Legg Mason Inc. (LM)

FINANCE: CORPORATE FINANCE
SIC: INVESTMENT ADVICE

100 INTERNATIONAL DRIVE BALTIMORE, MD 21202

Legg Mason is a holding company. Through its subsidiaries, Co. is engaged as an asset management company that provides investment management and related services to institutional and individual clients, company-sponsored mutual funds and other pooled investment vehicles. Co. operates its business in two divisions: Americas, which consists of its U.S.-domiciled fund families, the separate account businesses of its U.S.-based investment affiliates, and the domestic distribution organization; and International, which consists of its fund complexes, distribution teams and investment affiliates located outside the U.S. As at Mar 31 2010, Co. had total assets under management of $684.55 billion.

Data based on most recent fiscal year report
Market Cap3.237 Billion Shares Outstanding86.8 Million Avg Volume1.073 Million
1-Yr BETA vs S&P TR1.094 Current Ratio1.82 Quick Ratio1.36
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Funds Holding LM (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding LM BETA

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

DALEY CHARLES J JR EXEC VP, CFO & TREASURER

  • Officer
  • 10% Owner
45,200 2020-02-18 0

CAHILL JOHN T

  • Director
45,742 2020-02-05 0

SULLIVAN JOSEPH A CHAIRMAN, PRESIDENT & CEO

  • Officer
  • Director
546,514 2020-01-27 8

MERCHANT THOMAS C EXEC VP & GENERAL COUNSEL

  • Officer
78,738 2020-01-27 8

DAVIDSON CAROL ANTHONY

  • Director
3,000 2020-01-27 5

LATTIN PATRICIA EXECUTIVE VICE PRESIDENT

  • Officer
43,605 2020-01-27 7

GOLDBERG MICHELLE J

  • Director
0 2020-01-27 5

KOERNER JOHN E III

0 2020-01-24 0

SCHMOKE KURT L

  • Director
1,036 2020-01-02 2

GARDEN EDWARD P

TRIAN FUND MANAGEMENT, L.P.

  • Director
64,191,203 2020-01-02 2

NUTTALL SCOTT C

  • Director
0 2019-12-31 0

PELTZ NELSON

TRIAN FUND MANAGEMENT, L.P.

  • Director
23,670,699 2019-11-15 1

KENNEY JOHN EXECUTIVE VICE PRESIDENT

  • Officer
62,210 2019-11-01 5

CASHMAN FRANCES EXECUTIVE VICE PRESIDENT

  • Officer
66,969 2019-11-01 6

HOOLEY STEPHEN C

  • Director
0 2019-10-31 2

BAIN PETER L

  • Director
212 2019-10-01 0

ANGELICA ROBERT E

  • Director
27,772 2019-07-30 1

MURPHY JOHN V

  • Director
31,450 2019-07-30 1

QUIRK ALISON A.

  • Director
7,237 2019-07-30 1

RICHARDSON MARGARET MILNER

  • Director
8,083 2019-07-26 2

NACHTWEY PETER

  • SEE REMARKS
0 2019-06-13 3

MURPHY JENNIFER

  • COO AND DIRECTOR OF SUBADVISER
0 2019-06-13 0

HOOPS THOMAS K

  • DIRECTOR OF SUBADVISER
0 2019-06-13 3

KASS DENNIS M.

  • Director
31,714 2019-06-04 0

KRONGARD CHERYL GORDON

  • Director
21,842 2019-05-21 0

SCHLIESSLER URSULA EVP & CAO

  • Officer
23,887 2019-05-16 3

JOHNSON TERENCE EXECUTIVE VICE PRESIDENT

  • Officer
124,815 2019-05-15 3

MURPHY TERRENCE

  • CEO OF SUBADVISER
0 2018-12-31 0

REED W ALLEN

  • Director
54,280 2018-07-31 0

HUFF BARRY W.

  • Director
29,534 2018-07-31 0

CHEN TIAN QIAO

SHANDA MEDIA LTD

SHANDA INVESTMENT GROUP LTD

SHANDA TECHNOLOGY OVERSEAS CAPITAL CO.

SHANDA ASSET MANAGEMENT HOLDINGS LTD

  • 10% Owner
27,484,473 2018-01-09 0

FETTING MARK R OFFICER

  • Officer
0 2017-07-26 0

CHEN TIAN QIAO

SHANDA MEDIA LTD

SHANDA INVESTMENT GROUP LTD

SHANDA TECHNOLOGY OVERSEAS CAPITAL CO.

SHANDA ASSET MANAGEMENT INVESTMENT LTD

  • Director
5,574,077 2017-07-25 0

CHIU ROBERT

  • Director
6,424 2017-07-25 0

CHEN TIAN QIAO

SHANDA MEDIA LTD

SHANDA INVESTMENT GROUP LTD

SHANDA TECHNOLOGY OVERSEAS CAPITAL CO.

SHANDA ASSET MANAGEMENT HOLDINGS LTD

SHANDA ASSET MANAGEMENT INVESTMENT LTD

  • 10% Owner
10,510,153 2016-08-02 0

MYERS JOHN H

  • Director
18,995 2016-07-26 0

ABBAEI MIKE EXECUTIVE VICE PRESIDENT

10,503 2016-07-01 0

TRIAN FUND MANAGEMENT, L.P.

TRIAN PARTNERS, L.P.

TRIAN PARTNERS MASTER FUND (ERISA), L.P.

TRIAN PARTNERS PARALLEL FUND I, L.P.

TRIAN PARTNERS STRATEGIC INVESTMENT FUND, L.P.

TRIAN PARTNERS STRATEGIC INVESTMENT FUND-A, L.P.

TRIAN PARTNERS MASTER FUND, L.P.

  • FORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNER
No longer subject to file 2016-04-11 0

TRIAN FUND MANAGEMENT, L.P.

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

  • FORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNER
No longer subject to file 2016-04-11 0

LEMKE THOMAS P

  • Director
0 2015-09-15 0

TRIAN FUND MANAGEMENT, L.P.

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 CO-INVESTMENT FUND-A GP, L.P.

  • 10% Owner
11,039,896 2015-08-05 0

ADAMS HAROLD L

  • Director
No longer subject to file 2015-01-14 0

BILSON F BARRY

  • DIRECTOR OF SUBADVISER
0 2014-08-26 0

BERESFORD DENNIS R

  • Director
2,250 2013-07-12 0

ST GEORGE NICHOLAS J

  • Director
40,882 2013-07-12 0

UKROP JAMES E

  • Director
871,306 2013-02-22 0

NATTANS JEFFREY A EXECUTIVE VICE PRESIDENT

  • Officer
89,851 2013-01-04 0

DEWHURST RONALD R SR. EXECUTIVE VP/MANAGING DIR.

  • Officer
227,598 2012-09-10 0

ODENATH DAVID R

  • SEE REMARKS BELOW
0 2011-06-29 0

OBRIEN EDWARD I

  • Director
0 2010-08-06 0

SCHIPKE ROGER W

  • Director
27,736 2010-07-16 0

MASON RAYMOND A

  • Director
2,491,923 2008-10-24 0

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5

GOLDBERG MICHELLE J - Director

2020-01-27 A 109 a 10,451 0.00 direct

MERCHANT THOMAS C - Officer EXEC VP & GENERAL COUNSEL

2020-01-27 A 17 $36.15 a 1,558 78,737.78 direct

DAVIDSON CAROL ANTHONY - Director

2020-01-27 A 247 a 23,789 3,000.00 direct

SULLIVAN JOSEPH A - Director - Officer CHAIRMAN, PRESIDENT & CEO

2020-01-27 A 43 $36.15 a 3,945 546,514.31 direct

LATTIN PATRICIA - Officer EXECUTIVE VICE PRESIDENT

2020-01-27 A 1 $36.15 a 75 43,605.11 direct

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