SEC Form 4 · accession 0001127602-16-044177
MARSH & MCLENNAN COMPANIES, INC. · MRSH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander S Moczarski
Officer — President & CEO, Guy Carpenter
Period of report
Feb 28, 2016
Accepted (ET)
Mar 1, 2016 · 4:54 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 StockF2 | Feb 28, 2016 | M | 26,726 | $0.00 | A | 66,003 | D | |
| Common Stock | Feb 28, 2016 | F | 14,921 | $57.825 | D | 51,082 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Feb 28, 2016 | M | 26,726 | D | — | — | Common Stock | 26,726 | 13,001 | D |
Explanation of responses
- F1Vesting and distribution to reporting person of 26,726 shares underlying restricted stock units of which 14,921 were withheld by Marsh & McLennan Companies to cover applicable taxes. These 26,726 shares underlying restricted stock units relate to 3,426 restricted stock units that were granted on February 25, 2013, 18,497 restricted stock units relating to performance stock units that were granted on February 25, 2013 for the performance period 2013-2015, 2,604 restricted stock units that were granted on February 24, 2014, and 2,199 restricted stock units that were granted on February 23, 2015.
- F2Includes dividend reinvestment shares acquired on February 15, 2016.
- F3The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis.
- F4Not Applicable.