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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 | ||||||||
Stock Options (Right to Buy) | $ 56.84 | 02/23/2015 | A | 149,912 | (2) | 02/22/2025 | Common Stock | 149,912 | $ 0 | 149,912 | D | ||||
Restricted Stock Units | (3) | 02/23/2015 | A(4) | 14,955 | (5) | (5) | Common Stock | 14,955 | $ 0 | 54,567 | D | ||||
Restricted Stock Units | (3) | 02/23/2015 | A(6) | 47,046 | (5) | (5) | Common Stock | 47,046 | $ 0 | 101,613 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zaffino Peter 1166 AVENUE OF THE AMERICAS NEW YORK, NY 10036 |
President & CEO, Marsh |
/s/ Tiffany D. Wooley, Attorney-in-Fact | 02/25/2015 | |
**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) | 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. |
(2) | These options were granted on February 23, 2015 and vest in four equal annual installments on February 23rd of 2016, 2017, 2018 and 2019. |
(3) | The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis. |
(4) | These restricted stock units vest in three equal annual installments on February 28, 2016, February 28, 2017, and February 28, 2018. |
(5) | Not Applicable. |
(6) | These restricted stock units relate to performance stock units that were granted on February 24, 2012 for the performance period 2012-2014. The performance factor for these performance stock units was determined on February 23, 2015. |