Filing Details

Accession Number:
0000704051-18-000061
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2018-05-18 14:12:31
Reporting Period:
2018-05-15
Accepted Time:
2018-05-18 14:12:31
Original Submission Date:
2018-05-17
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
1573664 C Thomas Merchant Legg Mason, Inc.
100 International Drive
Baltimore MD 21202
Exec Vp & General Counsel 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 11,715 $0.00 65,940 No 4 A Direct
Common Stock Acquisiton 2018-05-16 2,801 $33.25 68,741 No 4 M Direct
Common Stock Disposition 2018-05-16 2,537 $38.80 66,204 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
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 2,801 $0.00 2,801 $33.25
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-05-18 No 4 M Direct
Footnotes
  1. Due to administrative error, the transaction date for the option exercise was incorrectly reported and has been adjusted to reflect the correct transaction date.
  2. 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.
  3. Employee stock options vests serially over five years and commenced on May 31, 2011.