBER: 091137248 BUSINESS ADDRESS: STREET 1: 52 VANDERBILT AVENUE STREET 2: SUITE 403 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: (212) 792-0107 MAIL ADDRESS: STREET 1: 52 VANDERBILT AVENUE STREET 2: SUITE 403 CITY: NEW YORK STATE: NY ZIP: 10017 8-K 1 nymt_8k-102609.htm CURRENT REPORT nymt_8k-102609.htm
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K
 
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported):   October 23, 2009
 
NEW YORK MORTGAGE TRUST, INC.
(Exact name of registrant as specified in its charter)
 
Maryland
001-32216
47-0934168
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)


52 Vanderbilt Avenue, Suite 403
New York, New York  10017
(Address and zip code of
principal executive offices)

Registrant’s telephone number, including area code: (212) 792-0107
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[  ]
Written communications pursuant to Rule 425 under the Securities Act  (17 CFR 230.425)
 
[  ]
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
[  ]
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
[  ]
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
 
 
Item 7.01.                  Regulation FD Disclosure.

On October 23, 2009, New York Mortgage Trust, Inc. issued a press release regarding its filing of a shelf registration statement on Form S-3 under the Securities Act of 1933, as amended.  A copy of the press release is furnished herewith as Exhibit 99.1 and incorporated by reference herein.

Item 9.01.                  Financial Statements and Exhibits.

(d)  Exhibits.

 
99.1
Press Release dated October 23, 2009.

 
 
 
SIGNATURE
 
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
 
 
NEW YORK MORTGAGE TRUST, INC.
(Registrant)
  
       
       
Date:  October 23, 2009 
By:
/s/ Steven R. Mumma  
   
Name:  Steven R. Mumma
Title:    Chief Executive Officer
  
       
 
 

 
 
 
 
EXHIBIT INDEX
 
 
Exhibit   Description
   
99.1
Press Release dated October 23, 2009.

 
 EX-99.1 2 ex99-1.htm PRESS RELEASE ex99-1.htm
Exhibit 99.1

 
New York Mortgage Trust Announces Filing of Shelf Registration Statement

NEW YORK, Oct. 23 /PRNewswire-FirstCall/ -- New York Mortgage Trust, Inc. (the "Company") (Nasdaq: NYMT) today announced that it has filed a shelf registration statement or Form S-3 with the Securities and Exchange Commission ("SEC").

Upon being declared effective by the SEC, the shelf registration statement will allow the Company, subject to certain transaction requirements, to raise up to an aggregate of $50 million through the sale of common stock, through one or more offerings from time to time in the future, including offerings that may be deemed "at the market" offerings. In accordance with the transaction requirements of Form S-3, until such time as the aggregate market value of the Company's common stock held by non-affiliates (the "Company's Public Float") exceeds $75 million, the Company will be limited to issuing shares from the shelf registration statement during a rolling period of 12 calendar months with an aggregate market value that does not exceed one-third of the Company's Public Float.  Pursuant to the shelf registration statement filed with the SEC, the net proceeds from the sale of any shares to be registered thereunder will be used to finance the acquisition of Agency RMBS, non-Agency RMBS and other alternative assets, subject to maintaining the Company's REIT qualification and its exemption under the Investment Company Act of 1940, as amended, as well as for other general corporate purposes described in the shelf registration statement.

The shelf registration statement has been filed with the SEC but has not yet become effective. These securities may not be sold nor may offers to buy these securities be accepted prior to the time the shelf registration statement becomes effective. This press release shall not constitute an offer to sell or a solicitation of an offer to buy, nor shall there be any sale of these securities in any jurisdiction in which an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such jurisdiction. Any offering of the common stock covered under the shelf registration statement will be made solely by means of a prospectus and an accompanying prospectus supplement relating to that offering. This press release is being issued pursuant to and in accordance with Rule 135 under the Securities Act of 1933, as amended.

This press release contains "forward-looking statements" within the meaning of federal securities law. You should exercise caution in interpreting and relying on forward-looking statements because they involve known and unknown risks, uncertainties and other factors which are, in some cases, beyond the Company's control. Such risks and uncertainties include, but are not limited to, the Company's ability to obtain effectiveness of the shelf registration statement. The Company assumes no responsibility to issue updates to the forward-looking matters discussed in this press release.

About New York Mortgage Trust
New York Mortgage Trust, Inc. is a self-advised real estate investment trust (REIT) that invests primarily in real estate-related assets, including mortgage-backed securities ("RMBS") issued by Fannie Mae or Freddie Mac (each an "Agency") and high credit quality residential adjustable rate mortgage ("ARM") loans, and to a lesser extent, in certain alternative real-estate related and financial assets. As a REIT, the Company is not subject to federal income tax, provided that it distributes at least 90% of its REIT income to stockholders.

CONTACT:  Steven R. Mumma, CEO, President, Chief Financial Officer of New York Mortgage Trust, Inc., +1-212-792-0107, smumma@nymtrust.com; or Joe Calabrese (General), +1-212-827-3772 or Scott Eckstein (Analysts), +1-212-827-3776, both of Financial Relations Board



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