Statement of Changes in Beneficial Ownership (4)
May 02 2023 - 4:11PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SCHOTTENSTEIN ROBERT H |
2. Issuer Name and Ticker or Trading Symbol
M/I HOMES, INC.
[
MHO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, CEO & President |
(Last)
(First)
(Middle)
4131 WORTH AVE., SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/28/2023 |
(Street)
COLUMBUS, OH 43219 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares | 4/28/2023 | | M | | 19200 | A | $27.62 | 118086 | D (1) | |
Common Shares | 4/28/2023 | | M | | 60000 | A | $42.23 | 178086 | D (1) | |
Common Shares | 4/28/2023 | | M | | 24000 | A | $47.59 | 202086 | D (1) | |
Common Shares | 4/28/2023 | | S | | 5021 | D | $66.50 | 197065 | D (1) | |
Common Shares | 4/28/2023 | | S | | 1171 | D | $66.51 | 195894 | D (1) | |
Common Shares | 4/28/2023 | | S | | 1100 | D | $66.52 | 194794 | D (1) | |
Common Shares | 4/28/2023 | | S | | 1367 | D | $66.53 | 193427 | D (1) | |
Common Shares | 4/28/2023 | | S | | 1403 | D | $66.54 | 192024 | D (1) | |
Common Shares | 4/28/2023 | | S | | 1502 | D | $66.55 | 190522 | D (1) | |
Common Shares | 4/28/2023 | | S | | 629 | D | $66.56 | 189893 | D (1) | |
Common Shares | 4/28/2023 | | S | | 96 | D | $66.565 | 189797 | D (1) | |
Common Shares | 4/28/2023 | | S | | 352 | D | $66.57 | 189445 | D (1) | |
Common Shares | 4/28/2023 | | S | | 685 | D | $66.58 | 188760 | D (1) | |
Common Shares | 4/28/2023 | | S | | 839 | D | $66.59 | 187921 | D (1) | |
Common Shares | 4/28/2023 | | S | | 100 | D | $66.595 | 187821 | D (1) | |
Common Shares | 4/28/2023 | | S | | 933 | D | $66.60 | 186888 | D (1) | |
Common Shares | 4/28/2023 | | S | | 929 | D | $66.61 | 185959 | D (1) | |
Common Shares | 4/28/2023 | | S | | 1131 | D | $66.62 | 184828 | D (1) | |
Common Shares | 4/28/2023 | | S | | 100 | D | $66.6275 | 184728 | D (1) | |
Common Shares | 4/28/2023 | | S | | 1027 | D | $66.63 | 183701 | D (1) | |
Common Shares | 4/28/2023 | | S | | 785 | D | $66.64 | 182916 | D (1) | |
Common Shares | 4/28/2023 | | S | | 3505 | D | $66.65 | 179411 | D (1) | |
Common Shares | 4/28/2023 | | S | | 434 | D | $66.655 | 178977 | D (1) | |
Common Shares | 4/28/2023 | | S | | 2917 | D | $66.66 | 176060 | D (1) | |
Common Shares | 4/28/2023 | | S | | 2447 | D | $66.67 | 173613 | D (1) | |
Common Shares | 4/28/2023 | | S | | 2260 | D | $66.68 | 171353 | D (1) | |
Common Shares | 4/28/2023 | | S | | 120 | D | $66.685 | 171233 | D (1) | |
Common Shares | 4/28/2023 | | S | | 2303 | D | $66.69 | 168930 | D (1) | |
Common Shares | 4/28/2023 | | S | | 49 | D | $66.695 | 168881 | D (1) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option to Purchase Common Shares | $27.62 | 4/28/2023 | | M | | | 19200 | (2) | 2/19/2029 | Common Shares | 19200.0 | $0 | 19200 | D (1) | |
Option to Purchase Common Shares | $42.23 | 4/28/2023 | | M | | | 60000 | (3) | 2/18/2030 | Common Shares | 60000.0 | $0 | 40000 | D (1) | |
Option to Purchase Common Shares | $47.59 | 4/28/2023 | | M | | | 24000 | (4) | 2/17/2032 | Common Shares | 24000.0 | $0 | 96000 | D (1) | |
Explanation of Responses: |
(1) | The reporting person also indirectly owns 485,400 common shares as sole member of IES Family Holdings No. 2, LLC, an Ohio limited liability company. The Spouse of the reporting person beneficialy owns 10,000 common shares of which the reporting person disclaims beneficial ownership, and this report shall not be deemed as admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
(2) | The options described on this line vested on February 19, 2023. |
(3) | Of the options described on this line, 20,000 vested on February 18, 2021, 20,000 vested on February 18, 2022 and 20,000 Vested on February 18, 2023. |
(4) | The options described on this line vested on February 17, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SCHOTTENSTEIN ROBERT H 4131 WORTH AVE., SUITE 500 COLUMBUS, OH 43219 | X |
| Chairman, CEO & President |
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Signatures
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/s/Phillip G. Creek, Attorney-in-fact for Robert H. Schottenstein | | 5/2/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
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