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Name | Symbol | Market | Type |
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New York Mortgage Trust Inc | NASDAQ:NYMTP | NASDAQ | Preference Share |
Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 25.32 | 23.32 | 199,999.99 | 0 | 01:00:00 |
Maryland
(State or other jurisdiction of incorporation or organization)
|
47-0934168
(I.R.S. Employer Identification No.)
|
|
Christopher C. Green
Vinson & Elkins L.L.P. 2200 Pennsylvania Avenue NW Suite 500 West Washington, DC 20037 (202) 639-6500 |
Large accelerated filer ý
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Accelerated filer o
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Non-accelerated filer o
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Smaller reporting company o
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Emerging growth company o
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Title of securities to be registered |
Amount to be registered (1)(2) |
Proposed
maximum offering price per share (3) |
Proposed
maximum aggregate offering price (3) |
Amount of registration fee |
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Common Stock, $0.01 par value per share |
33,000,000 shares |
$4.72 |
$155,760,000 |
$16,993.42 |
Exhibit Number
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Description | |||||||
Articles of Amendment and Restatement of New York Mortgage Trust, Inc., as amended (incorporated by reference to Exhibit 3.1 to the Registrant’s Annual Report on Form 10-K (File No. 001-32216) filed with the Commission on February 28, 2020).
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Amended and Restated Bylaws of New York Mortgage Trust, Inc. (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on April 23, 2020).
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Articles Supplementary designating the Registrant’s 7.75% Series B Cumulative Redeemable Preferred Stock (the “Series B Preferred Stock”) (incorporated by reference to Exhibit 3.3 of the Registrant’s Registration Statement on Form 8-A (File No. 001-32216) as filed with the Commission on May 31, 2013). | ||||||||
Articles Supplementary classifying and designating 2,550,000 additional shares of the Registrant’s Series B Preferred Stock (incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 8-K (File No. 001-32216) as filed with the Commission on March 20, 2015). | ||||||||
Articles Supplementary classifying and designating the 7.875% Series C Cumulative Redeemable Preferred Stock (the “Series C Preferred Stock”) (incorporated by reference to Exhibit 3.5 of the Registrant’s Registration Statement on Form 8-A (File No. 001-32216) as filed with the Commission on April 21, 2015). | ||||||||
Articles Supplementary classifying and designating 2,460,000 additional shares of the Series C Preferred Stock (Incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 29, 2019). | ||||||||
Articles Supplementary classifying and designating the 8.00% Series D Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock (the “Series D Preferred Stock”) (Incorporated by reference to Exhibit 3.6 to the Registrant’s Registration Statement on Form 8-A filed with the Securities and Exchange Commission on October 10, 2017). | ||||||||
Articles Supplementary classifying and designating 2,650,000 additional shares of the Series D Preferred Stock (Incorporated by reference to Exhibit 3.3 of the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 29, 2019). | ||||||||
Articles Supplementary classifying and designating the 7.875% Series E Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock (the “Series E Preferred Stock”) (Incorporated by reference to Exhibit 3.9 to the Registrant’s Registration Statement on Form 8-A filed with the Securities and Exchange Commission on October 15, 2019).
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Articles Supplementary classifying and designating 3,000,000 additional shares of the Series E Preferred Stock (Incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on November 27, 2019).
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Form of Common Stock Certificate (incorporated by reference to Exhibit 4.01 to the Registrant’s Registration Statement on Form S-11 as filed with the Commission (Registration No. 333-111668), effective June 23, 2004).
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Form of Certificate representing the Series B Preferred Stock (incorporated by reference to Exhibit 3.4 of the Registrant’s Registration Statement on Form 8-A (File No. 001-32216) as filed with the Commission on May 31, 2013).
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Form of Certificate representing the Series C Preferred Stock (incorporated by reference to Exhibit 3.6 of the Registrant’s Registration Statement on Form 8-A (File No. 001-32216) as filed with the Commission on April 21, 2015).
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Form of Certificate representing the Series D Preferred Stock (Incorporated by reference to Exhibit 3.7 to the Registrant’s Registration Statement on Form 8-A filed with the Securities and Exchange Commission on October 10, 2017).
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Form of Certificate representing the Series E Preferred Stock (Incorporated by reference to Exhibit 3.10 to the Registrant’s Registration Statement on Form 8-A filed with the Securities and Exchange Commission on October 15, 2019).
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Indenture, dated January 23, 2017, between New York Mortgage Trust, Inc. and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on January 23, 2017).
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First Supplemental Indenture, dated January 23, 2017, between New York Mortgage Trust, Inc. and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.2 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on January 23, 2017).
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Form of 6.25% Senior Convertible Notes Due 2022 of New York Mortgage Trust, Inc. (incorporated by reference to Exhibit 4.3 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on January 23, 2017).
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Certain instruments defining the rights of holders of long-term debt securities of the Registrant and its subsidiaries are omitted pursuant to Item 601(b)(4)(iii) of Regulation S-K. The Registrant hereby undertakes to furnish to the Commission, upon request, copies of any such instruments | ||||||||
New York Mortgage Trust, Inc. 2017 Equity Incentive Plan (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on May 15, 2017).
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First Amendment to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan (incorporated by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on June 28, 2019).
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Indenture, dated as of April 27, 2021, between New York Mortgage Trust, Inc. and UMB Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on April 27, 2021).
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Second Amendment to the New York Mortgage Trust, Inc. 2017 Equity Incentive Plan (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-32216) filed with the Commission on June 14, 2021).
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5.1*
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Opinion of Venable LLP. | |||||||
23.1*
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Consent of Grant Thornton LLP. | |||||||
23.2*
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Consent of Venable LLP (included in the opinion filed as Exhibit 5.1 to this Registration Statement). | |||||||
24.1*
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Power of Attorney (included on the signature page of this Registration Statement). | |||||||
*Filed herewith.
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New York Mortgage Trust, Inc. | |||||||||||
By: | /s/ Kristine R. Nario-Eng | ||||||||||
Name: | Kristine R. Nario-Eng | ||||||||||
Title: | Chief Financial Officer |
Signature | Title | |||||||
/s/ Steven R. Mumma | Chairman of the Board and Chief Executive Officer | |||||||
Steven R. Mumma | (Principal Executive Officer) | |||||||
/s/ Kristine R. Nario-Eng | Chief Financial Officer | |||||||
Kristine R. Nario-Eng | (Principal Financial Officer and Principal Accounting Officer) | |||||||
/s/ Jason T. Serrano | President and Director | |||||||
Jason T. Serrano | ||||||||
/s/ David R. Bock | Director | |||||||
David R. Bock | ||||||||
/s/ Michael B. Clement | Director | |||||||
Michael B. Clement | ||||||||
/s/ Alan L. Hainey | Director | |||||||
Alan L. Hainey | ||||||||
/s/ Steven G. Norcutt | Director | |||||||
Steven G. Norcutt | ||||||||
/s/ Lisa A. Pendergast | Director | |||||||
Lisa A. Pendergast |
1 Year New York Mortgage Chart |
1 Month New York Mortgage Chart |
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