Filing Details
- Accession Number:
- 0000704051-20-000025
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-04-01 18:06:21
- Reporting Period:
- 2020-03-31
- Accepted Time:
- 2020-04-01 18:06:21
- 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 |
|---|---|---|---|---|---|---|---|
| 1573686 | Terence Johnson | 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 | 2020-03-31 | 25,468 | $23.72 | 150,834 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-31 | 31,419 | $35.16 | 182,253 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-31 | 6,414 | $47.64 | 188,667 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-31 | 25,000 | $47.64 | 213,667 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-31 | 25,000 | $47.64 | 238,667 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-31 | 25,000 | $31.24 | 263,667 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-31 | 34,112 | $31.24 | 297,779 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-31 | 33,339 | $37.64 | 331,118 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-03-31 | 18,558 | $48.72 | 312,560 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-31 | 159,742 | $48.80 | 152,818 | 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 | 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 | 2020-03-31 | 25,468 | $0.00 | 25,468 | $23.72 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-31 | 31,419 | $0.00 | 31,419 | $35.16 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-31 | 6,414 | $0.00 | 6,414 | $47.64 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-31 | 25,000 | $0.00 | 25,000 | $47.64 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-31 | 25,000 | $0.00 | 25,000 | $47.64 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-31 | 25,000 | $0.00 | 25,000 | $31.24 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-31 | 34,112 | $0.00 | 34,112 | $31.24 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2020-03-31 | 33,339 | $0.00 | 33,339 | $37.64 |
| 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 | |
| 50,000 | 2022-05-16 | No | 4 | M | Direct | |
| 25,000 | 2022-05-16 | No | 4 | M | Direct | |
| 0 | 2022-05-16 | No | 4 | M | Direct | |
| 53,817 | 2024-05-13 | No | 4 | M | Direct | |
| 19,705 | 2024-05-13 | No | 4 | M | Direct | |
| 33,339 | 2025-05-15 | No | 4 | M | Direct |
Footnotes
- The transaction reported in this Form 4 were effected for purpose of covering exercise cost, taxes, commissions and fees upon exercise of options.
- Employee stock options vests serially over four years commencing on May 31, 2013.
- Employee stock options vest serially over four 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 commencing on May 31, 2018.
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