0000704051-20-000037.txt : 20200428 0000704051-20-000037.hdr.sgml : 20200428 20200428161603 ACCESSION NUMBER: 0000704051-20-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200424 FILED AS OF DATE: 20200428 DATE AS OF CHANGE: 20200428 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: 20825195 MAIL ADDRESS: STREET 1: LEGG MASON, INC. STREET 2: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 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 4 1 wf-form4_158810494553461.xml FORM 4 X0306 4 2020-04-24 0 0000704051 LEGG MASON, INC. LM 0001206673 SULLIVAN JOSEPH A LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 1 1 0 0 Chairman, President & CEO Common Stock 550602.52 D Common Stock 6618.44 I By 401K Phantom Stock Units 2020-04-24 4 A 0 33.53 47.05 A Common Stock 33.53 3978.23 D Phantom Stock Units acquired pursuant to and under conditions of the Legg Mason & Co., LLC Deferred Compensation/Phantom Stock Plan, as amended. See Exhibit 10.4 of the Form 10-K for the fiscal year ended March 31, 2009. 1-for-1 Melissa A. Warren, Attorney-in-fact for Joseph A. Sullivan 2020-04-28