0000704051-13-000085.txt : 20130503 0000704051-13-000085.hdr.sgml : 20130503 20130503124129 ACCESSION NUMBER: 0000704051-13-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130502 FILED AS OF DATE: 20130503 DATE AS OF CHANGE: 20130503 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LEGG MASON, INC. CENTRAL INDEX KEY: 0000704051 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 521200960 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4105390000 MAIL ADDRESS: STREET 1: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 FORMER COMPANY: FORMER CONFORMED NAME: LEGG MASON INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SULLIVAN JOSEPH A CENTRAL INDEX KEY: 0001206673 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08529 FILM NUMBER: 13811429 MAIL ADDRESS: STREET 1: LEGG MASON, INC. STREET 2: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-05-02 0 0000704051 LEGG MASON, INC. LM 0001206673 SULLIVAN JOSEPH A LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 0 1 0 0 President and CEO Common Stock 363426.89 D Common Stock 3435.42 I By 401(K) Plan Common Stock 1460 I By Child Stock Options (Right to Buy) 31.46 2013-05-02 4 A 0 500000 0 A 2023-05-02 Common Stock 500000 500000 D The options vest as follows: 25% vest on 05/02/2015; another 25% vest on the later of 05/02/2015 and the first day on which the closing price of Legg Mason's common stock on the New York Stock Exchange ("NYSE") has equaled or exceeded $36.46 for 20 consecutive trading days; and the remaining increments vest on the first day on which the closing price of Legg Mason's common stock on the NYSE has equaled or exceeded $41.46 and $46.46 for 20 consecutive trading days, respectively. /s/ Elisabeth F. Craig, Attoney-in-fact for Joseph A. Sullivan 2013-05-03