0001518715-20-000026.txt : 20200128 0001518715-20-000026.hdr.sgml : 20200128 20200128191841 ACCESSION NUMBER: 0001518715-20-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200126 FILED AS OF DATE: 20200128 DATE AS OF CHANGE: 20200128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Endresen William CENTRAL INDEX KEY: 0001672215 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35424 FILM NUMBER: 20555954 MAIL ADDRESS: STREET 1: 601 UNION STREET STREET 2: SUITE 2000 CITY: SEATTLE STATE: WA ZIP: 98101 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HomeStreet, Inc. CENTRAL INDEX KEY: 0001518715 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 910186600 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 601 UNION STREET STREET 2: SUITE 2000 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 206-623-3050 MAIL ADDRESS: STREET 1: 601 UNION STREET STREET 2: SUITE 2000 CITY: SEATTLE STATE: WA ZIP: 98101 4 1 wf-form4_158025710459326.xml FORM 4 X0306 4 2020-01-26 0 0001518715 HomeStreet, Inc. HMST 0001672215 Endresen William 601 UNION STREET SUITE 2000 SEATTLE WA 98101 0 1 0 0 EVP, Comm'l RE & Capital Pres. Common Stock 2020-01-26 4 M 0 743 0 A 2836 D Common Stock 352.597 I HomeStreet, Inc. 401(k) Savings Plan Restricted Stock Units 2020-01-26 4 M 0 743 0 D Common Stock 743.0 4715 D Common stock acquired upon vesting of Restricted Stock Units ("RSUs") granted on January 26, 2017. Since the date of the reporting person's last ownership report, he transferred 252.2 shares of HomeStreet common stock previously held through the Company's 401(k) plan to his former spouse pursuant to a domestic relations order. The reporting person no longer has an ownership interest in those shares. Participants in HomeStreet Inc.'s 401(k) Savings Plan, or the "401(k) Plan", have the authority to direct voting of shares they hold through the 401(k) Plan. The amount of shares held in the 401(k) Plan is as of January 24, 2020. Each 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. On January 26, 2017, the reporting person was granted 2,229 RSUs, which vest incrementally in equal amounts on January 26, 2018, January 26, 2019 and January 26, 2020, 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. The reporting person's remaining RSUs includes 1,736 RSUs granted on January 29, 2018, which vest incrementally in equal amounts on January 29, 2020 and January 29, 2021, respectively, and 2,979 RSUs granted on March 28, 2019, which vest incrementally in equal amounts on March 28, 2020, March 28, 2021 and March 28, 2022, 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. /s/ Donna M. Cochener, Attorney in fact for William Endresen 2020-01-28