SEC Form 4 · accession 0001140361-17-017910
M/I HOMES, INC. · MHO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert H Schottenstein
Officer — Chairman, CEO and President · Director
Period of report
Apr 28, 2017
Accepted (ET)
May 2, 2017 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000799292
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Apr 28, 2017 | M | 30,000 | $12.23 | A | 88,290 | D | |
| Common SharesF1 | Apr 28, 2017 | M | 15,000 | $14.18 | A | 103,290 | D | |
| Common SharesF1 | Apr 28, 2017 | S | 45,000 | $27.20 | D | 58,290 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common SharesF2 | $12.23 | Apr 28, 2017 | M | 30,000 | D | — | Feb 8, 2022 | Common Shares | 30,000 | 0 | D |
| Option to Purchase Common SharesF3 | $14.18 | Apr 28, 2017 | M | 15,000 | D | — | Feb 8, 2021 | Common Shares | 15,000 | 0 | D |
Explanation of responses
- F1The reporting person also indirectly owns 485,400 common shares as sole manager of IES Family Holdings No. 2, LLC, an Ohio limited liability company. The spouse of the reporting person beneficially owns 10,000 common shares of which the reporting person disclaims beneficial ownership, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
- F2Of the options exercised, 15,000 vested on December 31, 2015 and 15,000 vested on December 31, 2016.
- F3The 15,000 options exercised vested on December 31, 2015.