0000704051-20-000088.txt : 20200804 0000704051-20-000088.hdr.sgml : 20200804 20200804191745 ACCESSION NUMBER: 0000704051-20-000088 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200731 FILED AS OF DATE: 20200804 DATE AS OF CHANGE: 20200804 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDBERG MICHELLE J CENTRAL INDEX KEY: 0001650305 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08529 FILM NUMBER: 201075000 MAIL ADDRESS: STREET 1: 601 UNION STREET, SUITE 3100 CITY: SEATTLE STATE: WA ZIP: 98101 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_159658304946821.xml FORM 4 X0306 4 2020-07-31 1 0000704051 LEGG MASON, INC. LM 0001650305 GOLDBERG MICHELLE J LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE MD 21202 1 0 0 0 Restricted Stock Units 2020-07-31 4 D 0 10620.39 0 D Common Stock 10620.39 0 D 1-for-1 Restricted stock units acquired 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's 2013 Annual Meeting of Stockholders. These restricted stock units were disposed of in exchange for (i) (A) $50, multiplied by (B) the number of shares of the issuer's common stock represented by such restricted stock units immediately prior to the effective time of the merger, plus (ii) the amount of any accrued but unpaid dividend equivalent rights under such restricted stock units, net of any taxes withheld pursuant to the merger agreement. Melissa A. Warren, Attorney-in-fact for Michelle J. Goldberg 2020-08-04