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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (4) | 02/25/2013 | A(5) | 54,614 | (6) | (6) | Common Stock | 54,614 | $ 0 | 82,458 | D | ||||
Restricted Stock Units | (4) | 02/25/2013 | M(1) | 82,458 | (6) | (6) | Common Stock | 82,458 | $ 0 | 0 | D | ||||
Restricted Stk. Units (SSIP) | (4) | (6) | (6) | Common Stock | 5,867.174 | 5,867.174 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nadler David A 1166 AVENUE OF THE AMERICAS NEW YORK, NY 10036 |
Vice Chairman, Office of CEO |
/s/ Lucy Fato, Attorney-in-Fact | 02/27/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Vesting and distribution to reporting person of 82,458 shares of restricted stock units of which 46,033 shares were withheld by Marsh & McLennan Companies to cover applicable taxes. These 82,458 shares of restricted stock units relate to 4,588 restricted stock units that were granted on February 22, 2010; 9,534 restricted stock units that were granted on February 21, 2011; 13,722 restricted stock units that were granted on February 24, 2012; 27,170 performance based restricted stock units that were granted on February 21, 2011; and 27,444 performance based restricted stock units that were granted on February 24, 2012. |
(2) | Includes dividend reinvestment shares acquired on February 15, 2013. |
(3) | Reflects 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. |
(4) | The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis. |
(5) | These restricted stock units relate to performance based restricted stock units of 27,170 and 27,444 for the performance periods 2011-2012 and 2012, respectively. |
(6) | Not Applicable. |
(7) | Reflects additional shares acquired by the Supplemental Savings & Investment Plan (SSIP) Custodian at prevailing market prices. Information reported herein is based on reporting person's Plan Statement as of year end. |