SEC Form 4 · accession 0001140361-15-009712

Simplicity Bancorp, Inc. · SMPL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer

Period of report

Mar 1, 2015

Accepted (ET)

Mar 2, 2015 · 5:13 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001412109

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	D/I	Nature of ownership
Common Stock^F1	Mar 1, 2015	D	40,116	—	D	D
Common Stock^F1	Mar 1, 2015	D	1,438	—	D	I	By IRA
Common Stock^F1	Mar 1, 2015	D	6,480	—	D	I	By 401(k)
Common Stock^F1	Mar 1, 2015	D	13,785	—	D	I	By ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Options^F2	$12.30	Mar 1, 2015	D	8,000	D	Jun 28, 2012	Jun 28, 2021	Common Stock	8,000	D
Stock Options^F2	$10.8424	Mar 1, 2015	D	14,388	D	Jan 30, 2010	Jan 30, 2019	Common Stock	14,388	D
Stock Options^F2	$24.1868	Mar 1, 2015	D	28,776	D	Nov 15, 2007	Nov 15, 2016	Common Stock	28,776	D

F1Each share of common stock of the Issuer was converted into and became exchangeable for the right to receive one share of HomeStreet, Inc.
F2Stock options have been cancelled and each option holder will receive a cash payment upon such cancellation in an amount equal to the product of (i) the number of shares of Issuer common stock provided for by such option and (ii) the excess, if any, of $17.53 over the exercise price of the option.