Filing Details
- Accession Number:
- 0000704051-16-000110
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-02-02 14:55:43
- Reporting Period:
- 2016-02-01
- Filing Date:
- 2016-02-02
- Accepted Time:
- 2016-02-02 14:55:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 704051 | Legg Mason Inc. | LM | Investment Advice (6282) | 521200960 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1206673 | A Joseph Sullivan | Legg Mason, Inc. 100 International Drive Baltimore MD 21202 | Chairman, President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-02-01 | 70,822 | $14.81 | 360,811 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-02-01 | 53,418 | $29.70 | 307,393 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to buy) | Disposition | 2016-02-01 | 70,822 | $0.00 | 70,822 | $14.81 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-07-23 | 2016-07-22 | No | 4 | M | Direct |
Footnotes
- Represents a sale of shares upon the exercise of options, to pay the option exercise price and related tax withholding.
- Employee stock options vested serially over five years commencing on July 23, 2009.
Billionaire Hedge Funds
