SEC Form 4 · accession 0001127602-17-008223
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 22, 2017
Accepted (ET)
Feb 24, 2017 · 4:15 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 StockF1 | 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)F2 | $73.195 | Feb 22, 2017 | A | 128,248 | A | — | Feb 21, 2027 | Common Stock | 128,248 | 128,248 | D |
| Restricted Stock UnitsF3,F5 | — | Feb 22, 2017 | A | 13,150 | A | — | — | Common Stock | 13,150 | 59,189 | D |
| Restricted Stock UnitsF3,F5 | — | Feb 22, 2017 | A | 20,314 | A | — | — | Common Stock | 20,314 | 79,503 | D |
Explanation of responses
- F1Reflects 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.
- F2These options were granted on February 22, 2016 and vest in four equal annual installments on February 22nd of 2017, 2018, 2019 and 2020.
- F3The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis.
- F4These restricted stock units vest in three equal annual installments on February 28th of 2018, 2019 and 2020.
- F5Not Applicable.
- F6These restricted stock units relate to performance stock units that were granted on February 24, 2014 for the performance period 2014-2016. The performance factor for these performance stock units was determined on February 22, 2017.