FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/10/2012 |
3. Issuer Name and Ticker or Trading Symbol
HomeStreet, Inc. [ HMST ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 41,386 | D | |
Common Stock | 394 | I | Kevin Mark Zimmerman Trust dated 12/20/07(1) |
Common Stock | 394 | I | Hannah Abbey Zimmerman Trust dated 12/20/07(1) |
Common Stock | 7,200 | I | Zimmerman Grandchildren Trust dated 12/25/91(1) |
Common Stock | 394 | I | David John Zimmerman Trust dated 12/20/07(1) |
Common Stock | 4,000 | I | Zimmerman Trust U/A dated 12/84(1) |
Common Stock | 394 | I | Brian Paul Zimmerman Trust dated 12/20/07(1) |
Common Stock | 211.2 | I | Brook Vanderhoogt Trust dated 3/13/08(1) |
Common Stock | 211.2 | I | Brittney Vanderhoogt Trust dated 3/13/08(1) |
Common Stock | 38,238 | I | Zimmerman Living Trust dated 08/01/08(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Mr. Zimmerman is the trustee of this trust. |
Remarks: |
Mr. Zimmerman was a director of HomeStreet, Inc. as of February 10, 2012, when the company became subject to reporting pursuant to the 1934 Securities and Exchange Act, however, he resigned as a director effective upon the closing of the company's intial public offering, which was February 15, 2012. |
/s/ Godfrey B. Evans, attorney in fact for Steven W. Zimmerman | 02/28/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |