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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 | ||||||||
Phantom Stock (1) | (2) | 07/31/2007 | A | 14 (3) | (1) | (1) | Common Shares | 14 | $ 24.55 | 14 | D | ||||
Stock Unit (4) | (2) | 07/31/2007 | A | 3.0595 (5) | (4) | (4) | Common Shares | 3.0595 | $ 24.55 | 3,007.5224 | D | ||||
Phantom Stock (7) | (2) | 08/01/2007 | M | 14 | 08/01/2007 | 08/01/2007 | Common Shares | 14 | (7) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MIRO JEFFREY H 38500 NORTH WOODWARD AVENUE SUITE 100 BLOOMFIELD HILLS, MI 48304 |
X |
Phillip G. Creek, Attorney-in-Fact for Jeffrey H. Miro | 08/02/2007 | |
**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 Phantom Stock units accrue under the M/I Homes, Inc. Director Deferred Compensation Plan (the "Deferred Plan") and will be settled in Common Shares upon the earlier of (i) the date specified by the reporting person in his deferral notice, or (ii) the date of the reporting person's termination of service as a director of M/I Homes, Inc. |
(2) | 1-for-1 |
(3) | Represents Phantom Stock units credited to the reporting person's Deferred Compenstion Account under the Deferred Plan for dividends accrued on Common Shares underlying Phantom Stock units held by the reporting person under the Deferred Plan. |
(4) | The Stock Units accrue under the M/I Homes, Inc. 2006 Director Equity Incentive Plan (the "Director Plan") and will be settled in Common Shares as of the date of the Director's separation from service from the Company. |
(5) | Represents Stock Units credited to the reporting person under the Director Plan for dividends accrued on Common Shares underlying Stock Units held by the reporting person under the Director Plan. |
(6) | Common Shares acquired pursuant to 1-for-1 exchange for Phantom Stock units (see Table II). |
(7) | The Phantom Stock units accured from time to time under the M/I Homes, Inc. Director Deferred Comepnsation Plan (the "Plan") in lieu of cash payments for serving as a member of the Board of Directors. The reporting person accquired all such Phantom Stock units at the closing price of the M/I Homes, Inc. common shares of the New York Stock Exchange on the date of allocation of such Phantom Stock units to the reporting person's deferred compensation account under the Plan. |