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) 05/16/2008 |
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 | 169 | I(1) | 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 | ||||
Options to Purchase Common Stock | (2) | 03/23/2011 | Common Stock | 4,000 | $21.425 | D | |
Options to Purchase Common Stock | (3) | 03/22/2012 | Common Stock | 40,000 | $21.34 | D | |
Options to Purchase Common Stock | (4) | 03/26/2014 | Common Stock | 18,000 | $25.005 | D | |
Options to Purchase Common Stock | (5) | 03/25/2015 | Common Stock | 18,000 | $30.535 | D | |
Options to Purchase Common Stock | (6) | 03/24/2016 | Common Stock | 10,808 | $36.26 | D | |
Options to Purchase Common Stock | (7) | 07/24/2016 | Common Stock | 20,000 | $33.25 | D | |
Options to Purchase Common Stock | (8) | 03/23/2017 | Common Stock | 9,611 | $46.15 | D | |
Options to Purchase Common Stock | (9) | 03/21/2018 | Common Stock | 20,382 | $24.85 | D | |
Options to Purchase Common Stock | (10) | 05/16/2018 | Common Stock | 11,623 | $25.32 | D | |
Phantom Stock Units | (11) | (11) | Common Stock | 5,115 | (12) | D | |
Phantom Stock Units | 02/02/2009 | 02/02/2009 | Common Stock | 5,901 | (12) | D | |
Phantom Stock Units | (13) | (13) | Common Stock | 15,856.6 | (12) | D | |
Phantom Stock Units | (14) | (14) | Common Stock | 9,657 | (12) | D | |
Phantom Stock Units | (14) | (14) | Common Stock | 7,042 | (12) | D |
Explanation of Responses: |
1. Reflects matching contributions 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 May 16, 2008 by $25.22, the stock price as of such date. |
2. Options became exercisable in 25% increments on the following dates: March 23, 2002, March 23, 2003, March 23, 2004 and March 23, 2005. |
3. Options became exercisable in 25% increments on the following dates: March 22, 2003, March 22, 2004, March 22, 2005 and March 22, 2006. |
4. Options became exercisable in 25% increments on the following dates: March 26, 2005, March 26, 2006, March 26, 2007 and March 26, 2008. |
5. Options became/become exercisable in 25% increments on the following dates: March 25, 2006, March 25, 2007, March 25, 2008 and March 25, 2009. |
6. Options became/become exercisable in 25% increments on the following dates: March 24, 2007, March 24, 2008, March 24, 2009 and March 24, 2010. |
7. Options became/become exercisable in 25% increments on the following dates: July 24, 2007, July 24, 2008, July 24, 2009 and July 24, 2010. |
8. Options became/become exercisable in 25% increments on the following dates: March 23, 2008, March 23, 2009, March 23, 2010 and March 23, 2011. |
9. Options become exercisable in 25% increments on the following dates: March 21, 2009, March 21, 2010, March 21, 2011 and March 21, 2012. |
10. Options become exercisable in 25% increments on the following dates: May 16, 2009, May 16, 2010, May 16, 2011 and May 16, 2012. |
11. The phantom stock units were acquired under the Issuer's Executive Deferred Compensation Plan and are to be settled in the Issuer's common stock upon the reporting person's retirement. |
12. 1-for-1 conversion. |
13. The value of the phantom stock units will be payable in cash as follows: 50% on February 1, 2010 and 50% on January 31, 2011. |
14. The value of the phantom stock units will be payable in cash as follows: 50% on January 30, 2012 and 50% on February 4, 2013. |
/s/Christopher M. Kelly, as attorney-in-fact for Amy Hanson pursuant to a Power of Attorney | 05/23/2008 | |
** 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. |