Filing Details
- Accession Number:
- 0000704051-20-000021
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-06 15:58:30
- Reporting Period:
- 2020-03-04
- Accepted Time:
- 2020-03-06 15:58:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1510019 | Peter Nachtwey | Legg Mason, Inc. 100 International Drive Baltimore MD 21202 | Sr. Executive Vp & Cfo | 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 | 2020-03-04 | 1,266 | $35.16 | 174,420 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-04 | 40,039 | $47.64 | 214,459 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-04 | 45,535 | $31.24 | 259,994 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-04 | 28,571 | $37.64 | 288,565 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-03-04 | 39,982 | $49.80 | 248,583 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-04 | 61,739 | $49.83 | 186,844 | 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 | M | 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 | 2020-03-04 | 1,266 | $0.00 | 1,266 | $35.16 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-04 | 40,039 | $0.00 | 40,039 | $47.64 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-04 | 45,535 | $0.00 | 45,535 | $31.24 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-04 | 28,571 | $0.00 | 28,571 | $37.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-05-16 | No | 4 | M | Direct | |
| 0 | 2022-05-16 | No | 4 | M | Direct | |
| 15,179 | 2024-05-13 | No | 4 | M | Direct | |
| 28,572 | 2025-05-15 | 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, 2014.
- Employee stock options vest serially over four years commencing on May 31, 2015.
- Employee stock options vest serially over four years commencing on May 31, 2017.
- Employee stock options vest serially over four years and commencing on May 31, 2018.
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