Mechanics Bancorp — Director's Dealing 2019

Jan 30, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HomeStreet, Inc. (HMST)
CIK: 0001518715
Period of Report: 2019-01-26

Reporting Person: DAVID ROSE MARIE (Sr. EVP-SF Lending Dir.)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-01-26	Common Stock	M	248	—	Acquired	23257	Direct
2019-01-26	Common Stock	F	59	$24.32	Disposed	23198	Direct
2019-01-28	Common Stock	M	331	—	Acquired	23529	Direct
2019-01-28	Common Stock	F	78	$24.55	Disposed	23451	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-01-26	Restricted Stock Units	$	M	248	Disposed		Common Stock (248.0)	Direct
2019-01-28	Restricted Stock Units	$	M	331	Disposed		Common Stock (331.0)	Direct

Footnotes

F1: Common stock acquired upon vesting of Restricted Stock Units ("RSUs") granted on January 26, 2017.

F2: Common stock acquired upon vesting of RSUs granted on January 28, 2016.

F3: 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.

F4: On January 26, 2017, the reporting person was granted 744 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.

F5: On January 28, 2016, the reporting person was granted 993 RSUs, which vest incrementally in equal amounts on January 28, 2017, January 28, 2018 and January 28, 2019, 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.

F6: As of January 28, 2019, the reporting person's remaining RSUs includes 248 RSUs granted on January 26, 2017, which vest on January 26, 2020, and 1,158 RSUs granted on January 29, 2018, which vest incrementally in equal amounts on January 29, 2019, January 29, 2020 and January 29, 2021, 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.