-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FwL7WJ8IICiSghIUwo6J8uJQEZYypdI9jQc89Yx5cFcvLz/0+bnoY/7aSP8gUM0Y h9bVvELgqd6Zo5rRzUjhaw== 0000009749-96-000047.txt : 20030213 0000009749-96-000047.hdr.sgml : 20030213 19960214112834 ACCESSION NUMBER: 0000009749-96-000047 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960214 SROS: AMEX SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MARSH & MCLENNAN COMPANIES INC CENTRAL INDEX KEY: 0000062709 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 362668272 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35738 FILM NUMBER: 96518545 BUSINESS ADDRESS: STREET 1: 1166 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2123455000 MAIL ADDRESS: STREET 1: 1166 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: MARLENNAN CORP DATE OF NAME CHANGE: 19760505 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13G 1 MARSH & MCLENNON COS INC. 13-G FILING BANKERS TRUST COMPANY One Bankers Trust Plaza New York, New York 10006 Damian P. Reitemeyer Mailing Address: Vice President P.O. Box 318 Telephone: 212-250-4599 Church Street Station New York, NY 10008 February 14, 1996 Securities and Exchange Commission SEC Document Control 450 Fifth Street, N.W. Washington, DC 20549 Attn: Filing Desk Dear Sirs: Re: Filing of Schedule 13G on Marsh & McLennan Companies Inc Pursuant to Rule 13d-1 of the General Rules and Regulations under the Securities Exchange Act of 1934, the following is one copy of the Schedule 13G with respect to the common stock of the above referenced corporation. Please acknowledge your receipt of the Schedule 13G filing submission through the EDGAR-Link System software, by E-Mail confirmation. Sincerely, /s/ Damian P. Reitemeyer Enclosures SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6 )* ____ Marsh & McLennan Companies Inc _______________________________________ NAME OF ISSUER: Common Stock (Par Value $1.00) _______________________________________ TITLE OF CLASS OF SECURITIES 571748102 _______________________________________ CUSIP NUMBER Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 ( Act ) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 8 Pages CUSIP No. 571748102 Page 2 of 8 Pages 1.NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation and its wholly-owned subsidiary, Bankers Trust Company, as Trustee for various trusts and employee benefit plans, and investment advisor 13-6180473 2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [X] 3.SEC USE ONLY 4.CITIZENSHIP OR PLACE OF ORGANIZATION Both Bankers Trust New York Corporation and Bankers Trust Company are New York Corporations NUMBER OF 5. SOLE VOTING POWER SHARES Bankers Trust New York Corporation 300 shares Bankers Trust Company 755,383 shares 755,683 shares BENEFICIALLY 6. SHARED VOTING POWER OWNED BY Bankers Trust New York Corporation 0 shares Bankers Trust Company 35,650 shares 35,650 shares EACH 7. SOLE DISPOSITIVE POWER REPORTING Bankers Trust New York Corporation 300 shares Bankers Trust Company 1,319,134 shares 1,319,434 shares PERSON 8. SHARED DISPOSITIVE POWER WITH Bankers Trust New York Corporation 0 shares Bankers Trust Company 38,141 shares 38,141 shares CUSIP No. 571748102 Page 3 of 8 Pages 9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Bankers Trust New York Corporation 300 shares Bankers Trust Company 1,357,275 shares 1,357,575 shares 10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * [X] 11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Bankers Trust New York Corporation 0.0% Bankers Trust Company 1.9% 1.9% 12.TYPE OF REPORTING PERSON * Bankers Trust New York Corporation - HC Bankers Trust Company - BK CUSIP No. 571748102 Page 4 of 8 Pages DISCLAIMER OF BENEFICIAL OWNERSHIP THE FILING OF THIS SCHEDULE G STATEMENT SHALL NOT BE CONSTRUED AS AN ADMISSION THAT BANKERS TRUST NEW YORK CORPORATION OR BANKERS TRUST COMPANY (THE BANK ), AS TRUSTEE FOR VARIOUS TRUSTS AND EMPLOYEE BENEFIT PLANS, AND INVESTMENT ADVISOR IS, FOR THE PURPOSE OF SECTION 13(g) OF THE SECURITIES AND EXCHANGE ACT OF 1934, OR FOR ANY OTHER PURPOSE, THE BENEFICIAL OWNER OF THE SECURITIES SET FORTH IN ITEM 4(a)(ii) HEREOF. Item 1(a) NAME OF ISSUER: Marsh & McLennan Companies Inc Item 1(b) ADDRESS OF ISSUER S PRINCIPAL EXECUTIVE OFFICES: 1221 Ave. of the Americas New York, NY 10020 Item 2(a) NAME OF PERSON FILING: Bankers Trust New York Corporation, and its wholly-owned subsidiary, Bankers Trust Company, as Trustee for various trusts, and employee benefit plans, and investment advisor. Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 280 Park Avenue New York, New York 10017 Item 2(c) CITIZENSHIP: Bankers Trust New York Corporation and Bankers Trust Company, as Trustee for various trusts, and employee benefit plans, and investment advisor, are both corporations incorporated in the State of New York with their principal business offices located in New York. Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock (Par Value $1.00) of Marsh & McLennan Companies Inc, a Delaware corporation. Item 2(e) CUSIP NUMBER: 571748102 CUSIP No. 571748102 Page 5 of 8 Pages Item 3 THE PERSON FILING IS A: For Bankers Trust New York Corporation, (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) For Bankers Trust Company, (b) [X] Bank as defined in section 3(a)(6) of the Act. Item 4 OWNERSHIP: As of December 31, 1995: (a) Amount Beneficially Owned: (i) Bankers Trust New York Corporation 300 shares Bankers Trust Company 1,357,275 shares 1,357,575 shares (ii) Bankers Trust Company was also the record owner of 4,660,295 shares held by the Bank as Trustee of the Marsh & McLennan Companies, Inc. Stock Investment Plan (the Plan ) with respect to which the bank disclaims beneficial ownership. The Plan states that each Plan participant shall have the right to direct the manner in which shares of common stock shall be voted at all stockholders meetings. The Department of Labor has expressed the view that, under certain circumstances, ERISA may require the Trustee to vote shares which are not allocated to participants accounts and unvoted shares. Since, in the view of the Bank and Bankers Trust New York Corporation, such voting power is merely a residual power based upon the occurrence of an unlikely contingency and is not a sole or shared power to vote the securities, the Bank and Bankers Trust New York Corporation hereby disclaim beneficial ownership of such securities. CUSIP No. 571748102 Page 6 of 8 Pages (b) PERCENT OF CLASS: The common stock described in Item 4(a) above as to which Bankers Trust New York Corporation and Bankers Trust Company acknowledges beneficial ownership constitutes the following Bankers Trust New York Corporation 0.0% Bankers Trust Company 1.9% 1.9% The Common Stock as to which Bankers Trust New York Corporation and Bankers Trust Company disclaims beneficial ownership constitutes 6.4% of the Issuer s outstanding Common Stock. (c) Number of shares as to which the Bank has: (i) sole power to vote or to direct the vote - Bankers Trust New York Corporation 300 shares Bankers Trust Company 755,383 shares 755,683 shares (ii) shared power to vote or to direct the vote - Bankers Trust New York Corporation 0 shares Bankers Trust Company 35,650 shares 35,650 shares (iii) sole power to dispose or to direct the disposition of - Bankers Trust New York Corporation 300 shares Bankers Trust Company 1,319,134 shares 1,319,434 shares (iv) shared power to dispose or to direct the disposition of - Bankers Trust New York Corporation 0 shares Bankers Trust Company 38,141 shares 38,141 shares Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: [ ] CUSIP No. 571748102 Page 7 of 8 Pages Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: The Issuer s Plan, and various trusts, and employee benefit plan for which the Bank serves as Trustee, and accounts for which the Bank serves as investment advisor, have the right to receive and/or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities. Item 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: See Item 3 above. Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. Item 9 NOTICE OF DISSOLUTION OF GROUP: Not Applicable CUSIP No. 571748102 Page 8 of 8 Pages Item 10 CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURE: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: as of December 31, 1995 Signature: Bankers Trust New York Corporation By: /s/James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary Signature: Bankers Trust Company, as Trustee for various trusts, and employee benefit plans, and investment advisor. By: /s/James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to Bankers Trust Company is shown below: Bankers Trust New York Corporation | 100% | Bankers Trust Company -----END PRIVACY-ENHANCED MESSAGE-----