Report of Proposed Sale of Securities (144)
April 29 2021 - 02:18PM
Edgar (US Regulatory)
UNITED STATES
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OMB APPROVAL
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB Number 3235-0101
Expires: July 31, 2023
Estimated average burden
hours per response ..... 1.0
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FORM 144
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SEC USE ONLY
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NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
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DOCUMENT SEQUENCE NO.
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ATTENTION: Transmit for filing 3 copies of
this form concurrently with either placing an order with a broker to
execute sale
or executing a sale directly with a market
maker.
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CUSIP NUMBER
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1 (a) NAME OF ISSUER
(Please type or
print)
Macy's, Inc.
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(b) IRS IDENT. NO.
13-3324058
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(c) S.E.C. FILE NO.
794367
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WORK LOCATION
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1(d) ADDRESS OF
ISSUER STREET CITY STATE ZIP CODE
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(e) TELEPHONE NO.
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151 West 34th Street
New York New
York 10001
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AREA CODE
212
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NUMBER
494-1621
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE
SECURITIES ARE TO BE SOLD
John T. Harper
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(b) RELATIONSHIP TO
ISSUER
Executive Officer
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(c)
ADDRESS STREET CITY
STATE ZIP CODE
c/o Macy's, Inc.
151 West 34th Street
New
York
New York
10001
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INSTRUCTION: The person filing this notice should contact the issuer
to obtain the IRS. Identification Number and the S.E.C. File Number.
3 (a)
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(b)
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SEC USE ONLY
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(c)
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(d)
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(e)
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(f)
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(g)
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Title of the
Class of
Securities
To Be Sold
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Name and Address of Each Broker Through Whom
the Securities are to
be Offered or Each Market Maker
who is Acquiring the Securities
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Broker-Dealer
File Number
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Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
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Aggregate
Market
Value
(See instr. 3(d))
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Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
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Approximate
Date of Sale
(See instr. 3(f))
(MO DAY YR)
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Name of Each
Securities
Exchange
(See instr. 3(g))
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Common Stock
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Wells
Fargo Clearing Services, LLC
One North Jefferson Avenue
St. Louis, MO 63103
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35,000
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$598,850.00
(as of 4/28/2021)
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310,567,431
(as of 2/27/2021)
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4/29/2021
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New York Stock Exchange
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INSTRUCTIONS:
1. (a) Name of issuer
(b) Issuer's I.R.S. Identification Number
(c) Issuer's S.E.C. file number, if any
(d) Issuer's address, including zip code
(e) Issuer's telephone number, including area code
2. (a) Name of person for whose account the securities are to be
sold
(b) Such person's relationship to the issuer (e.g., officer,
director, 10%
stockholder, or member of immediate family of any of
the foregoing)
(c) Such person's address, including zip code
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3. (a) Title of the class of securities to be
sold
(b) Name and address of each broker through whom the
securities are intended to be sold
(c) Number of shares or other units to be sold (if debt
securities, give the aggregate face amount)
(d) Aggregate market value of the securities to be sold as
of a specified date within 10 days prior to the filing
of this notice
(e) Number of shares or other units of the class
outstanding, or if debt securities the face amount
thereof outstanding, as shown
by the most recent
report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
(g) Name of each securities exchange, if any, on which the
securities are intended to be sold
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Potential persons who are to 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.
SEC 1147 (02-08)
TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect
to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or
other consideration therefor:
Title of
the Class
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Date You
Acquired
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Nature of Acquisition Transaction
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Name of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount of
Securities Acquired
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Date of
Payment
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Nature of Payment
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Common Stock
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Multiple
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The shares represent stock acquired over multiple years that were
granted to the Reporting Person as restricted stock units under the
Company's equity and incentive compensation plans, in effect at
various time and as of the original grant date, and also include
dividends earned on such stock.
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Macy's, Inc.
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35,000
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N/A
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N/A
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INSTRUCTIONS:
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If the securities were purchased and full payment
therefor was not made in cash at the time of purchase, explain in
the table or in a note thereto the nature of the consideration
given. If the consideration consisted of any note or other
obligation, or if payment was made in installments describe the
arrangement and state when the note or other obligation was
discharged in full or the last installment paid.
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TABLE II - SECURITIES SOLD DURING THE PAST 3
MONTHS
Furnish the following information as to all
securities of the issuer sold during the past 3 months by the person for
whose account the securities are to be sold.
Name and Address of Seller
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Title of Securities Sold
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Date of Sale
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Amount of
Securities Sold
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Gross Proceeds
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John T. Harper
c/o Macy's, Inc.
151 West 34th Street
New York, New York 10001
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Common Stock
Common Stock
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3/22/2021
3/24/2021
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725
5,255
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$13,053.26
$85,383.24
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REMARKS:
(1) The filing of this Form 144 shall not be construed as an
admission that the undersigned is an Affiliate of the Issuer.
INSTRUCTIONS:
See the definition of "person" in paragraph (a) of Rule 144.
Information is to be given not only as to the person for whose
account the securities are to be sold but also as to all other
persons included in that definition. In addition, information shall
be given as to sales by all persons whose sales are required by
paragraph (e) of Rule 144 to be aggregated with sales for the
account of the person filing this notice.
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ATTENTION:
The person for whose account the securities
to which this notice relates are to be sold hereby represents by
signing this notice that he does not know any material adverse
information in regard to the current and prospective operations of
the Issuer of the securities to be sold which has not been publicly
disclosed. If such person has adopted a written trading plan or
given trading instructions to satisfy Rule 10b5-1 under the Exchange
Act, by signing the form and indicating the date that the plan was
adopted or the instruction given, that person makes such
representation as of the plan adoption or instruction date.
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4/29/2021
DATE OF NOTICE
3/29/2021
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
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/s/ Steven R. Watts (1)
Steven R. Watts as attorney-in-fact for
John T. Harper, pursuant to a Power of Attorney
The notice shall be signed by the person for whose
account the securities are to be sold. At least one copy of the
notice shall be manually signed. Any copies not manually signed
shall bear typed or printed signatures.
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ATTENTION: Intentional misstatements or omission
of facts constitute Federal Criminal Violations (See 18 U.S.C.
1001).
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SEC 1147 (02-08)
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