UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 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 | ||||
Employee stock option/Right to Buy | 02/28/2006(2) | 02/27/2015 | Common Stock | 10,000 | $ 44.69 | D | Â |
Employee stock option/Right to Buy | 03/22/2007(3) | 03/21/2016 | Common Stock | 4,132 | $ 60.5 | D | Â |
Employee stock option/Right to Buy | 03/14/2008(3) | 03/13/2017 | Common Stock | 3,275 | $ 78.5 | D | Â |
Employee stock option/Right to Buy | 03/12/2009(3) | 03/11/2018 | Common Stock | 4,676 | $ 39.78 | D | Â |
Employee stock option/Right to Buy | 03/16/2010(3) | 03/15/2019 | Common Stock | 5,317 | $ 16.09 | D | Â |
Employee stock option/Right to Buy | 03/16/2011(4) | 03/15/2020 | Common Stock | 16,593 | $ 30.72 | D | Â |
Employee stock option/Right to Buy | 03/15/2012(5) | 03/14/2021 | Common Stock | 13,158 | $ 36.58 | D | Â |
Employee stock option/Right to Buy | 02/28/2013(6) | 02/27/2022 | Common Stock | 10,707 | $ 41.34 | D | Â |
Employee stock option/Right to Buy | 03/13/2013(7) | 03/12/2022 | Common Stock | 12,842 | $ 37.63 | D | Â |
Employee stock option/Right to Buy | 04/03/2014(8) | 04/02/2023 | Common Stock | 17,610 | $ 14.43 | D | Â |
Phantom Stock Units | Â (9) | Â (9) | Common Stock | 2,060 | $ (9) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Miller Dennis P C/O J. C. PENNEY COMPANY, INC. 6501 LEGACY DRIVE PLANO, TX 75024 |
 |  |  SVP, Controller | Principal Accounting Officer |
***/s/ Brandy L. Treadway, attorney in fact | 09/30/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents equivalent shares based on units of participation in the JCPenney stock fund allocated to Mr. Miller's account in the Company's 401(k) plan, as of September 24, 2013. The shares of JCPenney common stock in the fund are held by the trustee of the 401(k) plan. Changes in the amount of securities beneficially owned reflect changes in the value of the fund, the number of units of participation in the fund held by all participants, and the number of units of participation held by Mr. Miller. |
(2) | Represents grant of employee stock options under the Company's 2001 Equity Compensation Plan. |
(3) | Represents grant of employee stock options under the Company's 2005 Equity Compensation Plan. |
(4) | Represents grant of employee stock options under the Company's 2009 Long-Term Incentive Plan. |
(5) | Represents grant of employee stock options under the Company's 2009 Long-Term Incentive Plan, which vest one-third on March 12, 2012, one-third on March 12, 2013, and one-third on March 12, 2014. |
(6) | Represents grant of employee stock options under the Company's 2009 Long-Term Incentive Plan which vest fully on February 28, 2014. |
(7) | Represents grant of employee stock options under the Company's 2009 Long-Term Incentive Plan, which vest one-third on March 13, 2013, one-third on March 13, 2014, and one-third on March 13, 2015. |
(8) | Represents grant of employee stock options under the Company's 2012 Long-Term Incentive Plan, which vest one-third on April 3, 2014, one-third on April 3, 2015 and one-third on April 3, 2016. |
(9) | Represents equivalent shares based on units of participation in the JCPenney stock fund credited to Mr. Miller's account under the Company's Mirror Savings Plan. The phantom stock units are to be settled upon the reporting person's retirement or other termination of service. |
 Remarks: *** Under POA as filed herewith. Exhibit List: Exhibit No. 24 - Power of Attorney (POA) |