0000704051-13-000078.txt : 20130501 0000704051-13-000078.hdr.sgml : 20130501 20130501165111 ACCESSION NUMBER: 0000704051-13-000078 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130430 FILED AS OF DATE: 20130501 DATE AS OF CHANGE: 20130501 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 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: 13803890 MAIL ADDRESS: STREET 1: LEGG MASON, INC. STREET 2: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-04-30 0 0000704051 LEGG MASON, INC. LM 0001206673 SULLIVAN JOSEPH A LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 0 1 0 0 President & CEO Common Stock 2013-04-30 4 F 0 11987 31.42 D 363426.89 D Common Stock 3435.42 I By 401(K) Plan Common Stock 1460 I By Child Represents shares withheld to satisfy tax obligation in connection with vesting of restricted stock. Includes the acquisition of 378.47 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan from June 15, 2012 to August 31, 2012 at prices ranging from $22.26-$24.10 and the acquisition of 1237.42 shares from September 15, 2012 to April 30, 2013 at prices ranging from $22.50-$31.17. Includes 79.445 units acquired under the Legg Mason Profit Sharing and 401(K) Plan and Trust since the date of the person's last ownership report. Units represent ownership interest in Legg Mason's Stock Fund. Note that 378.47 units initially reported as have been acquired under the Legg Mason 401(K) Plan and Trust on a Form 4 filed on 09/12/12 should have been reported as shares acquired under the Legg Mason, Inc. Employee Stock Purchase Plan and have been moved to the direct holdings listed above. /s/ Elisabeth F. Craig, Attorney-in-fact for Joseph F. Sullivan 2013-05-01