0000704051-13-000100.txt : 20130612 0000704051-13-000100.hdr.sgml : 20130612 20130612162632 ACCESSION NUMBER: 0000704051-13-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130611 FILED AS OF DATE: 20130612 DATE AS OF CHANGE: 20130612 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: 13909099 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 2013-06-11 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 399393.53 D Common Stock 3899.91 I By 401(K) Plan Common Stock 1460 I By Child Phantom Stock Units 2013-06-11 4 A 0 1971.69 30.43 A Common Stock 1971.69 1971.69 D Includes the acquisition of 64.61 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan on May 31, 2013. Includes 123.93 units acquired under the Legg Mason Profit Sharing and 401(K) Plan and Trust. Units represent ownership interest in Legg Mason's Stock Fund. Phantom Stock Units acquired pursuant to and under the conditions of the Legg Mason & Co., LLC Deferred Compensation/Phantom Stock Plan, as amended. See Exhibit 10.4 of the Form 10-K for the fiscal year ended March 31, 2009. 1-for-1 /s/ Elisabeth F. Craig, Attorney-in-fact for Joseph A. Sullivan 2013-06-12