NYMT Files 8-K: Preferred Stock & Senior Notes Disclosed

TL;DR

NYMT filed an 8-K disclosing details on preferred stock and senior notes, including A9125 and A9875 notes.

AI Summary

On August 22, 2025, New York Mortgage Trust, Inc. filed an 8-K report detailing "Other Events" and "Financial Statements and Exhibits." The filing includes information on various series of preferred stock and senior notes, such as the A9125 Senior Notes due 2029 and 2030, and the A9875 Senior Notes due 2030. No specific financial transactions or material events were detailed in the provided excerpt.

Why It Matters

This filing provides an update on the company's capital structure, including details on its preferred stock and outstanding senior notes, which are relevant for investors assessing the company's financial obligations.

Risk Assessment

Risk Level: low — The filing is a routine disclosure of existing financial instruments and does not indicate any new or immediate risks.

Key Players & Entities

• NEW YORK MORTGAGE TRUST, INC. (company) — Filer
• A9125 Senior Notes due 2029 (dollar_amount) — Debt Instrument
• A9125 Senior Notes due 2030 (dollar_amount) — Debt Instrument
• A9875 Senior Notes due 2030 (dollar_amount) — Debt Instrument

FAQ

Key Financial Figures

• $0.01 — ch Registered Common Stock, par value $0.01 per share NYMT NASDAQ Stock Market
• $25.00 — erred Stock, par value $0.01 per share, $25.00 Liquidation Preference NYMTN NASDAQ
• $25 million — y"), completed the issuance and sale of $25 million aggregate principal amount of its 9.875
• $90,000,000 — otes are part of the same series as the $90,000,000 principal amount of 9.875% Senior Unsec
• $24.8 million — enses, are expected to be approximately $24.8 million. The Company intends to use the net pro

Filing Documents

• tm2524149d2_8k.htm (8-K) — 53KB
• tm2524149d2_ex5-1.htm (EX-5.1) — 19KB
• tm2524149d2_ex5-2.htm (EX-5.2) — 19KB
• tm2524149d2_ex8-1.htm (EX-8.1) — 30KB
• tm2524149d2_ex5-1img001.jpg (GRAPHIC) — 53KB
• tm2524149d2_ex5-1img002.jpg (GRAPHIC) — 9KB
• tm2524149d2_ex5-2img001.jpg (GRAPHIC) — 8KB
• tm2524149d2_ex8-1img001.jpg (GRAPHIC) — 8KB
• tm2524149d2_ex8-1img002.jpg (GRAPHIC) — 3KB
• 0001104659-25-081930.txt ( ) — 504KB
• nymt-20250822.xsd (EX-101.SCH) — 5KB
• nymt-20250822_def.xml (EX-101.DEF) — 30KB
• nymt-20250822_lab.xml (EX-101.LAB) — 44KB
• nymt-20250822_pre.xml (EX-101.PRE) — 28KB
• tm2524149d2_8k_htm.xml (XML) — 13KB

01. Other Events

Item 8.01. Other Events. On August 22, 2025 (the "Closing Date"), New York Mortgage Trust, Inc., a Maryland corporation (the "Company"), completed the issuance and sale of $25 million aggregate principal amount of its 9.875% Senior Notes due 2030 (the "Notes") in a registered direct offering pursuant to the Company's registration statement on Form S-3 (File No. 333-281046) (the "Registration Statement") and a related prospectus, as supplemented by a prospectus supplement, dated August 22, 2025, as filed with the Securities Exchange Commission ("SEC") pursuant to Rule 424(b) under the Securities Act of 1933, as amended (the "Securities Act"). The Notes are part of the same series as the $90,000,000 principal amount of 9.875% Senior Unsecured Notes due 2030 issued by the Company on July 8, 2025 (the "Initial Notes"), as previously disclosed on the Company's Form 8-K filed with the SEC on July 8, 2025 (the "July Form 8-K"), and have the same terms as the Initial Notes. The description of the terms of the Initial Notes and the Indenture (as defined below) contained in the July Form 8-K is incorporated by reference herein. The Notes were sold pursuant to a securities purchase agreement, dated as of August 22, 2025, by and among the Company and certain institutional investors. The Notes were issued and sold at 100% of the principal amount. The Notes were issued under the indenture, dated January 23, 2017 (the "Base Indenture"), as supplemented by the fourth supplemental indenture, dated July 8, 2025 (the "Fourth Supplemental Indenture," and together with the Base Indenture, the "Indenture"), by and between the Company and U.S. Bank Trust Company, National Association, as successor to U.S. Bank National Association, as trustee. The Notes are senior unsecured obligations of the Company The net proceeds to the Company from the sale of the Notes, after deducting the Company's estimated offering expenses, are expected to be approximately $24.8 million. The Company intends

01 Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits. Exhibit Description 4.1 Indenture, dated January 23, 2017, between the Company and U.S. Bank Trust Company, National Association, as successor to U.S. Bank National Association, as trustee (Incorporated herein by reference to Exhibit 4.1 to the Company's Form 8-K, dated January 23, 2017). 4.2 Fourth Supplemental Indenture, dated July 8, 2025, between the Company and U.S. Bank Trust Company, National Association, as trustee (Incorporated herein by reference to Exhibit 4.14 to the Company's Registration Statement on Form 8-A, dated July 8, 2025). 4.3 Form of 9.875% Senior Notes Due 2030 of the Company (Incorporated herein by reference to Exhibit 4.15 to the Company's Registration Statement on Form 8-A, dated July 8, 2025). 5.1 Opinion of Venable LLP regarding the legality of the Notes. 5.2 Opinion of Vinson & Elkins L.L.P. regarding the legality of the Notes. 8.1 Opinion of Vinson & Elkins L.L.P. regarding certain tax matters. 23.1 Consent of Venable LLP (included in Exhibit 5.1 hereto). 23.2 Consent of Vinson & Elkins L.L.P. (included in Exhibits 5.2 and 8.1 hereto). 104 Cover Page Interactive Data File (formatted as Inline XBRL). 1 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. NEW YORK MORTGAGE TRUST, INC. (Registrant) By: /s/ Kristine R. Nario-Eng Name: Kristine R. Nario-Eng Title: Chief Financial Officer Date: August 22, 2025 2

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View this 8-K filing on SEC EDGAR