-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UyA/koqZUfh8e8I6qOmVh54+P5gWStODt+liYHNr7mjfKQWSvlSKQHw7hUkzqj+3 GqD2DY6ccKDlnVWozaDwbQ== 0000077182-99-000012.txt : 19990624 0000077182-99-000012.hdr.sgml : 19990624 ACCESSION NUMBER: 0000077182-99-000012 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990528 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PENNEY J C CO INC CENTRAL INDEX KEY: 0000077182 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DEPARTMENT STORES [5311] IRS NUMBER: 135583779 STATE OF INCORPORATION: DE FISCAL YEAR END: 0126 FILING VALUES: FORM TYPE: 144 SEC ACT: SEC FILE NUMBER: 001-00777 FILM NUMBER: 99637422 BUSINESS ADDRESS: STREET 1: 6501 LEGACY DR CITY: PLANO STATE: TX ZIP: 75024-3698 BUSINESS PHONE: 9724311000 COMPANY DATA: COMPANY CONFORMED NAME: LOTTER C R CENTRAL INDEX KEY: 0001047101 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: J C PENNEY COMPANY INC STREET 2: PO BOX 10001 MAIL CODE 1311 CITY: DALLAS STATE: TX ZIP: 75301-0001 MAIL ADDRESS: STREET 1: JC PENNEY COMPANY INC STREET 2: PO BOX 10001 MAIL CODE 1311 CITY: DALLAS STATE: TX ZIP: 75301-0001 144 1 1
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 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. - - ---------------------------- SEC USE ONLY - - ---------------------------- DOCUMENT SEQUENCE NO. - - ---------------------------- CUSIP NUMBER - - ---------------------------- WORK LOCATION - - ---------------------------- - - -------------------------------------------------------------------------------------------- 1(a) NAME OF ISSUER (Please type or print) (b) IRS IDENT. NO. (c) S.E.C. FILE NO. J. C. PENNEY COMPANY, INC. 13-5583779 1-777 - - ----------------------------------------------------------------------------------------------------------- 1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO. AREA CODE NUMBER P. O. BOX 10001 DALLAS TX 75301-0001 972 431-1000 - - --------------------------------------------------------------------------------------------------------------------------------- 2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES (b) IRS IDENT. NO. (c) RELATIONSHIP TO ARE TO BE SOLD ISSUER Charles R. Lotter -- Executive Vice President, Secretary and General Counsel - - --------------------------------------------------------------------------------------------------------------------------------- - - --------------------------------------------------------------------------------------------------------------------------------- - - ---------------------------------------------------------- (d) ADDRESS STREET CITY STATE ZIPCODE P. O. BOX 10001 DALLAS TX 75301-0001 - - ---------------------------------------------------------- - - ---------------------------------------------------------- INSTRUCTION: THE PERSON FILING THIS NOTICE SHOULD CONTACT THE ISSUER TO OBTAIN THE I.R.S. IDENTIFICATION NUMBER AND THE S.E.C. FILE NUMBER. - - --------------------------------------------------------------------------------------------------------------------------------- 3(a) (b) SEC USE ONLY (c) (d) Title of the Name and Address of Each Broker Through Whom the Broker-Dealer Number of Shares Aggregate Class of Securities Securities are to be Offered or Each Market Maker File Number or other Units Market to be Sold who is Acquiring the Securities To Be Sold Value (See instr. 3(c)) (See instr. 3(d)) - - --------------------------------------------------------------------------------------------------------------------------------- Common Charles Schwab Stock, $0.50 19009 Preston Road 4,000 $213,750 Par Value Dallas, TX 75252 (@ $53.4375 close on 5/25/99) - - --------------------------------------------------------------------------------------------------------------------------------- - - --------------------------------------------------------------------------------------------------------------------------------- - - --------------------------------------------------------------------------------------------------------------------------------- - - ---------------------------------------------------------------------------- (e) (f) (g) Number of Shares Approximate Name of Each or Other Units Date of Sale Securities Outstanding (See instr. 3(f)) Exchange (See instr. 3(e)) (MO. DAY YR.) (See instr. 3(g)) - - ---------------------------------------------------------------------------- 259,793,511 Within 90 days New York Stock as of from 05/26/99 Exchange 04/30/99 - - ---------------------------------------------------------------------------- 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 I.R.S. identification number, if such person is an entity (c) Such person's relationship to the issuer(e.g. officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 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 securites exchange, if any, on which the securities are intended to be sold
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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 Date you Name of Acquisition Transaction Name of Person from Whom Amount of Date of Nature the Class Acquired Acquired (if gift, also give Securities Payment of date donor acquired) Acquired Payment - - --------------------------------------------------------------------------------------------------------------------------------- Common 1/26/96 Acquired pursuant to Company's J. C. Penney Company, Inc. 4,000 Stock, $0.50 Shareholder Value Award par value program - - --------------------------------------------------------------------------------------------------------------------------------- REMARKS: INSTRUCTIONS: 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.
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 Title of Securities Sold Date of Sale Amount of Gross Proceeds of Seller Securities Sold - - --------------------------------------------------------------------------------------------------------------------------------- NONE NONE NONE NONE NONE - - --------------------------------------------------------------------------------------------------------------------------------- - - --------------------------------------------------------------------------------------------------------------------------------- REMARKS: INSTRUCTIONS: ATTENTION: See the definition of "person" in paragraph (a) of Rule 144. THE PERSON FOR WHOSE ACCOUNT THE SECURITIES TO WHICH THIS NOTICE Information is to be given not only as to the person for RELATES ARE TO BE SOLD HEREBY REPRESENTS BY SIGNING THIS NOTICE whose account the securities are to be sold but also as to THAT HE DOES NOT KNOW ANY MATERIAL ADVERSE INFORMATION IN REGARD TO all other persons included in that definition. In addition, THE CURRENT AND PROSPECTIVE OPERATIONS OF THE ISSUER OF THE information shall be given as to sales by all persons whose SECURITIES TO BE SOLD WHICH HAS NOT BEEN PUBLICLY DISCLOSED. sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. 05/26/99 /s/ CHARLES R. LOTTER ----------------------------------- ---------------------------------------------- Date of Notice (Signature) CHARLES R. LOTTER 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. ------------------------------------------------------------------------------------------------------------------------ ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) ------------------------------------------------------------------------------------------------------------------------ PAGE 2
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