# EDGAR Filing Document

**Accession Number:** 0001273685
**File Stem:** 0001273685-23-000012
**Filing Date:** 2023-1
**Character Count:** 8092
**Document Hash:** 24df6da79c9f4845d6a6afdf5358b3c4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001273685-23-000012.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001273685-23-000012

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230101

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Nario-Eng Kristine Rimando
- **CENTRAL INDEX KEY:** 0001608612

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-32216
- **FILM NUMBER:** 23507739

**MAIL ADDRESS:**
- **STREET 1:** 275 MADISON AVENUE
- **STREET 2:** SUITE 3200
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10016

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Nario Kristine Rimando
- **DATE OF NAME CHANGE:** 20140520
**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

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Nario-Eng Kristine Rimando<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. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-01 | **5. 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>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NEW YORK MORTGAGE TRUST INC [ NYMT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **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

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, par value $0.01 per share | 2023-01-01 |  | M<sup>(1)</sup> |  | 10032 | A | 0<sup>(2)</sup> | 384064 | D |  |
| Common Stock, par value $0.01 per share | 2023-01-01 |  | F<sup>(3)</sup> |  | 4620 | D | $2.56 | 379444 | D |  |
| Common Stock, par value $0.01 per share | 2023-01-01 |  | M<sup>(4)</sup> |  | 16938 | A | 0<sup>(2)</sup> | 396382 | D |  |
| Common Stock, par value $0.01 per share | 2023-01-01 |  | F<sup>(5)</sup> |  | 7801 | D | $2.56 | 388581 | D |  |
| Common Stock, par value $0.01 per share | 2023-01-01 |  | M<sup>(6)</sup> |  | 16801 | A | 0<sup>(2)</sup> | 405382 | D |  |
| Common Stock, par value $0.01 per share | 2023-01-01 |  | F<sup>(7)</sup> |  | 7695 | D | $2.56 | 397687 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(2)</sup> | 2023-01-01 |  | M<sup>(8)</sup> |  |  | 10032 | <sup>(8)</sup> | <sup>(8)</sup> | Common Stock, par value $0.01 per share | 10032.0 | $0 | 84278 | D |  |
| Restricted Stock Units | <sup>(2)</sup> | 2023-01-01 |  | M<sup>(9)</sup> |  |  | 16938 | <sup>(9)</sup> | <sup>(9)</sup> | Common Stock, par value $0.01 per share | 16938.0 | $0 | 67340 | D |  |
| Restricted Stock Units | <sup>(2)</sup> | 2023-01-01 |  | M<sup>(10)</sup> |  |  | 16801 | <sup>(10)</sup> | <sup>(10)</sup> | Common Stock, par value $0.01 per share | 16801.0 | $0 | 50539 | D |  |

---

### Footnotes:

(1) Shares acquired pursuant to the settlement of restricted stock units ("RSUs") granted to the Reporting Person in January 2020.

(2) 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.

(3) Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 1 above.

(4) Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2021.

(5) Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 4 above.

(6) Shares acquired pursuant to the settlement of RSUs granted to the Reporting Person in January 2022.

(7) Surrendered to satisfy tax liability incident to the settlement of RSUs described in Note 6 above.

(8) On January 1, 2020, the Reporting Person was granted 30,096 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

(9) On January 27, 2021, the Reporting Person was granted 50,813 RSUs, vesting in three equal annual installments beginning on January 1, 2022.

(10) On January 27, 2022, the Reporting Person was granted 50,403 RSUs, vesting in three equal annual installments beginning on January 1, 2023.

**Signature:** /s/ Kristine R. Nario-Eng  
**Date:** 2023-01-04

### 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.**