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UNITED STATES
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): June 29, 2020
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.)

90 Park Avenue
New York, New York 10016
(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))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (§230.405 of this chapter) or Rule 12b-2 under the Exchange Act (§240.12b-2 of this chapter).
Emerging Growth Company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐






Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class
 
Trading Symbol(s)
 
Name of Each Exchange on Which Registered
Common Stock, par value $0.01 per share
 
NYMT
 
NASDAQ
 Stock Market

7.75% Series B Cumulative Redeemable Preferred Stock,
 
NYMTP
 
NASDAQ
 Stock Market
 par value $0.01 per share, $25.00 Liquidation Preference

 
 
7.875% Series C Cumulative Redeemable Preferred Stock,
 
NYMTO
 
NASDAQ
Stock Market
par value $0.01 per share, $25.00 Liquidation Preference

 
 
8.000% Series D Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock,
 
NYMTN
 
NASDAQ
Stock Market
 par value $0.01 per share, $25.00 Liquidation Preference

 
 
7.875% Series E Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock,
 
NYMTM
 
NASDAQ
Stock Market
par value $0.01 per share, $25.00 Liquidation Preference
 
 






Item 5.07.    Submission of Matters to a Vote of Security Holders.

2020 Annual Meeting of Stockholders
New York Mortgage Trust, Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”) on Monday, June 29, 2020. There were 311,575,950 shares of common stock of the Company present or represented by proxy at the Annual Meeting, constituting approximately 82.54% of the outstanding shares of common stock on April 24, 2020, the record date for the Annual Meeting.
The matters voted upon at the Annual Meeting and the final results of such voting are set forth below:
Proposal 1: To elect seven directors to the Company’s Board of Directors.
Name
For
Against
Abstain
David R. Bock
175,907,372
8,364,363
1,871,900
Michael B. Clement
180,550,047
3,720,496
1,873,092
Alan L. Hainey
175,459,612
8,780,133
1,903,890
Steven R. Mumma
177,142,909
7,137,201
1,863,525
Steven G. Norcutt
178,811,513
5,383,453
1,948,669
Lisa A. Pendergast
178,133,172
6,192,554
1,817,909
Jason T. Serrano
177,434,755
6,764,147
1,944,733
In addition, there were 125,432,315 broker non-votes associated with the election of the directors. All director nominees were duly elected at the Annual Meeting. Each of the individuals named in the above table will serve as a director until the 2021 Annual Meeting of Stockholders and until his or her successor is duly elected and qualified.
Proposal 2: To approve, on an advisory basis, the compensation of the Company’s named executive officers.
For
Against
Abstain
Broker Non-Votes
174,669,716
8,570,019
2,903,900
125,432,315
At the Annual Meeting, stockholders approved, on an advisory basis, the compensation of the Company’s named executive officers. This advisory vote is commonly referred to as a “say-on-pay vote.”
Proposal 3: To ratify, confirm and approve the selection of Grant Thornton LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020.
For
Against
Abstain
Broker Non-Votes
297,357,672
9,420,522
4,797,756
N/A
At the Annual Meeting, stockholders ratified the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020.






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: June 30, 2020
By:
/s/ Steven R. Mumma
 
 
Steven R. Mumma
 
 
Chief Executive Officer



v3.20.2
Cover Cover
Jun. 29, 2020
Document Information [Line Items]  
Document Type 8-K
Document Type 0001273685
Document Period End Date Jun. 29, 2020
Entity Registrant Name NEW YORK MORTGAGE TRUST, INC.
Entity Incorporation, State or Country Code MD
Entity File Number 001-32216
Entity Tax Identification Number 47-0934168
Entity Address, Address Line One 90 Park Avenue
Entity Address, City or Town New York
Entity Address, State or Province NY
Entity Address, Postal Zip Code 10016
City Area Code 212
Local Phone Number 792-0107
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Amendment Flag false
Common Stock, par value $0.01 per share  
Document Information [Line Items]  
Title of 12(b) Security Common Stock, par value $0.01 per share
Trading Symbol NYMT
Security Exchange Name NASDAQ
7.75% Series B Cumulative Redeemable Preferred Stock  
Document Information [Line Items]  
Title of 12(b) Security 7.75% Series B Cumulative Redeemable Preferred Stock,
Trading Symbol NYMTP
Security Exchange Name NASDAQ
7.875% Series C Cumulative Redeemable Preferred Stock  
Document Information [Line Items]  
Title of 12(b) Security 7.875% Series C Cumulative Redeemable Preferred Stock,
Trading Symbol NYMTO
Security Exchange Name NASDAQ
8.000% Series D Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock  
Document Information [Line Items]  
Title of 12(b) Security 8.000% Series D Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock,
Trading Symbol NYMTN
Security Exchange Name NASDAQ
7.875% Series E Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock  
Document Information [Line Items]  
Title of 12(b) Security 7.875% Series E Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock,
Trading Symbol NYMTM
Security Exchange Name NASDAQ