Report of Proposed Sale of Securities (144)
15 April 2015 - 11:11PM
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: May 31, 2017
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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7 West Seventh
Street
Cincinnati Ohio 45202
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AREA CODE
513
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NUMBER
579-7000
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2 (a) NAME OF PERSON FOR
WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
Joyce Roche
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(b) RELATIONSHIP TO ISSUER
Director
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(c) ADDRESS STREET CITY
STATE ZIP CODE
c/o Macy's, Inc.
7
West Seventh Street
Cincinnati Ohio 45202
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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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Georgeson
Securities Corporation
144 Fernwood Avenue
Edison, NJ 08837
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10,000
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$680,000
(as of 4/14/15)
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341,139,919
(as of 2/27/15)
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4/15/15
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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 (08-07)
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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5/19/2006
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Shares
acquired from stock options awarded pursuant to Issuers 1995 Executive
Equity Incentive Plan.
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Macy's,
Inc.
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10,000
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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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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 each 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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4/15/2015
DATE
OF NOTICE
DATE OF PLAN
ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON
RULE 10B5-1
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/s/ Linda J. Balicki (1)
Linda
J. Balicki, as attorney-in-fact for
Joyce Roche 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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