SEC Form 4 · accession 0001127602-15-030323
MARSH & MCLENNAN COMPANIES, INC. · MRSH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Zaffino
Officer — President & CEO, Marsh
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000062709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 8, 2015 | G | 3,600 | $0.00 | D | 142,910 | D | |
| Common Stock | Nov 2, 2015 | M | 100,000 | $0.00 | A | 242,910 | D | |
| Common Stock | Nov 2, 2015 | S | 100,000 | $56.0105 | D | 142,910 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F2 | $19.045 | Nov 2, 2015 | M | 100,000 | D | — | Feb 22, 2019 | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- F2These options were granted on February 23, 2009 and vested in four equal annual installments on February 23rd of 2010, 2011, 2012, and 2013.