0001209191-16-113924.txt : 20160412
0001209191-16-113924.hdr.sgml : 20160412
20160412093230
ACCESSION NUMBER: 0001209191-16-113924
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160411
FILED AS OF DATE: 20160412
DATE AS OF CHANGE: 20160412
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: Trian Partners Strategic Investment Fund-A, L.P.
CENTRAL INDEX KEY: 0001507560
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08529
FILM NUMBER: 161566432
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trian Partners Strategic Investment Fund, L.P.
CENTRAL INDEX KEY: 0001484676
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08529
FILM NUMBER: 161566433
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE, 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: (212) 451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE, 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trian Partners Master Fund (ERISA), L.P.
CENTRAL INDEX KEY: 0001507254
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08529
FILM NUMBER: 161566435
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trian Partners, L.P.
CENTRAL INDEX KEY: 0001345465
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08529
FILM NUMBER: 161566436
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRIAN FUND MANAGEMENT, L.P.
CENTRAL INDEX KEY: 0001345471
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08529
FILM NUMBER: 161566437
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER NAME:
FORMER CONFORMED NAME: Trian Fund Management, L.P.
DATE OF NAME CHANGE: 20051128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trian Partners Master Fund, L.P.
CENTRAL INDEX KEY: 0001345466
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08529
FILM NUMBER: 161566431
BUSINESS ADDRESS:
STREET 1: C/O STATE STREET (CAYMAN) TRUST, LIMITED
STREET 2: 45 MARKET ST., GARDENIA CT., STE. 3307
CITY: CAMANA BAY, GRAND CAYMAN
STATE: E9
ZIP: KY1-1103
BUSINESS PHONE: 212-451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trian Partners Parallel Fund I, L.P.
CENTRAL INDEX KEY: 0001345007
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08529
FILM NUMBER: 161566434
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3000
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER NAME:
FORMER CONFORMED NAME: TRIAN PARTNERS PARALLEL FUND I L P
DATE OF NAME CHANGE: 20051121
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-04-11
1
0000704051
LEGG MASON, INC.
LM
0001345471
TRIAN FUND MANAGEMENT, L.P.
280 PARK AVENUE, 41ST FLOOR
NEW YORK
NY
10017
0
0
0
1
Former 10% Owner
0001345465
Trian Partners, L.P.
280 PARK AVENUE
41ST FLOOR
NEW YORK
NY
10017
0
0
0
1
Former 10% Owner
0001507254
Trian Partners Master Fund (ERISA), L.P.
280 PARK AVENUE
41ST FLOOR
NEW YORK
NY
10017
0
0
0
1
Former 10% Owner
0001345007
Trian Partners Parallel Fund I, L.P.
280 PARK AVENUE
41ST FLOOR
NEW YORK
NY
10017
0
0
0
1
Former 10% Owner
0001484676
Trian Partners Strategic Investment Fund, L.P.
280 PARK AVENUE
41ST FLOOR
NEW YORK
NY
10017
0
0
0
1
Former 10% Owner
0001507560
Trian Partners Strategic Investment Fund-A, L.P.
280 PARK AVENUE
41ST FLOOR
NEW YORK
NY
10017
0
0
0
1
Former 10% Owner
0001345466
Trian Partners Master Fund, L.P.
280 PARK AVENUE
41ST FLOOR
NEW YORK
NY
10017
0
0
0
1
Former 10% Owner
Common Stock, $.10 par value
2016-04-11
4
S
0
10526153
32.00
D
513743
I
Please see explanation below
Trian Fund Management GP, LLC is the general partner of Trian Fund Management, L.P, which serves as the management company for Trian Partners, L.P. ("Trian Onshore"), Trian Partners Master Fund, L.P. ("Trian Offshore"), Trian Partners Parallel Fund I, L.P. ("Parallel Fund I"), Trian Partners Master Fund (ERISA), L.P. ("Trian ERISA Fund"), Trian Partners Strategic Investment Fund, L.P. ("Strategic Fund" ) and Trian Partners Strategic Investment Fund-A, L.P. ("Strategic Fund-A").
(FN 1, contd.) Trian Partners General Partner, LLC is the general partner of Trian Partners GP, L.P., which is the general partner of Trian Onshore and Trian Offshore. Trian Partners Parallel Fund I General Partner, LLC is the general partner of Parallel Fund I. Trian Partners (ERISA) General Partner, LLC is the general partner of Trian Partners (ERISA) GP, L.P., which is the general partner of Trian ERISA Fund. Trian Partners Strategic Investment Fund General Partner, LLC is the general partner of Trian Partners Strategic Investment Fund GP, L.P., which is the general partner of Strategic Fund and Trian Partners Strategic Investment Fund-A General Partner, LLC is the general partner of Trian Partners Strategic Investment Fund-A GP, L.P., which is the general partner of Strategic Fund-A.
(FN 2, contd.) Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
Each of Trian Fund Management GP, LLC; Trian Partners General Partner, LLC; Trian Partners (ERISA) General Partner, LLC, Trian
Partners Parallel Fund I General Partner, LLC; Trian Partners Strategic Investment Fund General Partner, LLC, Trian Partners Strategic
Investment Fund-A General Partner, LLC (the "GP Entities") is also a reporting person. Since the SEC's filing system will not accept CIK
and CCC codes from more than ten joint filers of a report, the individual GP Entities have filed a separate Form 4 that relates to the same
securities reported herein. Thus, in total, there are thirteen (13) joint filers: the GP Entities, Trian Fund Management, L.P. and each of the
other persons that is signatory to this Form 4.
Trian Fund Management, L.P., By: Trian Fund Management GP, LLC, By: Edward P. Garden, Member
2016-04-12
Trian Partners, L.P., By: Trian Partners GP, L.P., By: Trian Partners General Partner, LLC, By: Edward P. Garden, Member
2016-04-12
Trian Partners Master Fund (ERISA), L.P., By: Trian Partners Master Fund (ERISA) GP, L.P., By: Trian Partners Master Fund (ERISA) General Partner, LLC, By: Edward P. Garden, Member
2016-04-12
Trian Partners Parallel Fund I, L.P., By: Trian Partners Parallel Fund I General Partner, LLC, By: Edward P. Garden, Member
2016-04-12
Trian Partners Strategic Investment Fund, L.P., By: Trian Partners Strategic Investment Fund GP, L.P., By: Trian Partners Strategic Investment Fund General Partner, LLC, By: Edward P. Garden, Member
2016-04-12
Trian Partners Strategic Investment Fund-A, L.P., By: Trian Partners Strategic Investment Fund-A GP, L.P., By: Trian Partners Strategic Investment Fund-A General Partner, LLC, By: Edward P. Garden, Member
2016-04-12
Trian Partners Master Fund, L.P., By: Trian Partners GP, L.P., By: Trian Partners General Partner, LLC, By: Edward P. Garden, Member
2016-04-12