SEC Form 4 · accession 0000704051-16-000140
LEGG MASON, INC. · LM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Sullivan
Officer — Chairman, President & CEO · Director
Period of report
May 2, 2016
Accepted (ET)
May 3, 2016 · 1:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000704051
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 2, 2016 | F | 9,498 | $32.66 | D | 298,535 | D | |
| Common Stock | holding | — | — | — | 4,609 | I | By 401K |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares sold to satisfy tax obligations in connection with vesting of restricted stock and restricted stock units.
- F2Includes the acquisition of 144.79 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan for dates April 15th and 29th, 2016 at prices ranging from $27.95 to $29.65.