0000704051-17-000051.txt : 20170609 0000704051-17-000051.hdr.sgml : 20170609 20170609135159 ACCESSION NUMBER: 0000704051-17-000051 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170601 FILED AS OF DATE: 20170609 DATE AS OF CHANGE: 20170609 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: Cashman Frances CENTRAL INDEX KEY: 0001708289 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08529 FILM NUMBER: 17902289 MAIL ADDRESS: STREET 1: LEGG MASON, INC. STREET 2: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 3 1 wf-form3_149703070351421.xml FORM 3 X0206 3 2017-06-01 0 0000704051 LEGG MASON, INC. LM 0001708289 Cashman Frances LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 0 1 0 0 Executive Vice President Common Stock 59333.63 D Stock Options (Right to buy) 31.47 2010-11-01 2018-11-01 Common Stock 10064.0 D Stock Options (Right to buy) 23.72 2012-05-16 2020-05-17 Common Stock 2112.0 D Stock Options (Right to buy) 35.16 2013-05-16 2021-05-16 Common Stock 3298.0 D Stock Options (Right to buy) 47.64 2014-05-16 2022-05-16 Common Stock 9975.0 D Stock Options (Right to buy) 54.51 2015-05-15 2023-05-15 Common Stock 11754.0 D Stock Options (Right to buy) 31.57 2016-05-02 2024-05-02 Common Stock 13228.0 D Phantom Stock Common Stock 1391.81 D Includes the aquisition of 2776.63 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan. Employee stock options vest serially over five years and commenced on May 31, 2011. Employee stock options vest serially over four years and commenced on May 31, 2013. Employee stock options vest serially over four years and commenced on May 31, 2014. Employee stock options vest serially over four years and commenced on May 31, 2015. Employee stock options vest serially over four years and commenced on May 31, 2016. Employee stock options vest serially over four years and commenced on May 31, 2017. Each share of Phantom Stock is the economic equivalent of one share of LM Common Stock. The shares of Phantom Stock will be settled in shares of LM Common Stock upon termination of the reporting person's employment with Legg Mason. Melissa A. Warren, Attorney-in-Fact for Frances Cashman 2017-06-09