Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Clarion Partners Real Estate Income Fund Inc.N/A · Entity 29238 | Director of Subadviser | June 13, 2019 | June 13, 2019 |
| FRANKLIN MANAGED MUNICIPAL INCOME TRUSTPMM · Entity 6073 | Chief Legal Officer of Advisor | September 03, 2024 | September 04, 2024 |
| FRANKLIN MASTER INTERMEDIATE INCOME TRUSTPIM · Entity 6513 | Chief Legal Officer of Advisor | September 03, 2024 | September 04, 2024 |
| FRANKLIN MUNICIPAL OPPORTUNITIES TRUSTPMO · Entity 8843 | Chief Legal Officer of Advisor | September 03, 2024 | September 04, 2024 |
| FRANKLIN PREMIER INCOME TRUSTPPT · Entity 8823 | Chief Legal Officer of Advisor | September 03, 2024 | September 04, 2024 |
| FRANKLIN TEMPLETON INCBEN · Entity 462 | EVP, General Counsel | August 31, 2026 | September 02, 2026 |
| Franklin Lexington Private Markets FundN/A · Entity 40571 | Chief Lgl Offcr of Sub-Advisor | August 13, 2024 | August 20, 2024 |
| Franklin Lexington Venture & Growth FundN/A · Entity 182978 | Chief Lgl Offcr of Sub-Advisor | September 04, 2026 | September 10, 2026 |
| WESTERN ASSET EMERGING MARKETS INCOME FUND INC.EMD · Entity 181796 | Director of Subadviser | June 30, 2015 | October 04, 2016 |
| WESTERN ASSET INFLATION-LINKED INCOME FUNDWIA · Entity 6381 | Director of Investment Manager | June 30, 2015 | January 30, 2019 |
| WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUNDWIW · Entity 8896 | Director of Subadviser | June 30, 2015 | January 30, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Clarion Partners Real Estate Income Fund Inc.
Report date June 13, 2019 · Filed June 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2019-06-13 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
FRANKLIN MANAGED MUNICIPAL INCOME TRUST
Report date September 03, 2024 · Filed September 04, 2024
This filing explicitly reported no securities owned.
FRANKLIN MASTER INTERMEDIATE INCOME TRUST
Report date September 03, 2024 · Filed September 04, 2024
This filing explicitly reported no securities owned.
FRANKLIN MUNICIPAL OPPORTUNITIES TRUST
Report date September 03, 2024 · Filed September 04, 2024
This filing explicitly reported no securities owned.
FRANKLIN PREMIER INCOME TRUST
Report date September 03, 2024 · Filed September 04, 2024
This filing explicitly reported no securities owned.
FRANKLIN TEMPLETON INC
Report date August 31, 2026 · Filed September 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.10SEC Table I · non-derivative | Direct | 82,805 |
Reported balance
After 2026-08-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-08-31 · Tax withholding · Disposed 9,807 · Balance 82,805 F1: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2: Of the amount of securities beneficially owned, 21,887 shares represent unvested restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3.
F2: Of the amount of securities beneficially owned, 21,887 shares represent unvested restricted stock units.
Franklin Lexington Private Markets Fund
Report date August 13, 2024 · Filed August 20, 2024
This filing explicitly reported no securities owned.
Franklin Lexington Venture & Growth Fund
Report date September 04, 2026 · Filed September 10, 2026
This filing explicitly reported no securities owned.
WESTERN ASSET EMERGING MARKETS INCOME FUND INC.
Report date June 30, 2015 · Filed October 04, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2015-06-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: The Reporting Person does not beneficially own any securities of the issuer, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person does not beneficially own any securities of the issuer, directly or indirectly.
WESTERN ASSET INFLATION-LINKED INCOME FUND
Report date June 30, 2015 · Filed January 30, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2015-06-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: The Reporting Person does not beneficially own any securities of the issuer, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person does not beneficially own any securities of the issuer, directly or indirectly.
WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND
Report date June 30, 2015 · Filed January 30, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2015-06-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: The Reporting Person does not beneficially own any securities of the issuer, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person does not beneficially own any securities of the issuer, directly or indirectly.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
LEGG MASON, INC.
Report date July 31, 2020 · Filed August 04, 2020
Section 16 reporting ended · disclosed 2020-08-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-07-31 transaction · row 1
1 source rowRow 1 · 2020-07-31 · Disposition to issuer · Disposed 92,269.63 · Balance 0 F1: These shares were disposed of pursuant to the Agreement and Plan of Merger dated as of February 17, 2020 among the issuer, Alpha Sub, Inc. and Franklin Resources, Inc. in exchange for $50 per share on the effective date of the merger. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.64 · Expires 2025-05-15 | Direct | 0 |
Reported balance
After 2020-07-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-07-31 · Disposition to issuer · Disposed 15,006 · Balance 0 F3: This option was terminated and cancelled as of immediately prior to the effective time of the merger and converted into the right to receive a lump sum cash payment in an amount equal to (A) the number of shares of the issuer's Common Stock underlying such option as of immediately prior to the effective time, multiplied by (B) an amount equal to (x) $50, minus (y) the exercise price of such option, net of any taxes withheld pursuant to the merger agreement F2: Employee stock options vest serially over four years and commencing on May 31, 2018. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.24 · Expires 2024-05-13 | Direct | 0 |
Reported balance
After 2020-07-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-07-31 · Disposition to issuer · Disposed 7,111 · Balance 0 F3: This option was terminated and cancelled as of immediately prior to the effective time of the merger and converted into the right to receive a lump sum cash payment in an amount equal to (A) the number of shares of the issuer's Common Stock underlying such option as of immediately prior to the effective time, multiplied by (B) an amount equal to (x) $50, minus (y) the exercise price of such option, net of any taxes withheld pursuant to the merger agreement F4: Employee stock options vest serially over four years and commencing on May 31, 2017. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-31 · Disposition to issuer · Disposed 1,584.18 · Balance 0 F5: 1-for-1 F7: The Legg Mason & Co., LLC Deferred Compensation/Phantom Stock Plan ("Plan") has been amended to provide that units previously delineated in common stock of the issuer will be equitably adjusted into the number of units delineated in common stock of Franklin Resources, Inc. based on the $50 per share merger consideration, and all distributions under the Plan will be made in cash. F6: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were disposed of pursuant to the Agreement and Plan of Merger dated as of February 17, 2020 among the issuer, Alpha Sub, Inc. and Franklin Resources, Inc. in exchange for $50 per share on the effective date of the merger.
F2: Employee stock options vest serially over four years and commencing on May 31, 2018.
F3: This option was terminated and cancelled as of immediately prior to the effective time of the merger and converted into the right to receive a lump sum cash payment in an amount equal to (A) the number of shares of the issuer's Common Stock underlying such option as of immediately prior to the effective time, multiplied by (B) an amount equal to (x) $50, minus (y) the exercise price of such option, net of any taxes withheld pursuant to the merger agreement
F4: Employee stock options vest serially over four years and commencing on May 31, 2017.
F5: 1-for-1
F6: 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.
F7: The Legg Mason & Co., LLC Deferred Compensation/Phantom Stock Plan ("Plan") has been amended to provide that units previously delineated in common stock of the issuer will be equitably adjusted into the number of units delineated in common stock of Franklin Resources, Inc. based on the $50 per share merger consideration, and all distributions under the Plan will be made in cash.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 31, 2026 Filed Sep 2, 2026 20:17 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 9,807 | $34.15 | $334,909.05 |
DisclosureSEC source: 0000038777-26-000248 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 82,805 F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2 · balance_after: Of the amount of securities beneficially owned, 21,887 shares represent unvested restricted stock units. Read SEC document |
| December 01, 2025 Filed Dec 3, 2025 22:00 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 8,091 | $22.54 | $182,371.14 |
DisclosureSEC source: 0000038777-25-000264 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,612 F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2 · balance_after: Of the amount of securities beneficially owned, 41,879 shares represent unvested restricted stock units. Read SEC document |
| November 04, 2025 Filed Nov 5, 2025 22:42 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | GrantCommon Stock, par value $.10 | 16,494 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000038777-25-000224 · form4.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,703 F1 · shares: During prior three years, the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 4, 2025, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2025 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2025. F2 · price: Not applicable. F3 · balance_after: Of the amount of securities beneficially owned, 41,879 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2025 as reported in Footnote 1). Read SEC document |
| November 04, 2025 Filed Nov 5, 2025 22:42 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | GrantCommon Stock, par value $.10 | 22,688 | $22.59 | $512,521.92 |
DisclosureSEC source: 0000038777-25-000224 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 84,209 Read SEC document |
| August 31, 2025 Filed Sep 3, 2025 18:39 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 8,877 | $25.66 | $227,783.82 |
DisclosureSEC source: 0000038777-25-000180 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,521 F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2 · balance_after: Of the amount of securities beneficially owned, 19,191 shares represent unvested restricted stock units. Read SEC document |
| December 01, 2024 Filed Dec 3, 2024 19:10 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 3,866 | $22.76 | $87,990.16 |
DisclosureSEC source: 0001127602-24-028387 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,398 F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2 · balance_after: Of the amount of securities beneficially owned, 37,567 shares represent unvested restricted stock units. Read SEC document |
| November 05, 2024 Filed Nov 7, 2024 18:20 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | GrantCommon Stock, par value $.10 | 8,002 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-24-026672 · form4.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,264 F1 · shares: During prior three years, the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 5, 2024, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2024 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2024. F2 · price: Not applicable. F3 · balance_after: Of the amount of securities beneficially owned, 37,567 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2024 as reported in Footnote 1). Read SEC document |
| November 05, 2024 Filed Nov 7, 2024 18:20 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | GrantCommon Stock, par value $.10 | 20,287 | $20.95 | $425,012.65 |
DisclosureSEC source: 0001127602-24-026672 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,262 Read SEC document |
| August 31, 2024 Filed Sep 4, 2024 17:57 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 6,303 | $20.24 | $127,572.72 |
DisclosureSEC source: 0001127602-24-023376 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,975 F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2 · balance_after: Of the amount of securities beneficially owned, 17,280 shares represent unvested restricted stock units. Read SEC document |
| December 01, 2023 Filed Dec 5, 2023 20:19 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 2,098 | $25.63 | $53,771.74 |
DisclosureSEC source: 0001127602-23-028831 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,278 F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2 · balance_after: Of the amount of securities beneficially owned, 36,201 shares represent unvested restricted stock units. Read SEC document |
| November 02, 2023 Filed Nov 6, 2023 23:58 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | GrantCommon Stock, par value $.10 | 4,461 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-23-026874 · form4.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,376 F1 · shares: On November 3, 2022, the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 2, 2023, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2023 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on December 1, 2023. F2 · price: Not applicable. F3 · balance_after: Of the amount of securities beneficially owned, 36,201 shares represent unvested restricted stock unit awards (which excludes the unvested restricted stock units scheduled to vest on December 1, 2023 as reported in Footnote 1). Read SEC document |
| November 02, 2023 Filed Nov 6, 2023 23:58 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | GrantCommon Stock, par value $.10 | 17,000 | $23.53 | $400,010.00 |
DisclosureSEC source: 0001127602-23-026874 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,915 Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 19:12 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 4,415 | $26.74 | $118,057.10 |
DisclosureSEC source: 0001127602-23-023667 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,915 F1 · shares: Reflects payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with Rule 16b-3. F2 · balance_after: Of the amount of securities beneficially owned, 19,201 shares represent unvested restricted stock units. Read SEC document |
| November 03, 2022 Filed Nov 7, 2022 22:14 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | GrantCommon Stock, par value $.10 | 17,842 | $22.42 | $400,017.64 |
DisclosureSEC source: 0001127602-22-025042 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,330 F1 · balance_after: Of the amount of securities beneficially owned, 32,456 shares represent unvested restricted stock unit awards. Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 16:41 UTC | FRANKLIN TEMPLETON INC BEN · Entity 462 | Tax withholdingCommon Stock, par value $.10 | 2,435 | $26.07 | $63,480.45 |
DisclosureSEC source: 0001127602-22-021962 · form4.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,488 F1 · balance_after: Of the amount of securities beneficially owned, 14,614 shares represent unvested restricted stock unit awards. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 19:29 UTC | LEGG MASON, INC. LM · Entity 15820 | Disposition to issuerPhantom Stock Units · Derivative | 1,584.18 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000704051-20-000094 · wf-form4_159658370120881.xml · derivative · entry 4 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,584.18 shares Expires not disclosed F5 · derivative.exercise_price: 1-for-1 F7 · price: The Legg Mason & Co., LLC Deferred Compensation/Phantom Stock Plan ("Plan") has been amended to provide that units previously delineated in common stock of the issuer will be equitably adjusted into the number of units delineated in common stock of Franklin Resources, Inc. based on the $50 per share merger consideration, and all distributions under the Plan will be made in cash. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 19:29 UTC | LEGG MASON, INC. LM · Entity 15820 | Disposition to issuerStock Options (Right to buy) · Derivative | 7,111 | Not disclosed Strike: $31.24 | Not disclosed |
DisclosureSEC source: 0000704051-20-000094 · wf-form4_159658370120881.xml · derivative · entry 3 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,111 shares Expires 2024-05-13 F3 · price: This option was terminated and cancelled as of immediately prior to the effective time of the merger and converted into the right to receive a lump sum cash payment in an amount equal to (A) the number of shares of the issuer's Common Stock underlying such option as of immediately prior to the effective time, multiplied by (B) an amount equal to (x) $50, minus (y) the exercise price of such option, net of any taxes withheld pursuant to the merger agreement F4 · derivative.exercise_date: Employee stock options vest serially over four years and commencing on May 31, 2017. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 19:29 UTC | LEGG MASON, INC. LM · Entity 15820 | Disposition to issuerStock Options (Right to buy) · Derivative | 15,006 | Not disclosed Strike: $37.64 | Not disclosed |
DisclosureSEC source: 0000704051-20-000094 · wf-form4_159658370120881.xml · derivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,006 shares Expires 2025-05-15 F3 · price: This option was terminated and cancelled as of immediately prior to the effective time of the merger and converted into the right to receive a lump sum cash payment in an amount equal to (A) the number of shares of the issuer's Common Stock underlying such option as of immediately prior to the effective time, multiplied by (B) an amount equal to (x) $50, minus (y) the exercise price of such option, net of any taxes withheld pursuant to the merger agreement F2 · derivative.exercise_date: Employee stock options vest serially over four years and commencing on May 31, 2018. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 19:29 UTC | LEGG MASON, INC. LM · Entity 15820 | Disposition to issuerCommon Stock | 92,269.63 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000704051-20-000094 · wf-form4_159658370120881.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: These shares were disposed of pursuant to the Agreement and Plan of Merger dated as of February 17, 2020 among the issuer, Alpha Sub, Inc. and Franklin Resources, Inc. in exchange for $50 per share on the effective date of the merger. Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 17:04 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantPhantom Stock Units · Derivative | 13.27 | $47.35 | $628.33 |
DisclosureSEC source: 0000704051-20-000076 · wf-form4_159536546421336.xml · derivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,584.18 Underlying: Common Stock · 13.27 shares Expires not disclosed F1 · security: 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. F2 · derivative.exercise_price: 1-for-1 F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| June 26, 2020 Filed Jun 29, 2020 17:36 UTC | LEGG MASON, INC. LM · Entity 15820 | GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000704051-20-000072 · wf-form4_159346650272800.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,269.63 Read SEC document |
| April 30, 2020 Filed May 4, 2020 13:56 UTC | LEGG MASON, INC. LM · Entity 15820 | Tax withholdingCommon Stock | 1,642 | $49.77 | $81,722.34 |
DisclosureSEC source: 0000704051-20-000049 · wf-form4_158861495164695.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,269.63 F1 · shares: Represents shares sold to satisfy tax obligations in connection with vesting of restricted stock units. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 16:18 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantPhantom Stock Units · Derivative | 13.24 | $47.05 | $622.94 |
DisclosureSEC source: 0000704051-20-000039 · wf-form4_158810510117176.xml · derivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,570.91 Underlying: Common Stock · 13.24 shares Expires not disclosed F1 · security: 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. F2 · derivative.exercise_price: 1-for-1 F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 13:28 UTC | LEGG MASON, INC. LM · Entity 15820 | Tax withholdingCommon Stock | 4,036 | $49.13 | $198,288.68 |
DisclosureSEC source: 0000704051-20-000028 · wf-form4_158697167210007.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,911.63 F2 · security: Represents shares sold to satisfy tax obligations in connection with vesting of performance share units. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 13:28 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantCommon Stock | 8,354.85 | $0.00 | $0.00 |
DisclosureSEC source: 0000704051-20-000028 · wf-form4_158697167210007.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,947.63 F1 · security: Represents shares issued upon vesting of performance share unit awards, as approved by the Compensation Committee of the Board of Directors of Legg Mason, Inc. on April 13, 2020. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 15:59 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionStock Options (Right to buy) · Derivative | 15,006 | $0.00 Strike: $37.64 | $0.00 |
DisclosureSEC source: 0000704051-20-000022 · wf-form4_158352836796362.xml · derivative · entry 7 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,006 Underlying: Common Stock · 15,006 shares Expires 2025-05-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: Employee stock options vest serially over four years and commencing on May 31, 2018. F4 · derivative.exercise_date: Employee stock options vest serially over four years and commencing on May 31, 2018. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 15:59 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionStock Options (Right to buy) · Derivative | 21,333 | $0.00 Strike: $31.24 | $0.00 |
DisclosureSEC source: 0000704051-20-000022 · wf-form4_158352836796362.xml · derivative · entry 6 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,111 Underlying: Common Stock · 21,333 shares Expires 2024-05-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Employee stock options vest serially over four years and commencing on May 31, 2017. F3 · derivative.exercise_date: Employee stock options vest serially over four years and commencing on May 31, 2017. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 15:59 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionStock Options (Right to buy) · Derivative | 5,483 | $0.00 Strike: $47.64 | $0.00 |
DisclosureSEC source: 0000704051-20-000022 · wf-form4_158352836796362.xml · derivative · entry 5 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,483 shares Expires 2022-05-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Employee stock options vest serially over four years and commencing on May 31, 2015. F2 · derivative.exercise_date: Employee stock options vest serially over four years and commencing on May 31, 2015. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 15:59 UTC | LEGG MASON, INC. LM · Entity 15820 | SaleCommon Stock | 33,952 | $49.82 | $1,691,488.64 |
DisclosureSEC source: 0000704051-20-000022 · wf-form4_158352836796362.xml · nonDerivative · entry 4 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,592.78 F1 · kind: The sales reported in this Form 4 were effected for purpose of covering exercise cost, taxes, commissions and fees upon exercise of options. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 15:59 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionCommon Stock | 15,006 | $37.64 | $564,825.84 |
DisclosureSEC source: 0000704051-20-000022 · wf-form4_158352836796362.xml · nonDerivative · entry 3 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,544.78 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 15:59 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionCommon Stock | 21,333 | $31.24 | $666,442.92 |
DisclosureSEC source: 0000704051-20-000022 · wf-form4_158352836796362.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,538.78 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 15:59 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionCommon Stock | 5,483 | $47.64 | $261,210.12 |
DisclosureSEC source: 0000704051-20-000022 · wf-form4_158352836796362.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,205.78 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 03, 2020 Filed Mar 5, 2020 15:57 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionStock Options (Right to buy) · Derivative | 11,835 | $0.00 Strike: $47.64 | $0.00 |
DisclosureSEC source: 0000704051-20-000018 · wf-form4_158344182079713.xml · derivative · entry 7 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,483 Underlying: Common Stock · 11,835 shares Expires 2022-05-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: Employee stock options vest serially over 4 years commencing on May 31, 2015. F4 · derivative.exercise_date: Employee stock options vest serially over 4 years commencing on May 31, 2015. Read SEC document |
| March 03, 2020 Filed Mar 5, 2020 15:57 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionStock Options (Right to buy) · Derivative | 5,771 | $0.00 Strike: $35.16 | $0.00 |
DisclosureSEC source: 0000704051-20-000018 · wf-form4_158344182079713.xml · derivative · entry 6 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,771 shares Expires 2021-05-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Employee stock options vest serially over 4 years commencing on May 31, 2014. F3 · derivative.exercise_date: Employee stock options vest serially over 4 years commencing on May 31, 2014. Read SEC document |
| March 03, 2020 Filed Mar 5, 2020 15:57 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionStock Options (Right to buy) · Derivative | 7,392 | $0.00 Strike: $23.72 | $0.00 |
DisclosureSEC source: 0000704051-20-000018 · wf-form4_158344182079713.xml · derivative · entry 5 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,392 shares Expires 2020-05-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Employee stock options vest serially over 4 years commencing on May 31, 2013. F2 · derivative.exercise_date: Employee stock options vest serially over 4 years commencing on May 31, 2013. Read SEC document |
| March 03, 2020 Filed Mar 5, 2020 15:57 UTC | LEGG MASON, INC. LM · Entity 15820 | SaleCommon Stock | 21,013 | $49.83 | $1,047,077.79 |
DisclosureSEC source: 0000704051-20-000018 · wf-form4_158344182079713.xml · nonDerivative · entry 4 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,722.78 F1 · kind: The sales reported in this Form 4 were effected for purpose of covering exercise cost, taxes, commissions and fees upon exercise of options. Read SEC document |
| March 03, 2020 Filed Mar 5, 2020 15:57 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionCommon Stock | 11,835 | $47.64 | $563,819.40 |
DisclosureSEC source: 0000704051-20-000018 · wf-form4_158344182079713.xml · nonDerivative · entry 3 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,735.78 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 03, 2020 Filed Mar 5, 2020 15:57 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionCommon Stock | 5,771 | $35.16 | $202,908.36 |
DisclosureSEC source: 0000704051-20-000018 · wf-form4_158344182079713.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,900.78 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 03, 2020 Filed Mar 5, 2020 15:57 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionCommon Stock | 7,392 | $23.72 | $175,338.24 |
DisclosureSEC source: 0000704051-20-000018 · wf-form4_158344182079713.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,129.78 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 15:54 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantPhantom Stock Units · Derivative | 17.05 | $36.15 | $616.36 |
DisclosureSEC source: 0000704051-20-000006 · wf-form4_158033124414019.xml · derivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,557.67 Underlying: Common Stock · 17.05 shares Expires not disclosed F2 · security: 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. F3 · derivative.exercise_price: 1-for-1 F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 14:03 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantPhantom Stock Units · Derivative | 17.36 | $35.10 | $609.34 |
DisclosureSEC source: 0000704051-19-000118 · wf-form4_157298059211248.xml · derivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,540.62 Underlying: Common Stock · 17.36 shares Expires not disclosed F2 · security: 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. F3 · derivative.exercise_price: 1-for-1 F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 14:32 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantPhantom Stock Units · Derivative | 16.53 | $36.45 | $602.52 |
DisclosureSEC source: 0000704051-19-000084 · wf-form4_156451154371148.xml · derivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,523.26 Underlying: Common Stock · 16.53 shares Expires not disclosed F2 · security: 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. F3 · derivative.exercise_price: 1-for-1 F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| May 16, 2019 Filed May 17, 2019 13:45 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionStock Options (Right to buy) · Derivative | 5,712 | $0.00 Strike: $33.99 | $0.00 |
DisclosureSEC source: 0000704051-19-000054 · wf-form4_155811510571481.xml · derivative · entry 4 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,712 shares Expires 2019-05-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Employee stock options vest serially over 5 years commencing on May 31, 2011. Read SEC document |
| May 16, 2019 Filed May 17, 2019 13:45 UTC | LEGG MASON, INC. LM · Entity 15820 | SaleCommon Stock | 5,582 | $36.11 | $201,566.02 |
DisclosureSEC source: 0000704051-19-000054 · wf-form4_155811510571481.xml · nonDerivative · entry 3 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,716.35 F1 · kind: The sales reported in this Form 4 were effected for purpose of covering exercise cost, taxes, commissions and fees upon exercise of options pursuant to a Rule 10b5-1 trading plan adopted by the person on October 30, 2018. Read SEC document |
| May 16, 2019 Filed May 17, 2019 13:45 UTC | LEGG MASON, INC. LM · Entity 15820 | Exercise / conversionCommon Stock | 5,712 | $33.99 | $194,150.88 |
DisclosureSEC source: 0000704051-19-000054 · wf-form4_155811510571481.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,298.35 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 15, 2019 Filed May 17, 2019 13:45 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantCommon Stock | 12,050 | $0.00 | $0.00 |
DisclosureSEC source: 0000704051-19-000054 · wf-form4_155811510571481.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,586.35 Read SEC document |
| May 03, 2019 Filed May 7, 2019 15:45 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantPhantom Stock Units · Derivative | 15.83 | $32.03 | $507.03 |
DisclosureSEC source: 0000704051-19-000045 · wf-form4_155725829126538.xml · derivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,506.73 Underlying: Common Stock · 15.83 shares Expires not disclosed F1 · security: 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. F2 · derivative.exercise_price: 1-for-1 F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| April 30, 2019 Filed May 2, 2019 16:25 UTC | LEGG MASON, INC. LM · Entity 15820 | Tax withholdingCommon Stock | 1,085 | $33.52 | $36,369.20 |
DisclosureSEC source: 0000704051-19-000037 · wf-form4_155682871514358.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,536.35 F1 · shares: Represents shares sold to satisfy tax obligations in connection with vesting of restricted stock units. F2 · balance_after: Includes the acquisition of 6.64 shares of Legg Mason, Inc. Common Stock pursuant to the Legg Mason, Inc. Employee Stock Purchase Plan for date April 30th at a price of $33.52. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 13:41 UTC | LEGG MASON, INC. LM · Entity 15820 | Tax withholdingCommon Stock | 980 | $32.69 | $32,031.30 |
DisclosureSEC source: 0000704051-19-000020 · wf-form4_155552288561787.xml · nonDerivative · entry 2 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,125.46 F2 · security: Represents shares sold to satisfy tax obligations in connection with vesting of performance share units. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 13:41 UTC | LEGG MASON, INC. LM · Entity 15820 | GrantCommon Stock | 2,879.75 | $0.00 | $0.00 |
DisclosureSEC source: 0000704051-19-000020 · wf-form4_155552288561787.xml · nonDerivative · entry 1 Merchant Thomas C · CIK 0001573664 · Exec VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,105.46 F1 · security: Represents shares issued upon vesting of performance share unit awards, as approved by the Compensation Committee of the Board of Directors of Legg Mason, Inc. on April 15, 2019. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.