0000704051-16-000122.txt : 20160419 0000704051-16-000122.hdr.sgml : 20160419 20160419155616 ACCESSION NUMBER: 0000704051-16-000122 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160415 FILED AS OF DATE: 20160419 DATE AS OF CHANGE: 20160419 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: Merchant Thomas C CENTRAL INDEX KEY: 0001573664 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08529 FILM NUMBER: 161579128 MAIL ADDRESS: STREET 1: LEGG MASON, INC. STREET 2: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 wf-form4_146109576568827.xml FORM 4 X0306 4 2016-04-15 0 0000704051 LEGG MASON, INC. LM 0001573664 Merchant Thomas C LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 0 1 0 0 Exec VP & General Counsel Common Stock 42895.64 D Phantom Stock Units 2016-04-15 4 A 0 8.53 31.58 A Common Stock 8.53 1356.85 D Includes the acquisition of 3.71 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan (the "Plan")for date April 12th, 2016 at a price of $32.08. Due to administrative error, 66.31 shares of Legg Mason, Inc. Common Stock were incorrectly reported as acquired on January 12th, 2016 pursuant to the Plan and have been subtracted from the total. Phantom Stock Units acquired pursuant to and under 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 Melissa A. Warren, Attorney-in-fact for Thomas C. Merchant 2016-04-19