SEC Form 4 · accession 0001127602-17-009723
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 28, 2017
Accepted (ET)
Mar 2, 2017 · 4:29 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 | Feb 28, 2017 | M | 36,030 | $0.00 | A | 179,446 | D | |
| Common Stock | Feb 28, 2017 | F | 18,108 | $73.28 | D | 161,338 | 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 UnitsF2,F3 | — | Feb 28, 2017 | M | 36,030 | D | — | — | Common Stock | 36,030 | 43,473 | D |
Explanation of responses
- F1Vesting and distribution to reporting person of 36,030 shares underlying restricted stock units of which 18,108 were withheld by Marsh & McLennan Companies to cover applicable taxes. These 36,030 shares underlying restricted stock units relate to 5,643 restricted stock units that were granted on February 24, 2014, 20,314 restricted stock units relating to performance stock units that were granted on February 24, 2014 for the performance period 2014-2016, 4,985 restricted stock units that were granted on February 23, 2015, and 5,088 restricted stock units that were granted on February 22, 2016.
- F2The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis.
- F3Not Applicable.