-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TNZSOrkhW10rzNZSWgHgYC0YE2TXJs75YH2plipo13BPscHCcHUOdgXpdKCvlerh DfFnMATxrdig5phhbeIPiA== 0000895662-04-000140.txt : 20040217 0000895662-04-000140.hdr.sgml : 20040216 20040217124512 ACCESSION NUMBER: 0000895662-04-000140 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROVIDIAN FINANCIAL CORP CENTRAL INDEX KEY: 0001035713 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 942933952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-52875 FILM NUMBER: 04606118 BUSINESS ADDRESS: STREET 1: 201 MISSION ST 28TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 4155430404 MAIL ADDRESS: STREET 1: 201 MISSION ST 28TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEGG MASON FUNDS MANAGEMENT INC /MD/ CENTRAL INDEX KEY: 0001135776 IRS NUMBER: 522268681 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 100 LIGHT ST CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4104545300 MAIL ADDRESS: STREET 1: 100 LIGHT ST CITY: BALTIMORE STATE: MD ZIP: 21202 SC 13G 1 providian.txt PROVIDIAN FINANCIAL CORP. Securities and Exchange Commission Washington, D. C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. __) Providian Financial Corp. Common Stock CUSIP Number 74406A102 Date of Event Which Requires Filing of this Statement: December 31, 2003 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - CUSIP No. 74406A102 1) Name of reporting person: Legg Mason Funds Management, Inc. Tax Identification No.: 52-2268681 2) Check the appropriate box if a member of a group: a) x b) n/a 3) SEC use only 4) Place of organization: Maryland Number of shares beneficially owned by each reporting person with: 5) Sole voting power: - 0 - 6) Shared voting power: 13,675,000 7) Sole dispositive power: - 0 - 8) Shared dispositive power: 13,675,000 9) Aggregate amount beneficially owned by each reporting person: 13,675,000 10) Check if the aggregate amount in row (9) excludes certain shares n/a 11) Percent of class represented by amount in row (9): 4.71% 12) Type of reporting person: IA, CO CUSIP No. 74406A102 1) Name of reporting person: LMM, LLC Tax Identification No. 52-2204753 2) Check the appropriate box if a member of a group: a) x b) n/a 3) SEC use only 4) Place of organization: Maryland Number of shares beneficially owned by each reporting person with: 5) Sole voting power: - 0 - 6) Shared voting power: 10,000,000 7) Sole dispositive power: - 0 - 8) Shared dispositive power: 10,000,000 9) Aggregate amount beneficially owned by each reporting person: 10,000,000 10) Check the aggregate amount in row (9) excludes certain shares: n/a 11) Percent of class represented by amount in row (9): 3.45% 12) Type of reporting person: IA,OO CUSIP No. 74406A102 1) Name of reporting person: Legg Mason Capital Management, Inc. Tax Identification No.: 52-1268629 2) Check the appropriate box if a member of a group: a) x b) n/a 3) SEC use only 4) Place of organization: Maryland Number of shares beneficially owned by each reporting person with: 5) Sole voting power: - 0 - 6) Shared voting power: 1,854,600 7) Sole dispositive power: - 0 - 8) Shared dispositive power: 1,854,600 9) Aggregate amount beneficially owned by each reporting person: 1,854,600 10) Check if the aggregate amount in row (9) excludes certain share n/a 11) Percent of class represented by amount in row (9): 0.64% 12) Type of reporting person: IA, CO - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Item 1a) Name of issuer: Providian Financial Corp. Item 1b) Address of issuer's principal executive offices: 201 Mission Street San Francisco, CA 94105 Item 2a) Name of person filing: Legg Mason Funds Management, Inc. LMM, LLC Legg Mason Capital Management, Inc. Item 2b) Address of principal business office: 100 Light Street Baltimore, MD 21202 Item 2c) Citizenship: Legg Mason Funds Management, Inc. Maryland corporation LMM, LLC Maryland limited liability company Legg Mason Capital Management, Inc. Maryland corporation Item 2d) Title of class of securities: Common Stock Item 2e) CUSIP number: 74406A102 Item 3) If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person giling is a: (a)[ ] Broker or dealer under Section 15 of the Act. (b)[ ] Bank as defined in Section 3(a)(6) of the Act. (c)[ ] Insurance Company as defined in Section 3(a)(6) of the Act. (d)[ ] Investment Company registered under Section 8 of the Investment Company Act. (e)[ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. (f)[ ] Employee Benefit Plan, Pension Fund which is subject to ERISA of 1974 or Endowment Funds; see 240.13d-1(b)(ii)(F). (g)[ ] Parent holding company, in accordance with 240.13d-1(b)(ii)(G), (h)[X] Group, in accordance with 240.13d-1(b)(1)(ii)(J). Item 4) Ownership: (a) Amount beneficially owned: 25,529,600 (b) Percent of Class: 8.80% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: - 0 - (ii) shared power to vote or to direct the vote: 25,529,600 (iii) sole power to dispose or to direct the disposition of: - 0 - (iv) shared power to dispose or to direct the disposition of 25,529,600 Item 5) Ownership of Five Percent or less of a class: n/a Item 6) Ownership of more than Five Percent on behalf of another person: Various accounts managed by the investment advisers identified in Item 8 have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of shares of the issuer. No such account owns more than 5% of the shares outstanding. Item 7) Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company: n/a Item 8) Identification and classification of members of the group: Legg Mason Funds Management, Inc.-investment adviser LMM, LLC-investment adviser Legg Mason Capital Management, Inc.-investment adviser Item 9) Notice of dissolution of group: n/a Item 10) Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Signature ----------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. -------------------------------- Date - February 13, 2004 Legg Mason Funds Management, Inc. By___________________________________________ Jennifer Murphy, Senior Vice President LMM, LLC By ___________________________________________ Jennifer Murphy, Chief Operations Officer Legg Mason Capital Management, Inc. By___________________________________________ Andrew J. Bowden, Senior Vice President Exhibit A Joint Filing Agreement -------------------------------------- This Joint Filing Agreement confirms the agreement by and among the undersigned that the Schedule 13G is filed on behalf of each member of the group identified in Item 8. Legg Mason Funds Management, Inc. By__________________________________________________ Jennifer Murphy, Senior Vice President LMM, LLC By__________________________________________________ Jennifer Murphy, Chief Operations Officer Legg Mason Capital Management, Inc. By__________________________________________________ Andrew J. Bowden, Senior Vice President -----END PRIVACY-ENHANCED MESSAGE-----