| Ticker Symbol | Entity Name | Form Type | Access Number | Period | As Of Date | Filing Date | Institution Name | CIK | Name of Issuer | Title of Class | CUSIP | Value | SHRS or PRN Amount | SHRS or PRN Type | PUT_CALL | Investment Discretion | Other Manager | Voting Authority Sole | Voting Authority Shared | Voting Authority None | Date Added | Date Updated | Company Name | Sector | Industry |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001398344-22-010157 | Mar 31st, 2022 12:00AM | May 20th, 2022 12:00AM | May 20th, 2022 12:00AM | EP Wealth Advisors, LLC | 1540569 | NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 67 | 18326 | SH | SOLE | 17349 | 0 | 977 | May 21st, 2022 01:10AM | May 21st, 2022 01:10AM | New York Mortgage Trust | Financials | General Financial | ||
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001145443-22-000169 | Mar 31st, 2022 12:00AM | May 20th, 2022 12:00AM | May 20th, 2022 12:00AM | MANUFACTURERS LIFE INSURANCE COMPANY, THE | 928047 | NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 564 | 154489 | SH | DFND | 1,2,5 | 0 | 0 | 154489 | May 21st, 2022 01:09AM | May 21st, 2022 01:09AM | New York Mortgage Trust | Financials | General Financial | |
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001720777-22-000002 | Mar 31st, 2022 12:00AM | May 19th, 2022 12:00AM | May 19th, 2022 12:00AM | Strategic Wealth Partners, Ltd. | 1720777 | NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 122 | 33510 | SH | SOLE | 0 | 0 | 0 | 33510 | May 20th, 2022 01:07AM | May 20th, 2022 01:07AM | New York Mortgage Trust | Financials | General Financial | |
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR/A | 0001166588-22-000018 | Mar 31st, 2022 12:00AM | May 18th, 2022 12:00AM | May 18th, 2022 12:00AM | BNP PARIBAS ARBITRAGE, SA | 1166588 | New York Mortgage Trust Inc | Equity | 649604501 | 506919 | 138882 | SH | DFND | 1 | 0 | 138882 | 0 | May 19th, 2022 01:12AM | May 19th, 2022 01:12AM | New York Mortgage Trust | Financials | General Financial | |
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001595888-22-000014 | Mar 31st, 2022 12:00AM | May 17th, 2022 12:00AM | May 17th, 2022 12:00AM | JANE STREET GROUP, LLC | 1595888 | NEW YORK MTG TR INC | COM | 649604501 | 579 | 158500 | SH | Put | DFND | 2 | 158500 | 0 | 0 | May 18th, 2022 01:13AM | May 18th, 2022 01:13AM | New York Mortgage Trust | Financials | General Financial |
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001595888-22-000014 | Mar 31st, 2022 12:00AM | May 17th, 2022 12:00AM | May 17th, 2022 12:00AM | JANE STREET GROUP, LLC | 1595888 | NEW YORK MTG TR INC | COM | 649604501 | 51 | 14000 | SH | Call | DFND | 2 | 0 | 0 | 0 | May 18th, 2022 01:13AM | May 18th, 2022 01:13AM | New York Mortgage Trust | Financials | General Financial |
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001595888-22-000014 | Mar 31st, 2022 12:00AM | May 17th, 2022 12:00AM | May 17th, 2022 12:00AM | JANE STREET GROUP, LLC | 1595888 | NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 948 | 259673 | SH | DFND | 2 | 259673 | 0 | 0 | May 18th, 2022 01:13AM | May 18th, 2022 01:13AM | New York Mortgage Trust | Financials | General Financial | |
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001595888-22-000014 | Mar 31st, 2022 12:00AM | May 17th, 2022 12:00AM | May 17th, 2022 12:00AM | JANE STREET GROUP, LLC | 1595888 | NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 128 | 35179 | SH | DFND | 1 | 35179 | 0 | 0 | May 18th, 2022 01:13AM | May 18th, 2022 01:13AM | New York Mortgage Trust | Financials | General Financial | |
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001909316-22-000002 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | JOURNEY STRATEGIC WEALTH LLC | 1909316 | NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 101 | 27598 | SH | SOLE | 0 | 0 | 27598 | May 17th, 2022 01:59AM | May 17th, 2022 01:59AM | New York Mortgage Trust | Financials | General Financial | ||
| nasdaq:nymt | nasdaq:nymt Shareholders | 13F-HR | 0001847772-22-000002 | Mar 31st, 2022 12:00AM | May 16th, 2022 12:00AM | May 16th, 2022 12:00AM | EMC Capital Management | 1847772 | NEW YORK MTGE | COM | 649604501 | 141 | 43659 | SH | SOLE | 0 | 0 | 141 | May 17th, 2022 01:59AM | May 17th, 2022 01:59AM | New York Mortgage Trust | Financials | General Financial |