Legg Mason, Inc.

SIC Investment Advice
Headquarters Baltimore, MD
Financials
FORMNAMEDATE FILED
10-QQ17/31/202010-KFY 20205/29/202010-QQ32/5/202010-QQ211/8/201910-QQ18/6/201910-KFY 20195/24/201910-QQ32/5/2019
Prospectuses and Registrations
FORMNAMEDATE FILED
15-12BSecurities registration termination8/21/202015-12BSecurities registration termination8/21/2020POS AMPost-Effective amendments for registration statement8/3/2020POS AMPost-Effective amendments for registration statement8/3/2020POS AMPost-Effective amendments for registration statement8/3/2020POS AMPost-Effective amendments for registration statement8/3/2020POS AMPost-Effective amendments for registration statement8/3/2020
Proxies
FORMNAMEDATE FILED
DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material5/6/2020DEFM14ADefinitive proxy statement relating to merger or acquisition4/16/2020PREM14APreliminary proxy statements relating to merger or acquisition3/27/2020DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material2/19/2020DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material2/18/2020DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material2/18/2020DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material2/18/2020
News
FORMNAMEDATE FILED
8-KTermination of a Material Definitive Agreement7/31/20208-KResults of Operations and Financial Condition7/27/20208-KNews Release7/17/20208-KSubmission of Matters to a Vote of Security Holders5/15/20208-KNews Release5/6/20208-KFinancial Statements and Exhibits5/1/20208-KResults of Operations and Financial Condition4/29/2020
Ownership
FORMNAMEDATE FILED
4Clarion Partners Real Estate Income Fund Inc.8/5/202111-KAnnual report of employee stock purchase, savings and similar plans6/28/202111-KAnnual report of employee stock purchase, savings and similar plans6/21/20214Clarion Partners Real Estate Income Fund Inc.2/4/202113F-HRHoldings report8/14/20204Sullivan Joseph A8/4/20204Nachtwey Peter8/4/2020
Others
FORMNAMEDATE FILED
25Notification of the removal from listing and registration of matured, redeemed or retired securities8/10/2020EFFECTNotice of Effectiveness8/6/2020EFFECTNotice of Effectiveness8/6/2020EFFECTNotice of Effectiveness8/6/2020EFFECTNotice of Effectiveness8/6/2020EFFECTNotice of Effectiveness8/6/2020EFFECTNotice of Effectiveness8/6/2020