SEC Form 3
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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 08/27/2021 | 3. Issuer Name and Ticker or Trading Symbol Macy's, Inc. [ M ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
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 | 60,477.1058 | D |
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 Purchased Common Stock | (1) | 03/23/2022 | Common Stock | 24,549 | 39.84 | D | |
Options to Purchased Common Stock | (2) | 03/19/2023 | Common Stock | 24,691 | 41.67 | D | |
Options to Purchased Common Stock | (3) | 03/28/2024 | Common Stock | 23,597 | 58.92 | D | |
Options to Purchased Common Stock | (4) | 03/27/2025 | Common Stock | 23,099 | 63.65 | D | |
Options to Purchased Common Stock | (5) | 03/23/2026 | Common Stock | 38,961 | 43.42 | D | |
Options to Purchased Common Stock | (6) | 03/24/2027 | Common Stock | 73,282 | 28.17 | D | |
Options to Purchased Common Stock | (7) | 03/23/2028 | Common Stock | 43,272 | 27.21 | D | |
Options to Purchased Common Stock | (8) | 03/21/2029 | Common Stock | 55,058 | 24.03 | D | |
Restricted Stock Units | 03/23/2022 | 03/23/2022 | Common Stock | 2,600 | (9) | D | |
Restricted Stock Units | (10) | (10) | Common Stock | 5,888 | (9) | D | |
Restricted Stock Units | (11) | (11) | Common Stock | 112,047 | (9) | D | |
Restricted Stock Units | (12) | (12) | Common Stock | 48,691 | (9) | D | |
Phantom Stock Units | (13) | (13) | Common Stock | 17,894 | (9) | D |
Explanation of Responses: |
1. Options became exercisable as follows: 6,137 on March 23, 2013, 6,137 on March 23, 2014, 6,137 on March 23, 2015 and 6,138 on March 23, 2016. |
2. Options became exercisable as follows: 6,173 on March 19, 2014, 6,173 on March 19, 2015, 6,173 on March 19, 2016 and 6,172 on March 19, 2017. |
3. Options became exercisable as follows: 5,899 on March 28, 2015, 5,899 on March 28, 2016, 5,899 on March 28, 2017 and 5,900 on March 28, 2018. |
4. Options became exercisable as follows: 5,775 on March 27, 2016, 5,775 on March 27, 2017, 5,775 on March 27, 2018 and 5,774 on March 27, 2019. |
5. Options became exercisable as follows: 9,740 on March 23, 2017, 9,740 on March 23, 2018, 9,740 on March 23, 2019 and 9,741 on March 23, 2020. |
6. Options became exercisable as follows: 18,320 on March 24, 2018, 18,321 on March 24, 2019, 18,320 on March 24, 2020 and 18,321 on March 24, 2021. |
7. Options became/become exercisable as follows: 10,818 on March 23, 2019, 10,818 on March 23, 2020, 10,818 on March 23, 2021 and 10,818 on March 23, 2022. |
8. Options became/become exercisable as follows: 13,764 on March 21, 2020, 13,765 on March 21, 2021, 13,764 on March 21, 2022 and 13,765 March 21, 2023. |
9. Each restricted/phantom stock unit represents a contingent right to receive one share of Macy's Common Stock. |
10. The restricted stock units vest as follows: 2,944 on March 21, 2022 and 2,944 on March 21, 2023. |
11. The restricted stock units vest as follows: 37,349 on July 9, 2022, 37,349 on July 9, 2023 and 37,349 on July 9, 2024. |
12. The restricted stock units vest as follows: 12,172 on March 25, 2022, 12,173 on March 25, 2023, 12,173 on March 25, 2024 and 12,173 on March 25, 2025. |
13. 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. |
Remarks: |
Exhibit List Exhibit 24 - Power of Attorney |
/s/Steven R. Watts, as attorney-in-fact for Antony Spring pursuant to a Power of Attorney | 09/07/2021 | |
** 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. |