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