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Mechanics Bancorp — Director's Dealing 2019
Nov 7, 2019
31388_dirs_2019-11-07_73503bbe-72ce-4499-959e-d796a224a2a6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HomeStreet, Inc. (HMST)
CIK: 0001518715
Period of Report: 2019-06-20
Reporting Person: INDIEK VICTOR H (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-06-20 | Common Stock | M | 1241 | — | Acquired | 5692.567 | Direct |
| 2019-08-13 | Common Stock | A | 251 | — | Acquired | 5943.567 | Direct |
| 2019-11-05 | Common Stock | S | 3271.567 | $31.2795 | Disposed | 2672 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-06-20 | Restricted Stock Units | $ | M | 1241 | Disposed | Common Stock (1241.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6404 | Indirect |
Footnotes
F1: Represents shares issued upon vesting of Restricted Stock Units (RSUs) previously issued to the reporting person as director compensation. The reporting person had elected that these RSUs vest upon his departure from the Board, which was effective on June 20, 2019.
F2: Stock issued based on Directors' compensation policy paid quarterly.
F3: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.2642 to $31.285, inclusive. The reporting person undertakes to provide to HomeStreet, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F4: Mr. Indiek is the sole trustee of the Indiek Family Trust U/A/D 5/04/1989. Mr. Indiek disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein.
F5: 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.
F6: RSUs previously issued under the director compensation policy vested upon the reporting person's departure form the Board of Directors, effective June 20, 2019.