Filing Details

Accession Number:
0000704051-20-000022
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-06 15:59:46
Reporting Period:
2020-03-04
Accepted Time:
2020-03-06 15:59:46
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 2020-03-04 5,483 $47.64 88,206 No 4 M Direct
Common Stock Acquisiton 2020-03-04 21,333 $31.24 109,539 No 4 M Direct
Common Stock Acquisiton 2020-03-04 15,006 $37.64 124,545 No 4 M Direct
Common Stock Disposition 2020-03-04 33,952 $49.82 90,593 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 2020-03-04 5,483 $0.00 5,483 $47.64
Common Stock Stock Options (Right to buy) Disposition 2020-03-04 21,333 $0.00 21,333 $31.24
Common Stock Stock Options (Right to buy) Disposition 2020-03-04 15,006 $0.00 15,006 $37.64
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2022-05-16 No 4 M Direct
7,111 2024-05-13 No 4 M Direct
15,006 2025-05-15 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.
  2. Employee stock options vest serially over four years and commencing on May 31, 2015.
  3. Employee stock options vest serially over four years and commencing on May 31, 2017.
  4. Employee stock options vest serially over four years and commencing on May 31, 2018.