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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 | (3) | 02/12/2010 | A(4) | 845 | (5) | (5) | Common Stock | 845 | $ 0 | 75,970 | D | ||||
Restricted Stock Units | (3) | 02/12/2010 | M(1) | 1,409 | (5) | (5) | Common Stock | 1,409 | $ 0 | 74,561 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zaffino Peter 1166 AVENUE OF THE AMERICAS NEW YORK, NY 10036 |
President & CEO, Guy Carpenter |
/s/ Lucy Fato, Attorney-in-Fact | 02/16/2010 | |
**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 1,409 shares of restricted stock units (including 845 restricted stock units relating to performance based restricted stock units for the performance period 2007-2009 and 564 other restricted stock units) of which 477 shares were withheld by MMC to cover applicable taxes. |
(2) | Reflects additional shares acquired by the MMC 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. |
(3) | The security converts to MMC common stock on a 1-for-1 basis. |
(4) | These restricted stock units relate to performance based restricted stock units for the performance period 2007-2009, that vested and were distributed on February 12, 2010. |
(5) | Not Applicable. |