What changed in this filing

/stocks — the workspaceLOADING

Item 9A. Controls and Procedures

2023-03-06 compared with 2022-03-04 · 30 added, 21 removed, 200 unchanged (20% of the section changed)

45 unchanged sentences

ITEM 9B OTHER INFORMATION

On March 3, 2023, Douglas I.

Smith informed the Company of his resignation from the Company’s Board of Directors (the “Board”), effective immediately, due to personal reasons.

Smith joined the Board of Directors at our initial public offering in February 2012.

The Company expresses its appreciation to Mr.

Smith for his more than 11 years of distinguished service on the Board.

Smith’s decision is not due to any disagreement with the Company or the Board on any matters relating to the Company’s operations, policies or practices.

ITEM 9C DISCLOSURE REGARDING FOREIGN JURISDICTIONS THAT PREVENT INSPECTIONS

Not applicable.

ITEM 10 DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE

21 unchanged sentences

Plans approved by shareholders 298,044 (1)

1,018,599 (3)

Plans not approved by shareholders — — —

Total 298,044 $ — 924,885

(1) Consists of 114,855 shares subject to Restricted Stock Units, including 6,273 RSUs granted to certain directors as part of their director compensation which are fully vested and pursuant to which shares will be issued upon the director’s departure from the Board, awarded under the 2014 Plan and 230,514 shares issuable under Performance Share Units awarded under the 2014 Plan, assuming maximum performance goals are met under such awards, resulting in the issuance of the maximum number of shares allowed under those awards.

(1) Consists of 85,140 shares subject to Restricted Stock Units, awarded under the 2014 Plan and 212,904 shares issuable under Performance Share Units awarded under the 2014 Plan, assuming maximum performance goals are met under such awards, resulting in the issuance of the maximum number of shares allowed under those awards.

(2) Shares issued on vesting of Restricted Stock Units and Performance Share Units under the 2014 Plan are done without payment by the participant of any additional consideration and therefore have been excluded from this calculation.

14 unchanged sentences

Consolidated Income Statements for the three years ended December 31, 2022

Consolidated Statements of Comprehensive Income for the three years ended December 31, 2021

Consolidated Statements of Comprehensive Income (Loss) for the three years ended December 31, 2022

Consolidated Statements of Shareholders’ Equity for the three years ended December 31, 2022

17 unchanged sentences

Amended and Restated Standard Form of Performance Share Unit Agreement under the 2014 Plan

Employment Agreement between HomeStreet, Inc., HomeStreet Bank, and Mark Mason , dated January 25, 2018

Employment Agreement between HomeStreet, Inc., HomeStreet Bank, and William Endresen, dated February 26, 2021

Employment Agreement between HomeStreet, Inc., HomeStreet Bank, and Godfrey Evans, dated January 25, 2018

Executive Employment Agreement between HomeStreet, Inc., HomeStreet Bank, and Mark Mason, dated January 25, 2018

Executive Employment Agreement between HomeStreet, Inc., HomeStreet Bank, and William Endresen, dated February 26, 2021

Form of Officer Indemnification Agreement for HomeStreet, Inc.

3 unchanged sentences

and One Union Square Venture ("Office Lease"), as amended by Supplemental Lease Agreement dated August 25, 1992, Second Amendment to Lease dated May 6, 1998, Third Amendment to Lease dated June 17, 1998, Fourth Amendment to Lease dated February 15, 2000, Fifth Amendment to Lease dated July 30, 2001, Sixth Amendment to Lease dated March 5, 2002, Seventh Amendment to Lease dated May 19, 2004, Eighth Amendment to Lease dated August 31, 2004, Ninth Amendment to Lease dated April 19, 2006, Tenth Amendment to Lease dated July 20, 2006, Eleventh Amendment to Lease dated December 27, 2006, Twelfth Amendment to Lease dated October 1, 2007, Thirteenth Amendment to Lease dated January 26, 2010, Fourteenth Amendment to Lease dated January 19, 2012, Fifteenth Amendment to Lease dated May 24, 2012, Sixteenth Amendment to Lease dated September 12, 2012, Seventeenth Amendment to Lease dated November 8, 2012, Eighteenth Amendment to Lease dated May 3, 2013, Nineteenth Amendment to Lease dated May 28, 2013 and Twentieth Amendment to Lease dated June 19, 2013.

Twenty-First Amendment to Office Lease dated December 24, 2014.

Advances, Security and Deposit Agreement, dated as of June 1, 2015, between HomeStreet Bank and the Federal Home Loan Bank of Des Moines

Letter Agreement, dated January 15, 2013, by HomeStreet Bank to Federal Reserve Bank of San Francisco

Twenty-First Amendment to Office Lease dated December 24, 2014 , between HomeStreet Bank and Union Square Limited Liability Company

Advances, Pledge and Security Agreement, dated as of June 1, 2015, between HomeStreet Bank and the Federal Home Loan Bank of Des Moines

Letter of Agreement, dated January 15, 2013, by HomeStreet Bank to Federal Reserve Bank of San Francisco

Master Custodial Agreement for Custody of Single Family MBS Pool Mortgage Loans, dated October 2009, between HomeStreet Bank, Federal National Mortgage Association, and U.S.

2 unchanged sentences

Cash Pledge Agreement, dated as of June 1, 2010, between HomeStreet Bank and Federal Home Loan Mortgage Corporation

HomeStreet Bank 2017 Performance-Based Award Incentive Compensation Plan

Master Agreement between HomeStreet Bank and Government National Mortgage Association effective January 3, 2011

1 unchanged sentence

Michel, effective May 11, 2020

Amendment to Employment Agreement, between HomeStreet, Inc., HomeStreet Bank, and Mark K.

Amendment to Executive Employment Agreement, between HomeStreet, Inc., HomeStreet Bank, and Mark K.

Mason, dated July 29, 2020

Amendment to Employment Agreement, between HomeStreet, Inc., HomeStreet Bank, and Godfrey B.

Evans, dated July 29, 2020

HomeStreet Bank Performance-Based Annual Incentive Plan, effective January 1, 2022

Amend ed and Restated Executive Employment Agreement, between HomeStreet, Inc., HomeStreet Bank, and John M.

Michel, dated August 4, 2022

Second Amendment to Executive Employment Agreement, between HomeStreet, Inc., HomeStreet Bank, and Mark K.

Mason, dated December 13, 2022

First Amendment to Executive Employment Agreement, between HomeStreet, Inc., HomeStreet Bank, and William D.

Endresen, dated February 28, 2023

21 Subsidiaries of HomeStreet, Inc.

40 unchanged sentences

333-173980) filed on June 21, 2011, and incorporated herein by reference.

(12) Filed as an exhibit to HomeStreet’s Annual Report on Form 10-K (SEC File No.

001-35424) filed on March 6, 2019, and incorporated herein by reference.

(12) Filed as an exhibit to HomeStreet Inc.’s Current Report on Form 10-Q (SEC File No.

2 unchanged sentences

001-35424) filed on November 6, 2020, and incorporated herein by reference.

(14) Filed as an exhibit to HomeStreet Inc.’s Current Report on Form 10-Q (SEC File No.

001-35424) filed on May 6, 2022, and incorporated herein by reference.

(15) Filed as an exhibit to HomeStreet Inc.’s Current Report on Form 10-Q (SEC File No.

001-35424) filed on August 5, 2022, and incorporated herein by reference.

(16) Filed as an exhibit to HomeStreet’s Annual Report on Form 10-K (SEC File No.

23 unchanged sentences

Mason, Chairman

Michel Executive Vice President, Chief Financial Officer and Principal Accounting Officer (Principal Financial and Accounting Officer) March 4, 2022

/s/ Donald R.

Voss Lead Independent Director March 4, 2022

Michel Executive Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) March 3, 2023

Patterson Lead Independent Director March 3, 2023

Boggs Director March 3, 2023

3 unchanged sentences

Green Director March 3, 2023

/s/ Joanne Harrell Director March 3, 2023

Joanne Harrell

Director March 3, 2023

Patterson Director March 4, 2022

Pellegrino Director March 3, 2023

1 unchanged sentence

Smith Director March 3, 2023

/s/ Joanne Harrell Director March 4, 2022

Joanne Harrell

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures