Amended Annual Statement of Changes in Beneficial Ownership (5/a)
May 06 2020 - 4:14PM
Edgar (US Regulatory)
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ]
Form 3 Holdings Reported
[ ]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Cashman Frances | 2. Issuer Name and Ticker or Trading SymbolLEGG MASON, INC. [LM] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Former EVP |
(Last)
(First)
(Middle)
LEGG MASON, INC., 100 INTERNATIONAL DRIVE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 3/31/2020 |
(Street)
BALTIMORE, MD 21202
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) 4/28/2020 | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | 9/12/2019 | | G | 5250 | D | $0 | 0 (1) | D | |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Due to administrative error, the Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year was incorrectly reported in Table I and has been adjusted to reflect the correct amount. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cashman Frances LEGG MASON, INC. 100 INTERNATIONAL DRIVE BALTIMORE, MD 21202 |
|
|
| Former EVP |
Signatures
|
Melissa A. Warren, Attorney-in-Fact for Frances Cashman | | 5/6/2020 |
**Signature of Reporting Person | Date |
Legg Mason (NYSE:LM)
Historical Stock Chart
From Dec 2024 to Jan 2025
Legg Mason (NYSE:LM)
Historical Stock Chart
From Jan 2024 to Jan 2025