0001518715-20-000072.txt : 20200331 0001518715-20-000072.hdr.sgml : 20200331 20200331192935 ACCESSION NUMBER: 0001518715-20-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200328 FILED AS OF DATE: 20200331 DATE AS OF CHANGE: 20200331 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: 20763357 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_158569735822636.xml FORM 4 X0306 4 2020-03-28 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 2020-03-28 4 M 0 993 0 A 4962 D Common Stock 2020-03-28 4 F 0 242 21.39 D 4720 D Common Stock 425.812 I HomeStreet, Inc. 401(k) Savings Plan Restricted Stock Units 2020-03-28 4 A 0 4383 0 A Common Stock 4383.0 8230 D Restricted Stock Units 2020-03-28 4 M 0 993 0 D Common Stock 993.0 7237 D Common stock acquired upon vesting of Restricted Stock Units ("RSUs") granted on March 28, 2019. 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 March 13, 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 March 28, 2020, the reporting person was granted 4,383 RSUs, which vest incrementally in equal amounts on March 28, 2021, March 28, 2022 and March 28, 2023, 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. On March 28, 2019, the reporting person was granted 2,979 RSUs, 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. The reporting person's remaining RSUs includes 868 RSUs granted on January 29, 2018, which vest on January 29, 2021, 1,986 RSUs granted on March 28, 2019, which vest incrementally in equal amounts on March 28, 2021 and March 28, 2022, respectively and 4,383 RSUs granted on March 28, 2020, which vest incrementally in equal amounts on March 28, 2021, March 28, 2022 and March 28, 2023, 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 2020-03-31