# EDGAR Filing Document

**Accession Number:** 0001960129
**File Stem:** 0001273685-23-000006
**Filing Date:** 2023-1
**Character Count:** 8127
**Document Hash:** b5c2e5918b7edfad9e9b9e2f2e99b83e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001273685-23-000006.hdr.sgml**: 20230103

**ACCESSION NUMBER**: 0001273685-23-000006

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230101

**FILED AS OF DATE**: 20230103

**DATE AS OF CHANGE**: 20230103

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Mah Nicholas
- **CENTRAL INDEX KEY:** 0001960129

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-32216
- **FILM NUMBER:** 23503599

**MAIL ADDRESS:**
- **STREET 1:** 90 PARK AVENUE
- **STREET 2:** FLOOR 23
- **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]
- **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

## Ex-24

```
<pre>
POWER OF ATTORNEY

The undersigned (the Reporting Person) hereby constitutes and appoints Jason T. Serrano, Nathan R. Reese, Kristine R. Nario-Eng, Emily Stiller, Daniel M. LeBey, Esq., Christopher C. Green, Esq., Erin Walsh Torrez, Esq., Caroline N. Bailey, Esq., Maram Mahajna, Esq., Austin W. Scieszinski, Esq., and Selena Govan, Esq., and each of them, as the Reporting PersonTMs true and lawful attorney-in-fact to:

(1)  prepare, execute in the Reporting PersonTMs name and on the Reporting PersonTMs behalf, and submit to the U.S. Securities and Exchange Commission (the SEC) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the Reporting Person to make electronic filings with the SEC of reports required by Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (collectively, the Exchange Act);

(2)  execute for and on behalf of the Reporting Person, in the Reporting PersonTMs capacity as President of New York Mortgage Trust, Inc., a Maryland corporation (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the Exchange Act;

(3)  do and perform any and all acts for and on behalf of the Reporting Person which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

(4)  take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the Reporting Person, it being understood that the documents executed by such attorney-in-fact on behalf of the Reporting Person pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-factTMs discretion.

The Reporting Person grants to such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the Reporting Person might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.  The Reporting Person acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the Reporting Person, is not assuming, nor is the Company assuming, any of the Reporting PersonTMs responsibilities to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in effect until the Reporting Person is no longer required to file Forms 3, 4 and 5 with respect to the Reporting PersonTMs holdings of, and transactions in securities issued by, the Company, unless earlier revoked by the Reporting Person in a signed writing delivered to the attorney-in-fact.

IN WITNESS WHEREOF, the Reporting Person has caused this Power of Attorney to be executed on December 27, 2022.

                    /s/ Nicholas Mah
</pre>
```

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Mah Nicholas<br><sub>(Last) (First) (Middle)</sub><br>C/O NEW YORK MORTGAGE TRUST, INC.<br>90 PARK AVENUE<br><sub>(Street)</sub><br>NEW YORK, NY 10016<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>NEW YORK MORTGAGE TRUST INC [ NYMT ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-01 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_President_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock, par value $0.01 per share | 517189 | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock, par value $0.01 per share | 167663.0 | $0.0 | D |  |

---

### Footnotes:

(1) Each restricted stock unit ("RSU") is the economic equivalent of one share of common stock of New York Mortgage Trust ("NYMT"). Each RSU is settled in one share of common stock of NYMT upon vesting and vests in three equal annual installments beginning on the first anniversary of the grant date. 77,815 RSUs will vest on January 1, 2023, 59,980 RSUs will vest on January 1, 2024 and 29,868 RSUs will vest on January 1, 2025.

**Remarks:**
Exhibit List: Exhibit 24.1 - Power of Attorney

**Signature:** /s/ Kristine R. Nario-Eng, as attorney-in-fact  
**Date:** 2023-01-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**