Mechanics Bancorp — Director's Dealing 2022

Nov 15, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HomeStreet, Inc. (HMST)
CIK: 0001518715
Period of Report: 2022-11-11

Reporting Person: MICHEL JOHN (EVP, Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-11-11	Common Stock	M	7740	—	Acquired	47740	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-11-11	Restricted Stock Units	$	M	7740	Disposed		Common Stock (7740.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	20795	Indirect

Footnotes

F1: Each Restricted Stock Unit ("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.

F2: Excludes 1,807 shares transferred to the J. Michel and R. Michel TTEE, The Michel Family Tr U/A DTD 6/14/18 subsequent to the prior Form 4 filed for this reporting person.

F3: Includes 1,807 shares which were held directly and transferred to the J. Michel and R. Michel TTEE, The Michel Family Tr U/A DTD 6/14/18 subsequent to the prior Form 4 filed for this reporting person.

F4: Mr. Michel and his spouse, Rosetta Michel, are the co-trustees and beneficiaries of the J Michel and R Michel TTEE, The Michel Family Tr U/A DTD 6/14/18, and share voting and investment power over the assets of the trust.

F5: On May 11, 2020, the reporting person was granted 23,220 RSUs, which vest incrementally in equal amounts on November 11, 2020, November 11, 2021, and November 11, 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.