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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Unit (1) | (2) | 08/18/2009 | A | 1,000 (3) | (1) | (1) | Common Shares | 1,000 | $ 0 | 5,026.7922 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TRAEGER NORMAN L 3700 PARADISE DRIVE TIBURON, CA 94920 |
X |
/s/Phillip G. Creek, Attorney-in-Fact for Norman L. Traeger | 08/19/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The Stock Units accrue under the M/I Homes, Inc. 2009 Long-Term Incentive Plan (the "2009 LTIP") and will be settled in Common Shares as of the date of the Director's separation from service from the Company. |
(2) | 1-for-1 |
(3) | Represents Stock Units credited to the reporting person under the 2009 LTIP for dividends accrued on Common Shares underlying Stock Units held by the reporting person under the 2009 LTIP. |
(4) | Norman L. Traeger also accrues 4,026.7922 Stock Units under the M/I Homes, Inc. 2006 Director Equity Incentive Plan (the "Director Plan") which will be settled in Common Shares as of the date the Director's separation from service from the Company. |