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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) | $ 30.505 | 07/31/2014 | M | 9,000 | (2) | 03/15/2015 | Common Stock | 9,000 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 30.215 | 07/31/2014 | M | 3,500 | (3) | 03/14/2016 | Common Stock | 3,500 | $ 0 | 0 | D | ||||
Stock Options (Right to Buy) | $ 29.6 | 07/31/2014 | M | 1,576 | (4) | 02/11/2017 | Common Stock | 1,576 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McDonald Scott 1166 AVENUE OF THE AMERICAS NEW YORK, NY 10036 |
CEO of Oliver Wyman Group |
/s/ Tiffany D. Wooley, Attorney-in-Fact | 08/01/2014 | |
**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) | Includes dividend reinvestment shares acquired on May 15, 2014. |
(2) | These options vested in four equal annual installments on March 16th of 2006, 2007, 2008, and 2009. These options became exercisable on February 14, 2013, when the closing price of Marsh & McLennan Companies common stock had been at least 15% higher than the exercise price of the options for ten consecutive trading days after the options had vested. |
(3) | These options vested in four equal annual installments on March 15th of 2007, 2008, 2009, and 2010. These options became exercisable on December 4, 2012, when the closing price of Marsh & McLennan Companies common stock had been at least 15% higher than the exercise price of the options for ten consecutive trading days after the options had vested. |
(4) | These options vested in four equal annual installments on February 12th of 2008, 2009, 2010, and 2011. These options became exercisable on October 13, 2012, when the closing price of Marsh & McLennan Companies common stock had been at least 15% higher than the exercise price of the options for ten consecutive trading days after the options had vested. |