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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 04-Aug-20 7:33 PM View:  | Legg Mason Inc. (LM) | 31-Jul-20 | Disposition | 702,646 | -- | -- | (99%) 709.31K to 6.67K | |
| 04-Aug-20 7:33 PM View: | Legg Mason Inc. (LM) | 31-Jul-20 | Disposition | 6,665 | -- | -- | (100%) 6.67K to 0 | |
| 12-Jun-20 12:36 PM View: | Legg Mason Inc. (LM) | 10-Jun-20 | Option Exercise | 757,864 | $36.02 | $27,299,700.00 | 126% 599.63K to 1.36M | 2% |
| 12-Jun-20 12:36 PM View: | Legg Mason Inc. (LM) | 10-Jun-20 | Private Option Sale | 648,178 | $49.98 | $32,395,900.00 | (48%) 1.36M to 709.31K | |
| 11-Jun-20 5:09 PM View: | Legg Mason Inc. (LM) | 09-Jun-20 | Option Exercise | 20,603 | $31.46 | $648,170.00 | 3% 595.65K to 616.26K | |
| 11-Jun-20 5:09 PM View: | Legg Mason Inc. (LM) | 09-Jun-20 | Private Option Sale | 16,634 | $50.04 | $832,365.00 | (3%) 616.26K to 599.62K | |
| 10-Jun-20 4:54 PM View: | Legg Mason Inc. (LM) | 08-Jun-20 | Option Exercise | 276,536 | $31.46 | $8,699,820.00 | 51% 542.37K to 818.91K | |
| 10-Jun-20 4:54 PM View: | Legg Mason Inc. (LM) | 08-Jun-20 | Private Option Sale | 223,256 | $50.04 | $11,171,700.00 | (27%) 818.91K to 595.65K | |
| 04-May-20 2:00 PM View: | Legg Mason Inc. (LM) | 30-Apr-20 | Payment of Exercise | 14,892 | $49.77 | $741,175.00 | (3%) 557.22K to 542.33K | |
| 15-Apr-20 1:29 PM View: | Legg Mason Inc. (LM) | 13-Apr-20 | Grant | 55,475 | -- | -- | 10% 558.49K to 613.97K | |
| 15-Apr-20 1:29 PM View: | Legg Mason Inc. (LM) | 13-Apr-20 | Payment of Exercise | 26,589 | $49.13 | $1,306,320.00 | (4%) 613.97K to 587.38K | |
| 01-Apr-20 6:04 PM View: | Legg Mason Inc. (LM) | 31-Mar-20 | Option Exercise | 34,847 | $23.72 | $826,571.00 | 6% 546.51K to 581.36K | |
| 01-Apr-20 6:04 PM View: | Legg Mason Inc. (LM) | 31-Mar-20 | Private Option Sale | 22,871 | $48.74 | $1,114,730.00 | (4%) 581.36K to 558.49K | |
| 28-Apr-20 10:00 PM View: | Legg Mason Inc. (LM) | 11-Mar-20 | Gift | 30,155 | -- | -- | (5%) 587.38K to 557.22K | |
| 17-May-19 1:47 PM View: | Legg Mason Inc. (LM) | 16-May-19 | Option Exercise | 27,418 | $33.99 | $931,938.00 | 5% 545.15K to 572.57K | |
| 17-May-19 1:47 PM View: | Legg Mason Inc. (LM) | 16-May-19 | Market Option Sale (Planned) | 26,470 | $36.18 | $957,685.00 | (5%) 572.57K to 546.1K | |
| 17-May-19 1:47 PM View: | Legg Mason Inc. (LM) | 15-May-19 | Grant | 71,669 | -- | -- | 15% 473.48K to 545.15K | |
| 02-May-19 4:14 PM View: | Legg Mason Inc. (LM) | 30-Apr-19 | Payment of Exercise | 1,800 | $33.52 | $60,336.00 | (< 1%) 474.67K to 472.87K | (< 1%) |
| 17-Apr-19 1:50 PM View: | Legg Mason Inc. (LM) | 15-Apr-19 | Grant | 21,436 | -- | -- | 5% 471.93K to 493.36K | |
| 17-Apr-19 1:50 PM View: | Legg Mason Inc. (LM) | 15-Apr-19 | Payment of Exercise | 7,059 | $32.69 | $230,723.00 | (1%) 493.36K to 486.3K | |
| 02-May-19 10:00 PM View: | Legg Mason Inc. (LM) | 20-Nov-18 | Gift | 8,796 | -- | -- | (2%) 483.27K to 474.47K | |
| 02-May-19 10:00 PM View: | Legg Mason Inc. (LM) | 16-Nov-18 | Gift | 3,036 | -- | -- | (< 1%) 486.3K to 483.27K | |
| 17-May-18 5:16 PM View: | Legg Mason Inc. (LM) | 16-May-18 | Option Exercise | 34,626 | $33.25 | $1,151,310.00 | 7% 467.96K to 502.58K | |
| 17-May-18 5:16 PM View: | Legg Mason Inc. (LM) | 16-May-18 | Market Option Sale (Planned) | 31,336 | $38.81 | $1,216,060.00 | (6%) 502.58K to 471.25K | 25% |
| 17-May-18 5:16 PM View: | Legg Mason Inc. (LM) | 15-May-18 | Grant | 76,609 | -- | -- | 20% 391.35K to 467.96K | |
| 02-May-18 2:26 PM View: | Legg Mason Inc. (LM) | 01-May-18 | Payment of Exercise | 1,471 | $39.60 | $58,251.60 | (< 1%) 392.25K to 390.78K | 26% |
| 27-Apr-18 10:00 PM View: | Legg Mason Inc. (LM) | 20-Nov-17 | Gift | 1,054 | -- | -- | (< 1%) 393.25K to 392.19K | |
| 27-Apr-18 10:00 PM View: | Legg Mason Inc. (LM) | 17-Nov-17 | Gift | 5,266 | -- | -- | (1%) 398.51K to 393.25K | |
| 27-Apr-18 10:00 PM View: | Legg Mason Inc. (LM) | 16-Nov-17 | Gift | 395 | -- | -- | (< 1%) 398.91K to 398.51K | |
| 27-Apr-18 10:00 PM View: | Legg Mason Inc. (LM) | 15-Nov-17 | Gift | 1,844 | -- | -- | (< 1%) 400.75K to 398.91K | |
| 17-May-17 12:53 PM View: | Legg Mason Inc. (LM) | 15-May-17 | Grant | 44,102 | -- | -- | 12% 356.1K to 400.2K | |
| 02-May-17 3:20 PM View: | Legg Mason Inc. (LM) | 01-May-17 | Payment of Exercise | 4,413 | $37.98 | $167,606.00 | (1%) 359.92K to 355.51K | 25% |
| 02-Mar-17 2:00 PM View: | Legg Mason Inc. (LM) | 27-Feb-17 | Gift | 3,000 | -- | -- | (< 1%) 362.64K to 359.64K | |
| 17-Feb-17 12:37 PM View: | Legg Mason Inc. (LM) | 16-Feb-17 | Option Exercise | 35,000 | $27.45 | $960,750.00 | 10% 357.32K to 392.32K | |
| 17-Feb-17 12:37 PM View: | Legg Mason Inc. (LM) | 16-Feb-17 | Market Option Sale | 29,744 | $36.06 | $1,072,570.00 | (8%) 392.32K to 362.57K | 21% |
| 17-May-16 2:27 PM View: | Legg Mason Inc. (LM) | 13-May-16 | Grant | 53,137 | -- | -- | 17% 303.88K to 357.02K | |
| 03-May-16 1:54 PM View: | Legg Mason Inc. (LM) | 02-May-16 | Payment of Exercise | 9,498 | $32.66 | $310,205.00 | (3%) 312.64K to 303.14K | 11% |
| 02-Feb-16 2:55 PM View: | Legg Mason Inc. (LM) | 01-Feb-16 | Option Exercise | 70,822 | $14.81 | $1,048,870.00 | 24% 289.99K to 360.81K | |
| 02-Feb-16 2:55 PM View: | Legg Mason Inc. (LM) | 01-Feb-16 | Market Option Sale | 53,418 | $29.70 | $1,586,510.00 | (15%) 360.81K to 307.39K | 1% |
| 26-Jan-16 4:39 PM View: | Legg Mason Inc. (LM) | 26-Jan-16 | Market Purchase | 25,000 | $29.81 | $745,250.00 | 9% 269.6K to 294.6K | (1%) |
| 19-May-15 2:21 PM View: | Legg Mason Inc. (LM) | 15-May-15 | Grant | 38,525 | -- | -- | 17% 231.03K to 269.56K | |
| 04-May-15 3:07 PM View: | Legg Mason Inc. (LM) | 30-Apr-15 | Payment of Exercise | 9,083 | $53.14 | $482,671.00 | (4%) 239.68K to 230.6K | 44% |
| 04-May-15 2:52 PM View: | Legg Mason Inc. (LM) | 05-Feb-15 | Gift | 356 | -- | -- | (< 1%) 239.99K to 239.63K | |
| 04-May-15 2:52 PM View: | Legg Mason Inc. (LM) | 26-Dec-14 | Gift | 10,984 | -- | -- | (4%) 250.97K to 239.99K | |
| 04-May-15 2:52 PM View: | Legg Mason Inc. (LM) | 23-Dec-14 | Gift | 97,055 | -- | -- | (28%) 348.03K to 250.97K | |
| 20-May-14 2:30 PM View: | Legg Mason Inc. (LM) | 16-May-14 | Grant | 37,783 | -- | -- | 12% 309.92K to 347.7K | |
| 02-May-14 11:29 AM View: | Legg Mason Inc. (LM) | 30-Apr-14 | Payment of Exercise | 13,656 | $46.54 | $635,550.00 | (4%) 323.07K to 309.41K | 35% |
| 02-Apr-14 1:30 PM View: | Legg Mason Inc. (LM) | 31-Mar-14 | Payment of Exercise | 55,836 | $49.05 | $2,738,760.00 | (15%) 378.79K to 322.96K | 39% |
| 16-Dec-13 4:58 PM View: | Legg Mason Inc. (LM) | 12-Dec-13 | Gift | 24,900 | -- | -- | (6%) 403.37K to 378.47K | |
| 20-May-13 12:49 PM View: | Legg Mason Inc. (LM) | 16-May-13 | Grant | 35,836 | -- | -- | 10% 368.73K to 404.56K |