0000704051-20-000061.txt : 20200610 0000704051-20-000061.hdr.sgml : 20200610 20200610165418 ACCESSION NUMBER: 0000704051-20-000061 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200608 FILED AS OF DATE: 20200610 DATE AS OF CHANGE: 20200610 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: 20955292 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 1 wf-form4_159182243971442.xml FORM 4 X0306 4 2020-06-08 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 2020-06-08 4 M 0 276536 31.46 A 812246.52 D Common Stock 2020-06-08 4 S 0 223256 50.04 D 588990.52 D Common Stock 6663.57 I By 401K Stock Options (Right to buy) 31.46 2020-06-08 4 M 0 276536 0 D 2023-05-02 Common Stock 276536.0 223464 D The sales reported in this Form 4 were effected for purpose of covering exercise cost, taxes, commissions and fees upon exercise of options. Includes 45.28 units acquired under the Legg Mason Profit Sharing and 401(k)Plan and Trust, and 0.15 units sold for the purpose of covering mandatory administrative fees imposed on the plan participants' accounts, since the date of the person's last ownership report. Units represent ownership interest in Legg Mason's stock fund. The options vest as follows: 25% vest on 05/02/2015; another 25% vest on the later of 05/02/2015 and the first day on which the closing price of Legg Mason's common stock on the New York Stock Exchange ("NYSE") has equaled or exceeded $36.46 for 20 consecutive trading days; and the remaining increments vest on the first day on which the closing price of Legg Mason's common stock on the NYSE has equaled or exceeded $41.46 and $46.46 for 20 consecutive trading days, respectively. Melissa A. Warren, Attorney-in-fact for Joseph A. Sullivan 2020-06-10