SEC Form 4 · accession 0001127602-16-066582
MARSH & MCLENNAN COMPANIES, INC. · MRSH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Zaffino
Officer — Chairman, RIS and CEO, Marsh
Period of report
Nov 7, 2016
Accepted (ET)
Nov 9, 2016 · 4:18 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 | Nov 7, 2016 | M | 52,616 | $0.00 | A | 203,352 | D | |
| Common Stock | Nov 7, 2016 | S | 52,616 | $65.0515 | D | 150,736 | D | |
| Common Stock | Nov 8, 2016 | M | 56,663 | $0.00 | A | 207,399 | D | |
| Common Stock | Nov 8, 2016 | S | 56,663 | $65.1002 | D | 150,736 | 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 | $22.705 | Nov 7, 2016 | M | 52,616 | D | — | Feb 21, 2020 | Common Stock | 52,616 | 56,663 | D |
| Stock Options (Right to Buy)F2 | $22.705 | Nov 8, 2016 | M | 56,663 | D | — | Feb 21, 2020 | Common Stock | 56,663 | 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 22, 2010 and vested in four equal annual installments on February 22nd of 2011, 2012, 2013 and 2014.