SEC Form 4 · accession 0000704051-17-000029
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 1, 2017
Accepted (ET)
May 2, 2017 · 3:20 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 1, 2017 | F | 4,413 | $37.98 | D | 350,346 | D | |
| Common Stock | holding | — | — | — | 5,163 | I | By 401K |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld to satisfy tax obligations in connection with vesting of restricted stock and restricted stock units.
- F2Includes the acquisition of 63.57 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan for date April 28th at a price of $32.77.