0000704051-14-000011.txt : 20140114 0000704051-14-000011.hdr.sgml : 20140114 20140114151526 ACCESSION NUMBER: 0000704051-14-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140110 FILED AS OF DATE: 20140114 DATE AS OF CHANGE: 20140114 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: 14527148 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 2014-01-10 0 0000704051 LEGG MASON, INC. LM 0001206673 SULLIVAN JOSEPH A LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 0 1 0 0 President & CEO Common Stock 374575.07 D Common Stock 3899.91 I By 401(K) Phantom Stock Units 2014-01-10 4 A 0 6.2 41.63 A Common Stock 6.2 1993.7 D Includes the acquisition of 5.39 shares of Legg Mason Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan on January 7, 2014 at a price of $43.99. Phantom Stock Units acquired 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 Elisabeth F. Craig, Attorney-in-fact for Joseph A. Sullivan 2014-01-14