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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right To Buy) | $ 1.5 | 09/10/2012 | M | 2,002 | (3) | 11/29/2020 | Common Stock | 2,002 | $ 0 | 4,398 | D | ||||
Employee Stock Option (Right To Buy) | $ 1.5 | 09/12/2012 | M | 2,798 | (3) | 11/29/2020 | Common Stock | 2,798 | $ 0 | 1,600 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LEACH PATRICIA A 601 UNION STREET, SUITE 2000 SEATTLE, WA 98101 |
EVP |
Godfrey B. Evans, attorney in fact for Patricia A. Leach | 09/14/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | In June 2012, the reporting person acquired 782.615 shares of HomeStreet, Inc. common stock under the HomeStreet, Inc. Employee Stock Ownership Plan pursuant to an annual distribution and diversification of plan shares. |
(2) | These shares were previously held in the HomeStreet Inc. Employee Stock Ownership Plan, which merged into the HomeStreet, Inc. 401(k) Savings Plan, or 401(k) Plan, on July 26, 2012. Participants in HomeStreet, Inc.'s 401(k) Savings Plan have the authority to direct voting of shares they hold through the 401(k) Plan. |
(3) | The option, representing a right to purchase a total of 6,400 shares, becomes exercisable by its terms 25% on the date of grant (November 29, 2010), 25% on the earlier of the first anniversary of the date of grant or upon a capital raise by the issuer, 25% on the earlier of the second anniversary of the date of grant or the lifting of a cease and desist order related to HomeStreet Bank that was in place at the time of the grant, and 25% on the third anniversary of the date of grant. As of the date of exercise of this option, it was vested as to 75%. |