Initial Statement of Beneficial Ownership (3)
March 29 2017 - 9:24AM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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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
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BAXTER TIMOTHY G
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2. Date of Event Requiring Statement (MM/DD/YYYY)
3/24/2017
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3. Issuer Name
and
Ticker or Trading Symbol
Macy's, Inc. [M]
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(Last)
(First)
(Middle)
C/O MACY'S, INC., 7 WEST SEVENTH STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Merchandising Officer /
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(Street)
CINCINNATI, OH 45202
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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341
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D
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Common Stock
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2984
(1)
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options to Purchase Common Stock
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3/25/2015
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3/25/2021
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Common Stock
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750
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$23.43
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D
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Options to Purchase Common Stock
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(2)
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3/23/2022
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Common Stock
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3000
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$39.84
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D
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Options to Purchase Common Stock
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(3)
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3/19/2023
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Common Stock
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5625
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$41.67
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D
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Options to Purchase Common Stock
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(4)
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3/28/2024
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Common Stock
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7500
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$58.92
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D
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Options to Purchase Common Stock
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(5)
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3/27/2025
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Common Stock
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23099
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$63.65
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D
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Options to Purchase Common Stock
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(6)
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3/23/2026
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Common Stock
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38961
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$43.42
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D
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Options to Purchase Common Stock
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(7)
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3/24/2027
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Common Stock
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73282
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$28.17
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D
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Restricted Stock Units
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(8)
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(8)
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Common Stock
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4243
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(9)
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D
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Explanation of Responses:
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(
1)
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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 March 24, 2017 by $28.17, the stock price of such date.
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(
2)
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Options became exercisable as follows: 1,500 on March 23, 2015 and 1,500 on March 23, 2016.
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(
3)
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Options became exercisable as follows: 1,875 on March 19, 2015; 1,875 on March 19, 2016 and 1,875 on March 19, 2017.
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(
4)
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Options became 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.
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(
5)
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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.
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(
6)
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Options became exercisable as follows: 9,741 on March 23, 2017; 9,740 on March 23, 2018; 9,740 on March 23, 2019 and 9,740 on March 23, 2020.
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(
7)
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Options become exercisable as follows: 18,321 on March 24, 2018; 18,321 on March 24, 2019; 18,320 on March 24, 2020 and 18,320 on March 24, 2021.
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(
8)
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The restricted stock units vest on March 28, 2017.
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(
9)
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Each restricted stock unit represents a contingent right to receive one share of Macy's common stock.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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BAXTER TIMOTHY G
C/O MACY'S, INC.
7 WEST SEVENTH STREET
CINCINNATI, OH 45202
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Chief Merchandising Officer
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Signatures
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/s/ Ann Munson Steins, as attorney-in-fact for Timothy G. Baxter pursuant to a Power of Attorney
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3/29/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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