0000704051-18-000061.txt : 20180518 0000704051-18-000061.hdr.sgml : 20180518 20180518141231 ACCESSION NUMBER: 0000704051-18-000061 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180515 FILED AS OF DATE: 20180518 DATE AS OF CHANGE: 20180518 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Merchant Thomas C CENTRAL INDEX KEY: 0001573664 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08529 FILM NUMBER: 18846073 MAIL ADDRESS: STREET 1: LEGG MASON, INC. STREET 2: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 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 4/A 1 wf-form4a_152666709143850.xml FORM 4/A X0306 4/A 2018-05-15 2018-05-17 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 2018-05-15 4 A 0 11715 0 A 65939.95 D Common Stock 2018-05-16 4 M 0 2801 33.25 A 68740.95 D Common Stock 2018-05-16 4 S 0 2537 38.80 D 66203.95 D Stock Options (Right to buy) 33.25 2018-05-16 4 M 0 2801 0 D 2018-05-18 Common Stock 2801.0 0 D Due to administrative error, the transaction date for the option exercise was incorrectly reported and has been adjusted to reflect the correct transaction date. The sales reported in this Form 4 were effected for the purpose of covering exercise cost, taxes, commissions and fees upon exercise of options pursuant to a Rule 10b5-1 trading plan adopted by the person on October 30, 2017. Employee stock options vests serially over five years and commenced on May 31, 2011. Melissa A. Warren, Attorney-in-fact for Thomas C. Merchant 2018-05-18