Initial Statement of Beneficial Ownership (3)
June 04 2020 - 4:15PM
Edgar (US Regulatory)
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
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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
*
Griscom Paul |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/1/2020
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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 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Interim Principal Acctg. Offr. / |
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(Street)
CINCINNATI, OH 45202
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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) | 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 | 860 | D | |
| Common Stock | 172.9199 (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 Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Restricted Stock Units | 3/24/2021 | 3/24/2021 | Common Stock | 177 | (2) | D | |
| Restricted Stock Units | 11/20/2020 | 11/20/2020 | Common Stock | 1923 | (2) | D | |
| Restricted Stock Units | (3) | (3) | Common Stock | 459 | (2) | D | |
| Restricted Stock Units | 11/19/2021 | 11/19/2021 | Common Stock | 1511 | (2) | D | |
| Restricted Stock Units | (4) | (4) | Common Stock | 1092 | (2) | 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 June 1, 2020 by $6.37, the stock price of such date. |
| (2) | Each restricted stock unit represents a contingent right to receive one share of Macy's Common Stock. |
| (3) | The restricted stock units vest as follows: 230 on March 23, 2021 and 229 on March 23, 2022. |
| (4) | The restricted stock units vest as follows: 364 on March 21, 2021, 364 on March 21, 2022 and 364 on March 21, 2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Griscom Paul
C/O MACY'S, INC.
7 WEST SEVENTH STREET
CINCINNATI, OH 45202 |
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| Interim Principal Acctg. Offr. |
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Signatures
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| /s/Steven R. Watts, as attorney-in-fact for Paul Griscom pursuant to a Power of Attorney | | 6/4/2020 |
| **Signature of Reporting Person | Date |
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