Filing Details

Accession Number:
0000704051-19-000053
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-05-17 13:43:24
Reporting Period:
2019-05-15
Accepted Time:
2019-05-17 13:43:24
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
Chief Financial Officer 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 2019-05-15 21,255 $0.00 167,691 No 4 A Direct
Common Stock Disposition 2019-05-16 9,520 $33.99 158,171 No 4 M Direct
Common Stock Disposition 2019-05-16 9,193 $36.13 148,978 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A 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) Acquisiton 2019-05-16 9,520 $0.00 9,520 $33.99
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-05-17 No 4 M Direct
Footnotes
  1. 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, 2018.
  2. Employee stock options vest serially over 5 years commencing on May 31, 2011.