Marsh & McLennan Suspends Employee Benefit Plan Trading

TL;DR

MMC 401(k) trading suspended starting 6/24. Check plan docs.

AI Summary

Marsh & McLennan Companies, Inc. announced a temporary suspension of trading under its employee benefit plans, effective June 24, 2024. This suspension is related to the company's 401(k) plan and is a standard procedure for administrative purposes.

Why It Matters

This filing indicates a temporary halt in trading for Marsh & McLennan's employee benefit plans, which could affect employees' ability to make changes to their investments during this period.

Risk Assessment

Risk Level: low — This is a routine administrative filing regarding employee benefit plans and does not represent a material change in the company's business or financial condition.

Key Players & Entities

• Marsh & McLennan Companies, Inc. (company) — Registrant
• June 24, 2024 (date) — Effective date of suspension
• 1166 Avenue of the Americas, New York, NY 10036 (address) — Principal Executive Offices
• 2123455000 (phone_number) — Business phone number

FAQ

Key Financial Figures

• $1.00 — ich registered Common Stock, par value $1.00 per share MMC New York Stock Exchange

Filing Documents

• mmc-20240624.htm (8-K) — 34KB
• exhibitbtrblackout.htm (EX-99.1) — 13KB
• imagea.jpg (GRAPHIC) — 9KB
• mmc-20240624_g1.jpg (GRAPHIC) — 80KB
• 0000062709-24-000056.txt ( ) — 425KB
• mmc-20240624.xsd (EX-101.SCH) — 3KB
• mmc-20240624_def.xml (EX-101.DEF) — 15KB
• mmc-20240624_lab.xml (EX-101.LAB) — 27KB
• mmc-20240624_pre.xml (EX-101.PRE) — 16KB
• mmc-20240624_htm.xml (XML) — 4KB

04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

Item 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans On June 24, 2024, a notice (the "Notice") of an upcoming blackout period for trading in Marsh & McLennan Companies, Inc. ("Marsh McLennan" or the "Company") Common Stock was issued to executive officers and directors of the Company and to the Securities and Exchange Commission (the "SEC") pursuant to Rule 104 of Regulation Blackout Trading Restriction ("BTR") under Sarbanes-Oxley Act of 2002. The blackout period, which is necessary to transfer the individual accounts, including those accounts with Marsh McLennan Common Stock, and the recordkeeping services related to the Company's 401(k) Savings and Investment Plan (the "401(k) Plan") from the current administrator of the 401(k) Plan to Alight Solutions LLC, is expected to begin on July 26, 2024 at 4:00 p.m. Easter Time and is expected to be completed by the week of August 12, 2024. Under Sarbanes-Oxley Act of 2002 and SEC Regulation BTR, the Company's directors and executive officers generally will be prohibited from effecting any direct or indirect transactions in Marsh McLennan Stock (including any derivative security thereof, inside or outside of the 401(k) Plan) during the blackout period. During the blackout period and for a period of two years after the ending date of the blackout period, stockholders or other interested persons may obtain, without charge, answers to other inquiries about the BTR Blackout Period, by contacting Connor Kuratek, Deputy General Counsel, Chief Compliance Officer and Corporate Secretary, Marsh & McLennan Companies, at 1166 Avenue of the Americas, New York, New York, 10036, phone: 212-345-8796 or connor.kuratek@mmc.com. A copy of the Notice is attached hereto as Exhibit 99.1 and is incorporated by reference herein.

01 Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits (d) Exhibits 99.1 Notice of Blackout Period Under the Marsh & McLennan Companies 401(k) Savings & Investment Plan & Marsh & McLennan Agency 401(k) Savings & Investment Plan (As Required by Rule 104 Under SEC Regulation Blackout Trading Restriction). 2

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. MARSH & McLENNAN COMPANIES, INC. By: /s/ Connor Kuratek Name: Connor Kuratek Title: Deputy General Counsel and Corporate Secretary Date: June 24, 2024 3