FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/02/2012 |
3. Issuer Name and Ticker or Trading Symbol
MARSH & MCLENNAN COMPANIES, INC. [ MMC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 2,981.5441 | D | |
Common Stock (SIP) | 561.159 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stk. Units (SSIP) | (1) | (1) | Common Stock | 946.972 | (2) | D | |
Restricted Stock Units | (1) | (1) | Common Stock | 10,177 | (2) | D | |
Stock Options (Right to Buy) | (3) | 03/16/2014 | Common Stock | 2,315 | $27.86 | D | |
Stock Options (Right to Buy) | (4) | 03/15/2015 | Common Stock | 5,000 | $30.505 | D | |
Stock Options (Right to Buy) | (5) | 02/11/2017 | Common Stock | 3,601 | $29.6 | D | |
Stock Options (Right to Buy) | (6) | 02/21/2020 | Common Stock | 30,928 | $22.705 | D | |
Stock Options (Right to Buy) | (7) | 02/20/2021 | Common Stock | 11,245 | $30.595 | D | |
Stock Options (Right to Buy) | (8) | 02/23/2022 | Common Stock | 12,418 | $31.885 | D | |
Stock Options (Right to Buy) | 07/01/2007 | 03/19/2013 | Common Stock | 3,000 | $27.86 | D |
Explanation of Responses: |
1. Not Applicable. |
2. The security converts to Marsh & McLennan Companies common stock on a 1-for-1 basis. |
3. These options were granted on July 1, 2005. 1,736 of these options vested and became exercisable on July 1, 2007. The remaining 579 of these options vested and became exercisable on March 17, 2008. |
4. These options vested in four equal annual installments on March 16th of 2006, 2007, 2008, and 2009. These options become exercisable only if, after they are vested, the closing price of Marsh & McLennan Companies common stock is at least 15% higher than the exercise price of the options for ten consecutive trading days. |
5. These options vested in four equal annual installments on February 12th of 2008, 2009, 2010, and 2011. These options become exercisable only if, after they are vested, the closing price of Marsh & McLennan Companies common stock is at least 15% higher than the exercise price of the options for ten consecutive trading days. |
6. These options were granted on February 22, 2010 and vest in four equal annual installments beginning on the first anniversary of the grant date. The first two installments vested and became exercisable on February 22, 2011 and February 22, 2012. The remaining installments vest on February 22, 2013 and February 22, 2014. |
7. These options were granted on February 21, 2011 and vest in four equal annual installments beginning on the first anniversary of the grant date. The first installment vested and became exercisable on February 21, 2012. The remaining installments vest on February 21, 2013, February 21, 2014, and February 21, 2015. |
8. These options vest in four equal annual installments on February 24, 2013, February 24, 2014, February 24, 2015, and February 24, 2016. |
Katherine J. Brennan | 04/12/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |