Filing Details
- Accession Number:
- 0000704051-20-000018
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-05 15:57:18
- Reporting Period:
- 2020-03-03
- Accepted Time:
- 2020-03-05 15:57:18
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | 2020-03-03 | 7,392 | $23.72 | 86,130 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-03 | 5,771 | $35.16 | 91,901 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-03 | 11,835 | $47.64 | 103,736 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-03-03 | 21,013 | $49.83 | 82,723 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2020-03-03 | 7,392 | $0.00 | 7,392 | $23.72 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-03 | 5,771 | $0.00 | 5,771 | $35.16 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-03 | 11,835 | $0.00 | 11,835 | $47.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-05-17 | No | 4 | M | Direct | |
| 0 | 2021-05-16 | No | 4 | M | Direct | |
| 5,483 | 2022-05-16 | 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.
- Employee stock options vest serially over 4 years commencing on May 31, 2013.
- Employee stock options vest serially over 4 years commencing on May 31, 2014.
- Employee stock options vest serially over 4 years commencing on May 31, 2015.
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