SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
October 28, 2003
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(Date of earliest event reported)
Marsh & McLennan Companies, Inc.
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(Exact name of registrant as specified in its charter)
Delaware 1-5998 36-2668272
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(State or other jurisdiction (Commission File Number) (IRS Employer
of incorporation) Identification No.)
1166 Avenue of the Americas, New York, NY 10036
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(Address of principal executive offices) (Zip Code)
(212) 345-5000
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(Registrant's telephone number, including area code)
Item 5. Other Events and Required FD Disclosure
On October 28, 2003, the Securities Exchange Commission and the Commonwealth of
Massachusetts initiated administrative proceedings against Putnam Investments
and two employees in connection with alleged market timing activities.
Attached as exhibits 99.1, 99.2 and 99.3 are copies of the complaints.
Item 7. Financial Statements and Exhibits.
(a) None.
(b) None.
(c) Exhibits
99.1 Administrative Proceeding (File No 3-11317)
instituted by the SEC
99.2 Civil Action (No. 03-12082-EFH) (D. Mass.)
SEC v. Justin M. Scott and Omid Kamshad
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99.3 Administrative Complaint (Docket No. E-2003-061)
instituted by the Commonwealth of Massachusetts
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/ Leon J. Lichter
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Name: Leon J. Lichter
Title: Vice President &
Corporate Secretary
Date: October 29, 2003
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Exhibit Index
99.1 Administrative Proceeding (File No 3-11317)
instituted by the SEC
99.2 Civil Action (No. 03-12082-EFH) (D. Mass.)
SEC v. Justin M. Scott and Omid Kamshad
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99.3 Administrative Complaint (Docket No. E-2003-061)
instituted by the Commonwealth of Massachusetts