Statement of Changes in Beneficial Ownership (4)
January 04 2022 - 6:41PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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EVANS GODFREY B |
2. Issuer Name and Ticker or Trading Symbol
HomeStreet, Inc.
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HMST
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP - General Counsel |
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(Last)
(First)
(Middle)
601 UNION STREET, SUITE 2000 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/1/2022 |
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(Street)
SEATTLE, WA 98101
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 1/1/2022 | | M | | 711 | A | $0 (1) | 64964 | D | |
| Common Stock | 1/1/2022 | | F(2) | | 214 | D | $52 | 64750 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (1) | 1/1/2022 | | A | | 1461 | | (3) | (3) | Common Stock | 1461.0 | $0 | 1461 | D | |
| Restricted Stock Units | (1) | 1/1/2022 | | M | | | 711 | (4) | (4) | Common Stock | 711.0 | $0 | 1422 | D | |
| Explanation of Responses: |
| (1) | Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of HomeStreet common stock. RSUs do not require the holder to pay any consideration on vesting. |
| (2) | Shares withheld by HomeStreet in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. |
| (3) | On January 1, 2022, the reporting person was granted 1,461 RSUs, which vest incrementally in equal amounts on January 1, 2023, January 1, 2024, and January 1, 2025, respectively. In the event of a change in control, all unvested RSUs may vest immediately under certain circumstances. Upon vesting, the reporting person will receive a number of shares of HomeStreet common stock equal to the number of RSUs that vest on that date. |
| (4) | On January 1, 2021, the reporting person was granted 2,133 RSUs, which vest incrementally in equal amounts on January 1, 2022, January 1, 2023, and January 1, 2024, respectively. In the event of a change in control, all unvested RSUs may vest immediately under certain circumstances. Upon vesting, the reporting person will receive a number of shares of HomeStreet common stock equal to the number of RSUs that vest on that date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
EVANS GODFREY B
601 UNION STREET, SUITE 2000
SEATTLE, WA 98101 |
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| EVP - General Counsel |
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Signatures
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| Godfrey B. Evans | | 1/4/2022 |
| **Signature of Reporting Person | Date |
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