FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/01/2015 |
3. Issuer Name and Ticker or Trading Symbol
Macy's, Inc. [ M ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1,067 | D | |
Common Stock | 2,603(1) | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to Purchase Common Stock | (2) | 03/25/2021 | Common Stock | 1,875 | $23.43 | D | |
Option to Purchase Common Stock | (3) | 03/23/2022 | Common Stock | 3,750 | $39.84 | D | |
Option to Purchase Common Stock | (4) | 03/19/2023 | Common Stock | 5,625 | $41.67 | D | |
Option to Purchase Common Stock | (5) | 03/28/2024 | Common Stock | 7,500 | $58.92 | D | |
Restricted Stock Units | (6) | (6) | Common Stock | 6,275 | (7) | D | |
Restricted Stock Units | (8) | (8) | Common Stock | 4,799 | (7) | D | |
Restricted Stock Units | (9) | (9) | Common Stock | 3,394 | (7) | D |
Explanation of Responses: |
1. Reflects the reporting person's interest in Macy's stock under the Issuer's 401(k) plan, derived by dividing the value of the undivided interest of the reporting person in the applicable investment fund as of February 6, 2015 by $63.73, the stock price of such date. |
2. Options become exercisable as follows: 1,875 on March 25, 2015. |
3. Options become exercisable as follows: 1,875 on March 23, 2015 and 1,875 on March 23, 2016. |
4. Options become exercisable as follows: 1,875 on March 19, 2015; 1,875 on March 19, 2016 and 1,875 on March 19, 2017. |
5. Options become exercisable as follows: 1,875 on March 28, 2015; 1,875 on March 28, 2016; 1,875 on March 28, 2017 and 1,875 on March 28, 2018. |
6. The restricted stock units vest on March 23, 2015. |
7. Each restricted stock unit represents a contingent right to receive one share of Macy's common stock. |
8. The restricted stock units vest on March 19, 2016. |
9. The restricted stock units vest on March 28, 2017. |
/s/ Linda J. Balicki, as attorney-in-fact for Molly Langenstein pursuant to a Power of Attorney | 02/10/2015 | |
** 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 5 (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 Number. |