SEC Form 4 · accession 0001677229-17-000002
LEGG MASON, INC. · LM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Shanda Media LTD
10% Owner
Shanda Investment Group Ltd
10% Owner
Tian Qiao Chen
Director · 10% Owner
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 6:20 am EST
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 | Mar 6, 2017 | A | 3,383 | $0.00 | A | 3,383 | D | |
| Common StockF2 | holding | — | — | — | 9,800,153 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Common Stock granted pursuant to and under the conditions of the Legg Mason, Inc. Non-Employee Director Equity Plan, as amended. See Appendix A to the definitive proxy statement for Legg Mason Inc.'s 2013 Annual Meeting of Stockholders.
- F2These shares of Common Stock are directly held by Shanda Asset Management Investment Limited. Mr. Tianqiao Chen is the sole shareholder of Shanda Media Limited. Shanda Media Limited owns 70% of all outstanding and issued shares of Shanda Investment Group Limited which is the sole shareholder of Shanda Technology Overseas Capital Company Limited. Shanda Technology Overseas Capital Company Limited is the sole shareholder of Shanda Asset Management Investment Limited.