Securities Registration: Employee Benefit Plan (s-8)
31 7월 2018 - 6:25AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on July 30, 2018
Registration
No. 333-
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
S-8
REGISTRATION STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
MARSH & McLENNAN COMPANIES, INC.
(Exact Name of Registrant as Specified in Its Charter)
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Delaware
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36-2668272
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(State or Other Jurisdiction of
Incorporation or Organization)
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(I.R.S. Employer
Identification No.)
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1166 Avenue of the Americas
New York, New York 10036-2774
(212)
345-5000
(Address, including zip code, and telephone number, including area code, of Registrants principal executive offices)
MARSH & McLENNAN COMPANIES
1999 EMPLOYEE STOCK PURCHASE PLAN
(Full Title of the Plan)
Katherine J. Brennan
Marsh & McLennan Companies, Inc.
1166 Avenue of the Americas
New York, New York 10036-2774
(Name and Address of Agent for Service)
(212)
345-5000
(Telephone Number, Including Area Code, of Agent for Service)
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company or an emerging growth company. See the definitions of large accelerated filer, accelerated filer, smaller reporting company and emerging growth company in Rule
12b-2
of the Exchange Act.
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Large accelerated filer
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☒
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Accelerated filer
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☐
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Non-accelerated filer
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☐ (Do not check if a smaller reporting company)
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Smaller reporting company
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☐
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Emerging Growth Company
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☐
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
CALCULATION OF
REGISTRATION FEE
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Title of Securities
to be Registered
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Amount
to be
Registered(1)
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Proposed
Maximum
Offering
Price
Per Share(2)
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Proposed
Maximum Aggregate
Offering Price(2)
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Amount of
Registration Fee(3)
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Common Stock, $1.00 par value
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4,750,000
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$85.43
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$405,792,500
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$50,521.17
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(1)
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This Registration Statement on Form
S-8
(this Registration Statement) covers shares of Common Stock, par value $1.00 per share (Common Stock) of
Marsh & McLennan Companies, Inc. (the Company or the Registrant) issuable pursuant to the Companys 1999 Employee Stock Purchase Plan (the Plan), and any additional shares of Common Stock that become
issuable under the Plan by reason of any stock dividend, stock split, or other similar transaction pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the Securities Act).
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(2)
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Estimated pursuant to Rule 457(h) and Rule 457(c) under the Securities Act, solely for the purpose of computing the registration fee, based on the average of the high and low prices reported for a share of Common Stock
on the New York Stock Exchange on July 26, 2018.
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(3)
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Rounded up to the nearest penny.
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EXPLANATORY NOTE
This Registration Statement has been prepared and filed pursuant to and in accordance with the requirements of General Instruction E to Form
S-8
for the purpose of registering an additional 4,750,000 shares of Common Stock that are issuable at any time or from time to time under the Plan. Pursuant to General Instruction E, the contents of the
Registration Statement on Form
S-8
filed for the Plan with the Securities and Exchange Commission (the Commission) on July 20, 2000 (Registration
No. 333-41828),
including the documents incorporated by reference therein, are incorporated by reference into this Registration Statement, except as supplemented by the information set forth below.
PART 1
The information
specified in Item 1 and Item 2 of Part I of Form
S-8
is omitted from this filing in accordance with the provisions of Rule 428 under the Securities Act and the introductory note to Part I of the Form
S-8
instructions. The document containing the information specified in Part I will be delivered to the participants in the Plan as required by Rule 428(b)(1).
PART II
INFORMATION
REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Documents by Reference
The following documents filed are incorporated herein by reference:
(a) The Companys Annual Report on Form
10-K
for the year ended December 31, 2017, filed with
the Commission on February 22, 2018 (File
No. 001-05998).
(b) The Companys current
reports on Form
8-K
filed after the fiscal year ended December 31, 2017.
(c) The
Companys Registration Statement on Form
8-B
dated May 22, 1969, as amended by an Amendment on Form 8, dated February 3, 1987, describing the Common Stock, including any amendment or reports
filed for the purpose of updating such description.
In addition, all documents subsequently filed by the Company pursuant to Sections
13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act), prior to the filing of a post-effective amendment to this Registration Statement which indicates that all securities offered have been sold
or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference in this Registration Statement and to be a part hereof from the date of the filing of such documents.
Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or
superseded for purposes of this Registration Statement to the extent that a statement contained herein (or in any other subsequently filed document which also is incorporated or deemed to be incorporated by reference herein), modifies or supersedes
such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.
Item 5. Interests of Named Experts and Counsel
Katherine J. Brennan, Deputy General Counsel, Corporate Secretary & Chief Compliance Officer of the Company will pass upon the
validity of the offered securities. Ms. Brennan is eligible to participate in the Plan.
Item 8. Exhibits.
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Incorporated herein by reference
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets
all of the requirements for filing on Form
S-8
and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New
York, on July 30, 2018.
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MARSH & McLENNAN COMPANIES, INC.
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By:
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/s/ Daniel S. Glaser
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Name:
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Daniel S. Glaser
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Title:
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Director, President and Chief Executive Officer
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POWER OF ATTORNEY
The undersigned directors and officers of the Marsh & McLennan Companies, Inc. hereby appoint each of Katherine J. Brennan, Tiffany D. Wooley and
Connor Kuratek as
attorneys-in-fact
for the undersigned, with full power of substitution for, and in the name, place and stead of the undersigned, to sign and file with
the Securities and Exchange Commission under the Securities Act of 1933, any and all amendments (including post-effective amendments) and exhibits to this registration statement on Form
S-8
(or any other
registration statement for the same offering that is to be effective upon filing pursuant to Rule 462(b) under the Securities Act of 1933) and any and all applications and other documents to be filed with the Securities and Exchange Commission
pertaining to the registration of the securities covered hereby, with full power and authority to do and perform any and all acts and things whatsoever requisite and necessary or desirable, hereby ratifying and confirming all that said
attorney-in-fact,
or his her substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the following capacities
on July 30, 2018.
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Signature
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Title
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/s/ Daniel S. Glaser
Daniel S. Glaser
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Director, President and Chief Executive Officer
(Principal Executive Officer)
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/s/ Mark C. McGivney
Mark C. McGivney
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Chief Financial Officer
(Principal Financial Officer)
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/s/ Stacy M. Mills
Stacy M. Mills
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Vice President and Controller
(Principal Accounting Officer)
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/s/ Anthony K. Anderson
Anthony K. Anderson
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Director
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/s/ Oscar Fanjul
Oscar Fanjul
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Director
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/s/ H. Edward Hanway
H. Edward Hanway
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Director
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/s/ Deborah C. Hopkins
Deborah C. Hopkins
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Director
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/s/ Elaine La Roche
Elaine La Roche
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Director
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/s/ Steven A. Mills
Steven A. Mills
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Director
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/s/ Bruce P. Nolop
Bruce P. Nolop
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Director
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Signature
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Title
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/s/ Marc D. Oken
Marc D. Oken
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Director
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/s/ Morton O. Schapiro
Morton O. Schapiro
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Director
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/s/ Lloyd M. Yates
Lloyd M. Yates
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Director
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/s/ R. David Yost
R. David Yost
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Director
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