Filing Details

Accession Number:
0000704051-17-000014
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-17 12:37:12
Reporting Period:
2017-02-16
Filing Date:
2017-02-17
Accepted Time:
2017-02-17 12:37:12
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
1206673 A Joseph Sullivan Legg Mason, Inc.
100 International Drive
Baltimore MD 21202
Chairman, President & Ceo Yes 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 2017-02-16 35,000 $27.45 387,156 No 4 M Direct
Common Stock Disposition 2017-02-16 29,744 $36.06 357,412 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2017-02-16 35,000 $0.00 35,000 $27.45
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2010-07-23 2017-07-22 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,163 Indirect By 401K
Footnotes
  1. Represents a sale of shares upon the exercise of options, to pay the option exercise price and related tax withholding.
  2. Includes the acquisition of 215.28 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan for dates January 13th, January 31st and February 15th, 2017 at prices ranging from $27.65 to $31.29.
  3. Employee stock options vested serially over 5 years commencing on July 23, 2010.