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JOSEPH A SULLIVAN

CIK 1206673 · Chairman, President & CEO · last filed 2020-08-04

JOSEPH A SULLIVAN is a Chairman, President & CEO who has filed 74 SEC Form 4 insider transactions across 4 companies since 2007. The most recent filing, for LMHB, was dated Aug 4, 2020. Across all open-market trades the lifetime net is −$49.0M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $46.2M across reported positions. 112 SEC filings were submitted jointly with LEGG MASON, INC.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

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Disclosed Exposure

$46.20M

Companies

4

Total Filings

74

Lifetime Open-Market Net

-$48.95M

Filer Profile

Reported Address
LEGG MASON, INC.
100 INTERNATIONAL DRIVE
BALTIMORE, MD 21202
Related Filers
LEGG MASON, INC. — 112 joint filings, latest 2020-08-04
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
LEGG MASON, INC. (LMHB) Delisted Chairman, President & CEO 0 — — -$48.76M 32 2020-08-04
LEGG MASON, INC. (LMHA) Delisted Chairman, President & CEO 357,050 — — $0 3 2016-07-13
LEGG MASON, INC. (PNK) Delisted Chairman, President & CEO 312,496 — — -$191.5K 35 2016-04-19
SF Director 566,953 $81.49 $46.20M $0 4 2008-10-15

Recent Filings

74 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2020-08-04 LEGG MASON, INC. (LMHB) Delisted Disp (D) −709,310 $0 EDGAR
2020-07-21 LEGG MASON, INC. (LMHB) Delisted Grant (A) — $0 EDGAR
2020-06-12 LEGG MASON, INC. (LMHB) Delisted Mixed +109,686 -$5.10M EDGAR
2020-06-11 LEGG MASON, INC. (LMHB) Delisted Mixed +3,969 -$184.2K EDGAR
2020-06-10 LEGG MASON, INC. (LMHB) Delisted Mixed +53,280 -$2.47M EDGAR
2020-05-04 LEGG MASON, INC. (LMHB) Delisted Tax (F) −14,892 -$741.2K EDGAR
2020-04-28 LEGG MASON, INC. (LMHB) Delisted Grant (A) — $0 EDGAR
2020-04-15 LEGG MASON, INC. (LMHB) Delisted Mixed +28,885 -$1.31M EDGAR
2020-04-01 LEGG MASON, INC. (LMHB) Delisted Mixed +11,976 -$288.2K EDGAR
2020-01-29 LEGG MASON, INC. (LMHB) Delisted Grant (A) — $0 EDGAR
Showing 1–10 of 74
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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.