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
- Due to administrative error, the transaction date for the option exercise was incorrectly reported and has been adjusted to reflect the correct transaction date.
- 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.
- Employee stock options vests serially over five years and commenced on May 31, 2011.