Godfrey B. Evans - Jan 1, 2024 Form 4 Insider Report for HomeStreet, Inc. (HMST)

Role: EVP - General Counsel
Signature: /s/ Godfrey B. Evans
Stock symbol: HMST
Transactions as of: Jan 1, 2024
Transactions value $: -$8,539
Form type: 4
Date filed: 1/3/2024, 09:26 PM
Previous filing: Mar 30, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HMST	Common Stock	Options Exercise		+711	+1.01%		71.1K	Jan 1, 2024	Direct	F1
transaction	HMST	Common Stock	Tax liability	-$2.84K	-276	-0.39%	$10.30	70.8K	Jan 1, 2024	Direct	F2
transaction	HMST	Common Stock	Options Exercise		+487	+0.69%		71.3K	Jan 1, 2024	Direct	F1
transaction	HMST	Common Stock	Tax liability	-$1.95K	-189	-0.27%	$10.30	71.1K	Jan 1, 2024	Direct	F2
transaction	HMST	Common Stock	Options Exercise		+937	+1.32%		72K	Jan 1, 2024	Direct	F1
transaction	HMST	Common Stock	Tax liability	-$3.75K	-364	-0.51%	$10.30	71.7K	Jan 1, 2024	Direct	F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	HMST	Restricted Stock Units	Award	$0	+8.86K		$0.00	8.86K	Jan 1, 2024	Common Stock	8.86K		Direct	F1, F3
transaction	HMST	Restricted Stock Units	Options Exercise	$0	-711	-100%	$0.00^*	0	Jan 1, 2024	Common Stock	711		Direct	F1, F4
transaction	HMST	Restricted Stock Units	Options Exercise	$0	-487	-50%	$0.00	487	Jan 1, 2024	Common Stock	487		Direct	F1, F5
transaction	HMST	Restricted Stock Units	Options Exercise	$0	-937	-33.31%	$0.00	1.88K	Jan 1, 2024	Common Stock	937		Direct	F1, F6

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
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	Shares withheld by HomeStreet in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs.
F3	On January 1, 2024, the reporting person was granted 8,855 RSUs, of which 2,951 shares vest on January 1, 2025 and 2,952 shares vest each on January 1, 2026 and 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 2,133 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 1,461 RSUs, which vest incrementally in equal amounts on January 1, 2023, January 1, 2024, and January 1, 2025, 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.
F6	On January 1, 2023, the reporting person was granted 2,813 RSUs, of which 937 shares vest on January 1, 2024 and 938 shares vest on each of January 1, 2025 and 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.