Filing Details
- Accession Number:
- 0000704051-18-000108
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-26 15:58:11
- Reporting Period:
- 2018-09-24
- Accepted Time:
- 2018-09-26 15:58:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1708289 | Frances Cashman | Legg Mason, Inc. 100 International Drive Baltimore MD 21202 | 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 | 2018-09-24 | 10,064 | $31.47 | 72,937 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-09-24 | 500 | $31.66 | 72,437 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-09-24 | 1,800 | $31.65 | 70,637 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-09-24 | 2,500 | $31.60 | 68,137 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-09-24 | 902 | $31.60 | 67,235 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-09-24 | 4,356 | $31.59 | 62,879 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2018-09-24 | 10,064 | $0.00 | 10,064 | $31.47 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-05-31 | 2018-11-01 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected for 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 vest serially over 5 years commencing on May 31, 2011.
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