0000704051-17-000042.txt : 20170517 0000704051-17-000042.hdr.sgml : 20170517 20170517125330 ACCESSION NUMBER: 0000704051-17-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170515 FILED AS OF DATE: 20170517 DATE AS OF CHANGE: 20170517 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: 17850853 MAIL ADDRESS: STREET 1: LEGG MASON, INC. STREET 2: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 wf-form4_149503999562067.xml FORM 4 X0306 4 2017-05-15 0 0000704051 LEGG MASON, INC. LM 0001206673 SULLIVAN JOSEPH A LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 1 1 0 0 Chairman, President & CEO Common Stock 2017-05-15 4 A 0 44102 0 A 394600.97 D Common Stock 5604.15 I By 401K Stock Options (Right to buy) 37.64 2017-05-15 4 A 0 199280 0 A 2018-05-31 2025-05-15 Common Stock 199280.0 199280 D Includes the acquisition of 152.70 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan for date May 15th at a price of $32.96. Includes 441.29 units acquired under the Legg Mason Profit Sharing and 401(K)Plan and Trust since the date of the reporting person's last ownership report. Units represent ownership interest in Legg Mason's stock fund. Employee stock options vest serially over four years commencing on May 31, 2018. Melissa A. Warren, Attorney-in-fact for Joseph A. Sullivan 2017-05-17