0000704051-20-000062.txt : 20200611
0000704051-20-000062.hdr.sgml : 20200611
20200611170914
ACCESSION NUMBER: 0000704051-20-000062
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200609
FILED AS OF DATE: 20200611
DATE AS OF CHANGE: 20200611
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: 20957912
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_159190973684582.xml
FORM 4
X0306
4
2020-06-09
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
2020-06-09
4
M
0
20603
31.46
A
609593.52
D
Common Stock
2020-06-09
4
S
0
16634
50.04
D
592959.52
D
Common Stock
6663.57
I
By 401K
Stock Options (Right to buy)
31.46
2020-06-09
4
M
0
20603
0
D
2023-05-02
Common Stock
20603.0
202861
D
The sales reported in this Form 4 were effected for purpose of covering exercise cost, taxes, commissions and fees upon exercise of options.
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
2020-06-11