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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) | $ 57.325 | 02/22/2016 | A | 43,253 | (1) | 02/21/2026 | Common Stock | 43,253 | $ 0 | 43,253 | D | ||||
Restricted Stock Units | (2) | 02/22/2016 | A(3) | 4,362 | (4) | (4) | Common Stock | 4,362 | $ 0 | 13,714 | D | ||||
Restricted Stock Units | (2) | 02/22/2016 | A(5) | 9,866 | (4) | (4) | Common Stock | 9,866 | $ 0 | 23,580 | D | ||||
Restricted Stk. Units (SSIP) | (2) | (4) | (4) | Common Stock | 1,030.938 | 1,030.938 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ledford Laurie 1166 AVENUE OF THE AMERICAS NEW YORK, NY 10036 |
SVP & Chief HR Officer |
/s/ Tiffany D. Wooley, Attorney-in-Fact | 02/23/2016 | |
**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) | These options were granted on February 22, 2016 and vest in four equal annual installments on February 22nd of 2017, 2018, 2019 and 2020. |
(2) | The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis. |
(3) | These restricted stock units vest in three equal annual installments on February 28th of 2017, 2018 and 2019. |
(4) | Not Applicable. |
(5) | These restricted stock units relate to performance stock units that were granted on February 25, 2013 for the performance period 2013-2015. The performance factor for these performance stock units was determined on February 22, 2016. |