SEC Form 5 · accession 0000704051-18-000041
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
Mar 31, 2018
Accepted (ET)
Apr 27, 2018 · 11:46 am 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 Stock | Nov 15, 2017 | G | 1,844 | $0.00 | D | 393,302 | D | |
| Common Stock | Nov 16, 2017 | G | 395 | $0.00 | D | 392,907 | D | |
| Common Stock | Nov 17, 2017 | G | 5,266 | $0.00 | D | 387,641 | D | |
| Common Stock | Nov 20, 2017 | G | 1,054 | $0.00 | D | 386,587 | D | |
| Common Stock | holding | — | — | — | 5,604 | I | By 401K |
Table II — derivative securities
No Table II lines on this filing.