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Mechanics Bancorp — Director's Dealing 2024
Jan 4, 2024
31388_dirs_2024-01-03_99572067-6819-4c89-97fd-40863b2cd161.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: 2024-01-01
Reporting Person: Endresen William (EVP, Comm'l RE & Capital Pres.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-01-01 | Common Stock | M | 935 | — | Acquired | 19358 | Direct |
| 2024-01-01 | Common Stock | F | 288 | $10.30 | Disposed | 19070 | Direct |
| 2024-01-01 | Common Stock | M | 647 | — | Acquired | 19717 | Direct |
| 2024-01-01 | Common Stock | F | 200 | $10.30 | Disposed | 19517 | Direct |
| 2024-01-01 | Common Stock | M | 1245 | — | Acquired | 20762 | Direct |
| 2024-01-01 | Common Stock | F | 383 | $10.30 | Disposed | 20379 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-01-01 | Restricted Stock Units | $ | A | 11761 | Acquired | Common Stock (11761) | Direct | |
| 2024-01-01 | Restricted Stock Units | $ | M | 935 | Disposed | Common Stock (935) | Direct | |
| 2024-01-01 | Restricted Stock Units | $ | M | 647 | Disposed | Common Stock (647) | Direct | |
| 2024-01-01 | Restricted Stock Units | $ | M | 1245 | Disposed | Common Stock (1245) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 537.752 | 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: 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 January 1, 2024.
F3: On January 1, 2024, the reporting person was granted 11,761 RSUs, of which 3,920 shares vest each on January 1, 2025 and January 1, 2026, and 3,921 shares vest on January 1, 2027. 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.
F4: On January 1, 2021, the reporting person was granted 2,805 RSUs, which vest incrementally in equal amounts on January 1, 2022, January 1, 2023, and January 1, 2024, 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 1, 2022, the reporting person was granted 1,940 RSUs, of which 646 shares vest on January 1, 2023 and 647 shares vest each on January 1, 2024 and January 1, 2025. 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: On January 1, 2023, the reporting person was granted 3,736 RSUs, of which 1,245 shares vest on each of January 1, 2024 and January 1, 2025, and 1,246 shares vest on January 1, 2026. 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.