Security-Holder Rights · Bylaw Amendment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     Form 8-K     CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2023     ARTHUR J. GALLAGHER & CO. (Exact name of registrant as specified in its charter)       Delaware   1-09761   36-2151613 (State or other jurisdiction of incorporation or organization)   (Commission File Number)   (I.R.S. Employer Identification Number)   2850 W. Golf Road , Rolling Meadows , Illinois   60008-4050 (Address of principal executive offices)   (Zip Code) Registrant’s telephone number, including area code: (630) 773-3800 Not Applicable (Former name or former address, if changed since last report)     Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:   ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)   ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)   ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))   ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities registered pursuant to Section 12(b) of the Act:   Title of each class   Trading Symbol(s)   Name of each exchange on which registered Common Stock, $1.00 par value   AJG   New York Stock Exchange Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company   ☐ 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 13(a) of the Exchange Act.   ☐       Item 3.03. Material Modification to Rights of Security Holders. The information set forth under Item 5.03 below is incorporated by reference in this Item 3.03.   Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal year. On May 9, 2023, as described below, upon the recommendation of the Board of Directors (the “ Board ”) of Arthur J. Gallagher (the “ Company ”), the Company’s stockholders approved an amendment to the Company’s Amended and Restated Certificate of Incorporation, as amended (“ Certificate of Incorporation ”) to add a provision exculpating certain of the Company’s officers from liability in specific circumstances, as permitted by Delaware law (the “ Amendment ”). As a result, the Company filed a Certificate of Amendment to the Certificate of Incorporation with the Secretary of State of the State of Delaware on May 9, 2023 (“ Certificate of Amendment ”), which became effective upon filing. Subsequently, the Company also filed a restated certificate of incorporation (the “ Restated Certificate ”) that integrated the Certificate of Incorporation, the Amendment and the previously approved Certificate of Change of Registered Agent and Location of Registered Office. The foregoing descriptions of the Amendment and the Restated Certificate are qualified in their entirety by reference to the full text of the Certificate of Amendment and Restated Certificate, respectively, copies of which are filed as Exhibit 3.1 and Exhibit 3.2, respectively, to this Current Report on Form 8-K and incorporated herein by reference.   Item 5.07. Submission of Matters to a Vote of Security Holders. The Company held its Annual Meeting of Stockholders on May 9, 2023 (the “ Annual Meeting ”). At the Annual Meeting, the Company’s stockholders (i) elected all nine director nominees, whose names appear below, to serve until the Company’s 2024 Annual Meeting of Stockholders, (ii) approved ratification of the appointment of Ernst & Young LLP as the Company’s Independent Registered Public Accounting Firm for the fiscal year ending December 31, 2023 (“ Auditor Ratification ”), (iii) approved, on a non-binding advisory basis, the Company’s named executive officers’ compensation (“ Say-on-Pay ”), (iv) voted, on an advisory basis, on the frequency of future stockholder votes to approve the compensation of the Company’s named executive officers (“ Say-on-Frequency ”), and (v) approved the amendment to the Company’s Amended and Restated Certificate of Incorporation to limit the liability of certain officers as permitted by law (“ Amendment of Certificate of Incorporation ”). The final voting results are set forth below:   Election of Directors    For      Against      Abstain      Broker Non-Votes   Sherry S. Barrat      165,991,424        10,487,282        243,860        14,741,525   William L. Bax      164,645,938        11,825,452        251,176        14,741,525   Teresa H. Clarke      174,687,709        1,482,387        552,470        14,741,525   D. John Coldman      171,034,611        5,433,267        254,688        14,741,525   J. Patrick Gallagher, Jr.      160,367,074        16,010,660        344,832        14,741,525   Election of Directors    For      Against      Abstain      Broker Non-Votes   David S. Johnson      151,390,847        25,082,156        249,563        14,741,525   Christopher C. Miskel      168,378,534        8,094,542        249,490        14,741,525   Ralph J. Nicoletti      173,881,373        2,588,402        252,791        14,741,525   Norman L. Rosenthal      170,900,070        5,571,348        251,148        14,741,525        For      Against      Abstain          Auditor Ratification      180,801,652        8,601,225        2,061,214                                  For      Against      Abstain      Broker Non-Votes   Say-on-Pay      162,510,971        13,101,987        1,109,608        14,741,525          One Year      Two Years      Three Years      Abstain      Broker Non- votes   Say-on-Frequency      174,114,410               318,203            1,580,513             709,440         14,741,525          For    Against      Abstain      Broker Non-Votes   Amendment of Certificate of Incorporation    151,881,723      24,529,733            311,110        14,741,525   The Board determined that, in light of the results of the Say-on-Frequency vote, until the next required Say-on-Frequency vote, the Company will include a non-binding advisory stockholder vote to approve the compensation of the Company’s named executive officers every year, consistent with the Board’s recommendation to stockholders and the stockholder vote.   Item 9.01 Financial Statements and Exhibits. (d)    Exhibits.   Exhibit No.    Description 3.1    Certificate of Amendment of Certificate of Incorporation of Arthur J. Gallagher & Co. 3.2    Restated Certificate of Incorporation of Arthur J. Gallagher & Co. 104    Cover Page Interactive Data File (embedded within the Inline XBRL). 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.         Arthur J. Gallagher & Co. Date: May 11, 2023     By:   /s/ WALTER D. BAY       Walter D. Bay       Vice President, General Counsel and Secretary