Sullivan Joseph A - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	2	1	3	0	3	4	13	8	26	9
P	%wins				67	100	67	100	67	100	83
S	%ret	1	1	6	-1	-1	4	8	18	10	6
S	%wins				67	50	50	0	0	40	34

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
6/12/20 12:36	6/10/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	M.d	27,300	36.02	0	758		709	D
6/12/20 12:36	6/10/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	S.d	-32,396	49.98	0	-648	-48	709	D
6/11/20 17:09	6/9/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	M.d	648	31.46	0	21	4	600	D
6/11/20 17:09	6/9/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	S.d	-832	50.04	0	-17	-3	600	D
6/10/20 16:54	6/8/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	M.d	8,700	31.46	0	277	87	596	D
6/10/20 16:54	6/8/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	S.d	-11,172	50.04	0	-223	-27	596	D
4/1/20 18:04	3/31/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	CB,P,CEO	M.d	827	23.72	0	35	7	558	D
4/1/20 18:04	3/31/20	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	CB,P,CEO	S.d	-1,115	48.74	0	-23	-4	558	D
5/17/19 13:47	5/16/19	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	Sr. EVP	M.d	932	33.99	0	27	5	546	D
5/17/19 13:47	5/16/19	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	Sr. EVP	S.d	-958	36.18	0	-26	-5	546	D
5/17/18 17:16	5/16/18	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	Sr. EVP	M.d	1,151	33.25	0	35	8	471	D
5/17/18 17:16	5/16/18	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	Sr. EVP	S.d	-1,216	38.81	0	-31	-6	471	D
2/17/17 12:37	2/16/17	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	M.d	961	27.45	33	35	11	363	D	-36	33	8	13	16	15	4	1	2	3	-1
2/17/17 12:37	2/16/17	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	S.d	-1,073	36.06	33	-30	-8	363	D	-36	33	8	13	16	15	4	1	2	3	-1
2/2/16 14:55	2/1/16	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	M.d	1,049	14.81	33	71	30	307	D	-29	-45	-39	-34	-24	-15	-6	1	-6	-11	3	8	15	9
2/2/16 14:55	2/1/16	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	S.d	-1,587	29.70	33	-53	-15	307	D	-29	-45	-39	-34	-24	-15	-6	1	-6	-11	3	8	15	9
1/26/16 16:39	1/26/16	LM	Legg Mason, Inc.	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	DO	CB,P,CEO	P	745	29.81	33	25	9	295	D	-31	-45	-37	-34	-29	-26	-12	-7	0	0	-6	17	12	15
2/8/10 16:50	2/4/10	LM	Legg Mason Inc	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	Sr. EVP	S	-414	25.01	33	-17	-7	219	D	-62	62	-12	-14	-17	-18	-8	-6	2	5	18	13	19	42
2/8/10 16:50	2/4/10	LM	Legg Mason Inc	MD	Financ	InvAdv	Investment Advice	Sullivan Joseph A	MD	O	Sr. EVP	P.m	1,064	24.98	33	43	24	219	D	-62	62	-12	-14	-17	-18	-8	-6	2	5	18	13	19	42
10/15/08 14:46	10/15/08	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	DO	Dir	M.d	0	0.00	27	1	1	168	D	95	11	43	13	5	-9	-10	14	-8	5	-2	-14	11	29
1/16/08 16:06	12/21/07	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	DO	Dir	M.d	0	0.00	18	20	22	110	D	2	-16	-34	-33	-12	-26	-13	-7	-4	-2	11	8	38	34
12/21/06 15:48	12/21/06	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	DO	Dir	M.d	0	0.00	2	20	29	90	D	89	9	18	22	10	3	2	-1	-2	0	14	12	47	30
1/19/06 17:37	1/17/06	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	DO	Dir	P.d	2,000	25.00	3	80		70										-1	4	1	8	-8	21
9/28/05 19:37	9/26/05	LM	Legg Mason Inc	MD	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	O	EVP	M.d	1,353	29.83	33	45	131	80	D	127	111	40	4	2	2	4	1	0	-1	0	12	16	-7
9/28/05 19:37	9/26/05	LM	Legg Mason Inc	MD	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	O	EVP	S.d	-3,824	107.42	33	-36	-31	80	D	127	111	40	4	2	2	4	1	0	-1	0	12	16	-7
7/5/05 16:50	6/30/05	LM	Legg Mason Inc	MD	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	O	EVP	S	-81	105.52	33	-1	-1	72	D	138	76	43	36	26	24	23	0	0	2	0	3	13	-5
9/9/03 17:03	9/5/03	LM	Legg Mason Inc	MD	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	O	SVP	M.d	1,538	41.10	33	37	312	49	D	69	60	60	16	5	4	4	0	-4	-2	3	4	26	11
9/9/03 17:03	9/5/03	LM	Legg Mason Inc	MD	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	O	SVP	S.d	-4,383	73.51	33	-60	-55	49	D	69	60	60	16	5	4	4	0	-4	-2	3	4	26	11
8/21/03 10:41	8/19/03	LM	Legg Mason Inc	MD	Financ	FinTrd	Security Brokers, Dealers & F	Sullivan Joseph A	MD	O	SVP	M.ed	200	25.50	33	8	12	72	D	57	52	46	21	4	1	3	0	2	0	8	11	32	15

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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