Legg Mason Inc. (LM)

FINANCE: CORPORATE FINANCE
SIC: INVESTMENT ADVICE
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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 as of 2020-07-26
Market Cap4.446 Billion Shares Outstanding88.949 Million Avg 30-day Volume1.703 Million
P/E Ratio17.9 Dividend Yield3.201 EPS2.79
Price/Sales2.005 Price cash flow ratio7.8 Price free cash flow ratio7.3
Book Value42.64 Price to Tangible Book-3.15 Alpha0.0
Short Interest Ratio8.67 % Short Interest to Float15.3 R-squared0.114581
BETA0.7284 52-week High/Low50.7 / 33.99 Stddev0.092005
View SEC Filings from LM instead.
Q2 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 22 15 46.67% 14 (0.91%) 8 (0.51%) 75.0%
Funds Holding: 300 318 -5.66% 84 (5.48%) 88 (5.63%) -4.55%
13F shares: 92.653 Million 82.271 Million 12.62% 36.939 Million 34.668 Million 6.55%
% Ownership 93.4203 41.5286 39.3661 5.49%
New Positions: 43 80 -46.25% 16 37 -56.76%
Increased Positions 109 68 60.29% 34 19 78.95%
Closed Positions 55 107 -48.6% 17 37 -54.05%
Reduced Positions 103 115 -10.43% 27 28 -3.57%
Total Calls 126.55 Thousand 32.952 Thousand 284.04% 4.2 Thousand 5.3 Thousand -20.75%
Total Puts 188.751 Thousand 211.003 Thousand -10.55% 92.7 Thousand
PUT/CALL Ratio 1.49 6.4 -76.72% 0.0 17.49 -100.0%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding LM (via 13F filings)

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*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

Active Schedule 13D and 13G filings

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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

ANGELICA ROBERT E

  • Director
0 2020-07-31 1

NACHTWEY PETER SR. EXECUTIVE VP & CFO

  • Officer
0 2020-07-31 6

SULLIVAN JOSEPH A CHAIRMAN, PRESIDENT & CEO

  • Officer
  • Director
0 2020-07-31 12

JOHNSON TERENCE EXECUTIVE VICE PRESIDENT

  • Officer
0 2020-07-31 5

MERCHANT THOMAS C EXEC VP & GENERAL COUNSEL

  • Officer
0 2020-07-31 9

MURPHY JOHN V

  • Director
0 2020-07-31 1

DAVIDSON CAROL ANTHONY

  • Director
0 2020-07-31 5

LATTIN PATRICIA EXECUTIVE VICE PRESIDENT

  • Officer
0 2020-07-31 8

GOLDBERG MICHELLE J

  • Director
0 2020-07-31 5

QUIRK ALISON A.

  • Director
0 2020-07-31 1

HOOLEY STEPHEN C

  • Director
0 2020-07-31 1

PELTZ NELSON

TRIAN FUND MANAGEMENT, L.P.

  • Director
0 2020-05-20 2

GARDEN EDWARD P

TRIAN FUND MANAGEMENT, L.P.

  • Director
0 2020-05-20 2

CASHMAN FRANCES

  • FORMER EVP
61,719 2020-03-31 3

KENNEY JOHN EXECUTIVE VICE PRESIDENT

  • Officer
62,210 2019-11-01 1

SCHMOKE KURT L

  • Director
6,076 2019-07-26 0

RICHARDSON MARGARET MILNER

  • Director
8,083 2019-07-26 0

SCHLIESSLER URSULA EVP & CAO

  • Officer
23,887 2019-05-16 0

HOOPS THOMAS K EXECUTIVE VICE PRESIDENT

  • Officer
110,677 2019-05-15 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 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

  • 10% Owner
0 2016-08-19 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

KRONGARD CHERYL GORDON

  • Director
33,782 2016-07-26 0

KASS DENNIS M.

  • Director
26,651 2016-07-26 0

MYERS JOHN H

  • Director
18,995 2016-07-26 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

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

MURPHY JENNIFER EXEC VP & CAO

  • Officer
18,581 2015-01-16 0

KOERNER JOHN E III

  • Director
21,491 2014-07-18 0

ADAMS HAROLD L

  • Director
57,046 2013-11-07 0

CAHILL JOHN T

  • Director
46,005 2013-07-23 0

BERESFORD DENNIS R

  • Director
2,250 2013-07-12 0

ST GEORGE NICHOLAS J

  • Director
40,882 2013-07-12 0

NATTANS JEFFREY A EXECUTIVE VICE PRESIDENT

  • Officer
89,851 2013-01-04 0

LEMKE THOMAS P EXECUTIVE VP & GENERAL COUNSEL

  • Officer
84,697 2013-01-04 0

DEWHURST RONALD R SR. EXECUTIVE VP/MANAGING DIR.

  • Officer
227,598 2012-09-10 0

FETTING MARK R CHAIRMAN, PRESIDENT & CEO

  • Officer
  • Director
234,045 2012-07-13 0

NUTTALL SCOTT C

  • Director
18,112 2011-07-26 0

SCHIPKE ROGER W

  • Director
27,736 2010-07-16 0

MURPHY TERRENCE CHIEF FINANCIAL OFFICER

  • Officer
7,838 2010-07-07 0

DALEY CHARLES J JR EXECUTIVE VP, CFO & TREASURER

  • Officer
75,485 2010-06-29 0

ODENATH DAVID R SR. EXECUTIVE VICE PRESIDENT

  • Officer
209,229 2010-05-17 0

UKROP JAMES E

  • Director
No longer subject to file 2009-07-24 0

BAIN PETER L SR. EXECUTIVE VICE PRESIDENT

  • Officer
30,013 2009-03-27 0

MASON RAYMOND A

  • Director
2,491,923 2008-10-24 0

BILSON F BARRY SENIOR VICE PRESIDENT

  • Officer
168,959 2008-07-21 0

ABBAEI MIKE EXECUTIVE VICE PRESIDENT

  • Officer
103,157 2008-07-11 0

OBRIEN EDWARD I

  • Director
46,924 2008-07-01 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

JOHNSON TERENCE - Officer EXECUTIVE VICE PRESIDENT

2020-08-04 19:27:07 -0400 2020-07-31 D 156,587 d 0 direct

MERCHANT THOMAS C - Officer EXEC VP & GENERAL COUNSEL

2020-08-04 19:29:40 -0400 2020-07-31 D 7,111 d 0 direct

NACHTWEY PETER - Officer SR. EXECUTIVE VP & CFO

2020-08-04 19:31:57 -0400 2020-07-31 D 28,572 d 0 direct

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

2020-08-04 19:33:15 -0400 2020-07-31 D 4,012 d 0 direct

SULLIVAN JOSEPH A - Director - Officer CHAIRMAN, PRESIDENT & CEO by 401k

2020-08-04 19:33:15 -0400 2020-07-31 D 6,665 d 0 indirect

DAVIDSON CAROL ANTHONY - Director

2020-08-04 19:16:04 -0400 2020-07-31 D 24,174 d 0 direct

QUIRK ALISON A. - Director

2020-08-04 19:19:59 -0400 2020-07-31 D 6,229 d 0 direct

LATTIN PATRICIA - Officer EXECUTIVE VICE PRESIDENT

2020-08-04 19:25:39 -0400 2020-07-31 D 76 d 0 direct

JOHNSON TERENCE - Officer EXECUTIVE VICE PRESIDENT

2020-08-04 19:27:07 -0400 2020-07-31 D 33,339 d 0 direct

MERCHANT THOMAS C - Officer EXEC VP & GENERAL COUNSEL

2020-08-04 19:29:40 -0400 2020-07-31 D 15,006 d 0 direct

NACHTWEY PETER - Officer SR. EXECUTIVE VP & CFO

2020-08-04 19:31:57 -0400 2020-07-31 D 15,179 d 0 direct

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

2020-08-04 19:33:15 -0400 2020-07-31 D 336 d 0 direct

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

2020-08-04 19:33:15 -0400 2020-07-31 D 702,646 d 0 direct

DAVIDSON CAROL ANTHONY - Director

2020-08-04 19:16:04 -0400 2020-07-31 D 3,000 d 0 direct

HOOLEY STEPHEN C - Director

2020-08-04 19:22:11 -0400 2020-07-31 D 3,396 d 0 direct

LATTIN PATRICIA - Officer EXECUTIVE VICE PRESIDENT

2020-08-04 19:25:39 -0400 2020-07-31 D 3,307 d 0 direct

JOHNSON TERENCE - Officer EXECUTIVE VICE PRESIDENT

2020-08-04 19:27:07 -0400 2020-07-31 D 19,705 d 0 direct

MERCHANT THOMAS C - Officer EXEC VP & GENERAL COUNSEL

2020-08-04 19:29:40 -0400 2020-07-31 D 1,584 d 0 direct

MERCHANT THOMAS C - Officer EXEC VP & GENERAL COUNSEL

2020-08-04 19:29:40 -0400 2020-07-31 D 92,270 d 0 direct

NACHTWEY PETER - Officer SR. EXECUTIVE VP & CFO

2020-08-04 19:31:57 -0400 2020-07-31 D 176,586 d 0 direct

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

2020-08-04 19:33:15 -0400 2020-07-31 D 49,820 d 0 direct

ANGELICA ROBERT E - Director

2020-08-04 19:13:33 -0400 2020-07-31 D 27,772 d 0 direct

GOLDBERG MICHELLE J - Director

2020-08-04 19:17:45 -0400 2020-07-31 D 10,620 d 0 direct

MURPHY JOHN V - Director

2020-08-04 19:23:23 -0400 2020-07-31 D 31,450 d 0 direct

LATTIN PATRICIA - Officer EXECUTIVE VICE PRESIDENT

2020-08-04 19:25:39 -0400 2020-07-31 D 43,634 d 0 direct

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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