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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WILLIAMS BRUCE W 601 UNION STREET, SUITE 2000 SEATTLE, WA 98101 |
X |
/s/ Godfrey B. Evans, attorney in fact for Bruce W. Williams | 04/07/2016 | |
**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) | Stock issued based on Directors' compensation policy paid quarterly. |
(2) | Includes 20,147.2 shares held jointly with Gro A. Buer, Mr. Williams' spouse. This amount has been corrected from Mr. Williams' previous report to exclude 1,400 shares gifted by Mr. Williams and Ms. Buer to a third party recipient in December 2013, which resulted in Mr. Williams no longer having beneficial ownership of these 1,400 shares. |
(3) | Participants in HomeStreet, Inc.'s 401(k) Savings Plan have the authority to direct voting of shares they hold through such 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 UA dated 6/27/13. 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 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. |
(9) | 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. |
(10) | Held individually by Gro A. Buer, Mr. William's spouse. Mr. Williams disclaims beneficial ownership of these shares except to the extent of any pecuniary interest he may have therein. |