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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCHOTTENSTEIN ROBERT H 3 EASTON OVAL COLUMBUS, OH 43219 |
X | Chairman, CEO and President |
Phillip G. Creek, attorney-in-fact for Robert H. Schottenstein | 11/23/2007 | |
**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) | Each Depositary Share represents a 1/1000th interest in a share of the Company's 9.75% Series A Preferred Shares. |
(2) | These Depositary Shares are held in the Alissa Schottenstein Skip Trust, of which the reporting person is the sole trustee. The reporting person disclaims beneficial ownership of the Depositary Shares held in this trust, and the filing of this report is not an admission that the reporting person is the beneficial owner of these Depositary Shares for purposes of Section 16 or for any other purpose. |
(3) | These Depositary Shares are held in the Joshua Schottenstein Skip Trust, of which the reporting person is the sole trustee. The reporting person disclaims beneficial ownership of the Depositary Shares held in this trust, and the filing of this report is not an admission that the reporting person is the beneficial owner of these Depositary Shares for purposes of Section 16 or for any other purpose. |
(4) | These Depositary Shares are held in the Leah Schottenstein Skip Trust, of which the reporting person is the sole trustee. The reporting person disclaims beneficial ownership of the Depositary Shares held in this trust, and the filing of this report is not an admission that the reporting person is the beneficial owner of these Depositary Shares for purposes of Section 16 or for any other purpose. |
(5) | In addition to the amounts disclosed in this report, the reporting person also indirectly owns (a) 50,000 Depositary Shares held in the Irving E. Schottenstein Marital Trust 2, of which the reporting person is one of four trustees, (b) 5,000 Depositary Shares held in the Irving E. Schottenstein Insurance Trust, of which the reporting person is one of three trustees, and (c) 1,000 Depositary Shares held in the Irving E. Schottenstein Marital Trust 1, of which the reporting person is one of four trustees. The reporting person disclaims beneficial ownership of the Depositary Shares held in each of these trusts, and the filing of this report is not an admission that the reporting person is the beneficial owner of these Depositary Shares for purposes of Section 16 or for any other purpose. |