UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right To Buy) | Â (2) | 11/29/2020 | Common Stock | 4,000 | $ 3 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BENNION RICHARD W H 601 UNION STREET, SUITE 2000 SEATTLE, WA 98101 |
 |  |  EVP - Res. Lending Director |  |
/s/ Godfrey B. Evans, attorney in fact for Richard W.H. Bennion | 04/01/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Participants in HomeStreet, Inc.'s Employee Stock Ownership Plan, or ESOP, had the authority to direct voting of shares they held through the ESOP only in certain circumstances. The ESOP 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. |
(2) | 25% of this option vested on the date of grant of November 29, 2010, 25% vested on February 10, 2012, 25% vested upon the termination of certain regulatory orders pertaining to HomeStreet Bank, and the remaining 25% vests on the three year anniversary of the date of grant. |
 Remarks: This amendment is filed for the purpose of correcting the information provided in Table II. |