Filing Details
- Accession Number:
- 0000704051-18-000059
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-17 17:16:18
- Reporting Period:
- 2018-05-15
- Accepted Time:
- 2018-05-17 17:16:18
- 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 | Sr. Executive Vice President | No | 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 | 2018-05-15 | 76,609 | $0.00 | 461,932 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2018-05-16 | 34,626 | $33.25 | 496,558 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-05-16 | 1,300 | $38.69 | 495,258 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 2,572 | $38.70 | 492,686 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 6,736 | $38.69 | 485,950 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 100 | $38.87 | 485,850 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 2,600 | $38.86 | 483,250 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 4,628 | $38.85 | 478,622 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 2,000 | $38.86 | 476,622 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 6,200 | $38.87 | 470,422 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-05-16 | 5,200 | $38.88 | 465,222 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2018-05-16 | 34,626 | $0.00 | 34,626 | $33.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-05-31 | 2018-05-18 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,026 | Indirect | By 401K |
Footnotes
- Includes the acquisition of 146.76 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan for date May 15th at a price of $34.30.
- The sales reported in this Form 4 were effected for the purpose of covering exercise cost, taxes, commissions and fees upon exercise of options pursuant to a Rule 10b5-1 trading plan adopted by the person on October 30, 2017.
- Includes 422.34 units acquired under the Legg Mason Profit Sharing and 401(k)Plan and Trust since the date of the person's last ownership report. Units represent ownership interest in Legg Mason's stock fund.
- Employee stock options vest serially over 5 years commencing on May 31, 2011.
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