Mechanics Bancorp — Director's Dealing 2021

Jun 10, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: HomeStreet, Inc. (HMST)
CIK: 0001518715
Period of Report: 2021-05-27

Reporting Person: Parr David L (EVP, DIR. OF COMM'L BANKING)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	565	Direct
Common Stock	973.84	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Restricted Stock Units	$		Common Stock (2579.0)		Direct

Footnotes

F1: 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 June 4, 2021.

F2: On March 28, 2019, the reporting person was granted 756 Restricted Stock Units ("RSUs"), of which 252 shares remain subject to vesting on March 28, 2022, and on March 28, 2020, the reporting person was granted 966 RSUs, of which 644 shares vest in equal amounts on March 28, 2022 and March 28, 2023, respectively, and on January 1, 2021, the reporting person was granted 1,683 RSUs which vest incrementally in equal amounts on January 1, 2022, January 1, 2023 and January 1, 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.

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.