SEC Form 4 · accession 0001127602-17-004622
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
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 4:51 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 6, 2017 | M | 59,485 | $0.00 | A | 210,221 | D | |
| Common Stock | Feb 6, 2017 | M | 51,715 | $0.00 | A | 261,936 | D | |
| Common Stock | Feb 6, 2017 | S | 111,200 | $70.256 | D | 150,736 | D | |
| Common Stock | Feb 7, 2017 | M | 2,901 | $0.00 | A | 153,637 | D | |
| Common Stock | Feb 7, 2017 | M | 3,476 | $0.00 | A | 157,113 | D | |
| Common Stock | Feb 7, 2017 | S | 6,377 | $70.048 | D | 150,736 | D | |
| Common Stock | holding | — | — | — | 19,079 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 1,209 | I | MMC 401(k) Savings & Investment Plan |
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)F3 | $30.595 | Feb 6, 2017 | M | 59,485 | D | — | Feb 20, 2021 | Common Stock | 59,485 | 40,515 | D |
| Stock Options (Right to Buy)F4 | $31.885 | Feb 6, 2017 | M | 51,715 | D | — | Feb 23, 2022 | Common Stock | 51,715 | 196,630 | D |
| Stock Options (Right to Buy)F3 | $30.595 | Feb 7, 2017 | M | 2,901 | D | — | Feb 20, 2021 | Common Stock | 2,901 | 37,614 | D |
| Stock Options (Right to Buy)F4 | $31.885 | Feb 7, 2017 | M | 3,476 | D | — | Feb 23, 2022 | Common Stock | 3,476 | 193,154 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- F2Reflects additional shares acquired by the Marsh & McLennan Companies 401(k) Savings & Investment Plan (SIP) Custodian at prevailing market prices. Information reported herein is based on reporting person's Plan Statement as of year end.
- F3These options were granted on February 21, 2011 and vested in four equal annual installments on February 21st of 2012, 2013, 2014 and 2015.
- F4These options were granted on February 24, 2012 and vested in four equal annual installments on February 24th of 2013, 2014, 2015, and 2016.