LEGG MASON, INC.|4Mar 6, 3:58 PM ET

Nachtwey Peter 4

4 · LEGG MASON, INC. · Filed Mar 6, 2020

Form 4

Period: 2020-03-04

Chief Financial Officer

Transactions

Exercise/Conversion
Common Stock
2020-03-04$35.16/sh+1,266$44,513→ 174,420 total
Exercise/Conversion
Common Stock
2020-03-04$47.64/sh+40,039$1,907,458→ 214,459 total
Exercise/Conversion
Common Stock
2020-03-04$31.24/sh+45,535$1,422,513→ 259,994 total
Exercise/Conversion
Common Stock
2020-03-04$37.64/sh+28,571$1,075,412→ 288,565 total
Sale
Common Stock
2020-03-04$49.80/sh−39,982$1,991,104→ 248,583 total
Sale
Common Stock
2020-03-04$49.83/sh−61,739$3,076,454→ 186,844 total
Exercise/Conversion
Stock Options (Right to buy)
2020-03-04−1,266→ 0 total
Exercise: $35.16Exp: 2021-05-16→ Common Stock (1,266 underlying)
Exercise/Conversion
Stock Options (Right to buy)
2020-03-04−40,039→ 0 total
Exercise: $47.64Exp: 2022-05-16→ Common Stock (40,039 underlying)
Exercise/Conversion
Stock Options (Right to buy)
2020-03-04−45,535→ 15,179 total
Exercise: $31.24Exp: 2024-05-13→ Common Stock (45,535 underlying)
Exercise/Conversion
Stock Options (Right to buy)
2020-03-04−28,571→ 28,572 total
Exercise: $37.64Exp: 2025-05-15→ Common Stock (28,571 underlying)

Footnotes (5)

[F1]The sales reported in this Form 4 were effected for purpose of covering exercise cost, taxes, commissions and fees upon exercise of options.
[F2]Employee stock options vest serially over 4 years commencing on May 31, 2014.
[F3]Employee stock options vest serially over four years commencing on May 31, 2015.
[F4]Employee stock options vest serially over four years commencing on May 31, 2017.
[F5]Employee stock options vest serially over four years and commencing on May 31, 2018.

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