Filing Details
- Accession Number:
- 0000704051-17-000014
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-17 12:37:12
- Reporting Period:
- 2017-02-16
- Filing Date:
- 2017-02-17
- Accepted Time:
- 2017-02-17 12:37:12
- 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 | 2017-02-16 | 35,000 | $27.45 | 387,156 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-16 | 29,744 | $36.06 | 357,412 | 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 | 2017-02-16 | 35,000 | $0.00 | 35,000 | $27.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-07-23 | 2017-07-22 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,163 | Indirect | By 401K |
Footnotes
- Represents a sale of shares upon the exercise of options, to pay the option exercise price and related tax withholding.
- Includes the acquisition of 215.28 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan for dates January 13th, January 31st and February 15th, 2017 at prices ranging from $27.65 to $31.29.
- Employee stock options vested serially over 5 years commencing on July 23, 2010.
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