FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
HomeStreet, Inc. [ HMST ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/11/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 04/11/2013 | A | 98(1) | A | $0 | 198,306.8(2) | D | |||
Common Stock | 19,252.644 | I | HomeStreet, Inc. 401(k) Savings Plan(3) | |||||||
Common Stock | 188,128 | I | Marina S. Williams Trust(4) | |||||||
Common Stock | 2,188.4 | I | Marina S. Williams Trust(5) | |||||||
Common Stock | 150,076.8 | I | Estate of Walter B. Williams(6) | |||||||
Common Stock | 150,073.6 | I | Estate of Marie W. Williams(7) | |||||||
Common Stock | 55,281.6 | I | Karen M. Zimmerman Trust(8) | |||||||
Common Stock | 55,281.6 | I | Steven W. Zimmerman Trust(9) | |||||||
Common Stock | 750.4 | I | Andrew Alvaro Mullins-Williams 2005 Trust(10) | |||||||
Common Stock | 156,454.4 | I | Myers Irrevocable Trust #1(11) | |||||||
Common Stock | 1.2 | I | William B. Williams Interim Trust(12) | |||||||
Common Stock | 0.4 | I | Gro A. Buer(13) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Stock issued based on Directors' compensation policy paid quarterly. |
2. 31,547.2 shares held jointly with Gro A. Buer, Mr. Williams's spouse. |
3. Participants in HomeStreet, Inc.'s 401(k) Savings Plan, or 401(k) Plan, have the authority to direct voting of shares they hold through the 401(k) Plan. |
4. Mr. Williams is the co-trustee with Gro A.Buer for the Marina S. Williams Trust dated 12/25/95. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
5. Mr. Williams is the sole trustee for the Marina S. Williams Trust dated 12/23/03. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
6. Mr. Williams is the executor of the estate of Walter B. Williams. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
7. Mr. Williams is the executor of the estate of Marie W. Williams. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
8. Mr. Williams is the sole trustee of the Karen M. Zimmerman Trust dated 12/22/2000. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
9. Mr. Williams is the sole trustee of the Steven W. Zimmerman Trust dated 12/22/2000. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
10. Mr. Williams is the sole trustee for the Andrew Alvaro Mullins-Williams Trust dated 11/29/2005. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
11. Mr. Williams is the sole trustee of the Myers Irrevocable Trust #1 dated 8/5/1994. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
12. Mr. Williams is the sole trustee of the Walter B. Williams Interim Trust. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
13. Held individually by Gro A. Buer, Mr. Williams's spouse. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |
Remarks: |
/s/ Godfrey B. Evans, attorney in fact for Bruce W. Williams | 04/15/2013 | |
** 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 4 (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. |