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Date: November 10, 2020 Jurisdictions: Quebec
Microsoft Word - Legg Mason - Notice of Change in Corporate Structure (pursuant to s.4.9 of NI 51-102(117572993.1).doc 117572993:v1 NOTICE OF CHANGE IN CORPORATE STRUCTURE PURSUANT TO SECTION 4.9 OF REGULATION 51-102 1. Names of the Parties to the Transaction: Legg Mason, Inc. (the Company) Franklin Resources, Inc. (the Purchaser) Alpha Sub, Inc. (...
Date: November 7, 2018 Jurisdictions: Quebec
LM_10Q_9.30.2018 Exhibit 31.2 CERTIFICATION I, Peter H. Nachtwey, certify that: 1. I have reviewed this quarterly report on Form 10-Q for the quarter ended September 30, 2018 of Legg Mason, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light ...
LM_10Q_9.30.2018 Exhibit 31.1 CERTIFICATION I, Joseph A. Sullivan, certify that: 1. I have reviewed this quarterly report on Form 10-Q for the quarter ended September 30, 2018 of Legg Mason, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light...
LM_10Q_9.30.2018 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the tran...
Date: August 16, 2018 Jurisdictions: Quebec
https://www.sec.gov/Archives/edgar/data/704051/0000704051180001 EX-31.2 4 lm_exhibit312x6302018.htm EXHIBIT 31.2 Exhibit 31.2 CERTIFICATION I, Peter H. Nachtwey, certify that: 1. I have reviewed this quarterly report on Form 10-Q for the quarter ended June 30, 2018 of Legg Mason, Inc.; 2. Based on my knowledge, this report does not contain any untrue stat...
https://www.sec.gov/Archives/edgar/data/704051/0000704051180001 EX-31.1 3 lm_exhibit311x6302018.htm EXHIBIT 31.1 Exhibit 31.1 CERTIFICATION I, Joseph A. Sullivan, certify that: 1. I have reviewed this quarterly report on Form 10-Q for the quarter ended June 30, 2018 of Legg Mason, Inc.; 2. Based on my knowledge, this report does not contain any untrue sta...
LM_10Q_06.30.2018 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 193...
Date: June 25, 2018 Jurisdictions: Quebec
393958096.pdf0i Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Legg Mason (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if Other Than the Registrant) ...