0001140361-15-041967.txt : 20151117
0001140361-15-041967.hdr.sgml : 20151117
20151117110514
ACCESSION NUMBER: 0001140361-15-041967
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151117
DATE AS OF CHANGE: 20151117
EFFECTIVENESS DATE: 20151117
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: LMM LLC
CENTRAL INDEX KEY: 0001135778
IRS NUMBER: 522204753
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06399
FILM NUMBER: 151237396
BUSINESS ADDRESS:
STREET 1: ONE SOUTH STREET
STREET 2: SUITE 2550
CITY: BALTIMORE
STATE: MD
ZIP: 21202
BUSINESS PHONE: 4105390000
MAIL ADDRESS:
STREET 1: ONE SOUTH STREET
STREET 2: SUITE 2550
CITY: BALTIMORE
STATE: MD
ZIP: 21202
FORMER COMPANY:
FORMER CONFORMED NAME: LMM LLC /MD/
DATE OF NAME CHANGE: 20010301
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001135778
XXXXXXXX
09-30-2015
09-30-2015
true
1
RESTATEMENT
LMM LLC
ONE SOUTH STREET
SUITE 2550
BALTIMORE
MD
21202
13F HOLDINGS REPORT
028-06399
N
Neil O'Callaghan
President & Chief Compliance Officer
410-454-3128
Neil O'Callaghan
Baltimore
MD
11-17-2015
1
83
3480750
false
1
0000704051
028-01700
LEGG MASON, INC.
INFORMATION TABLE
2
form13fInfoTable.xml
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
24806
420650
SH
DFND
1
420650
0
0
ALTISOURCE RESIDENTIAL CORP
CL B
02153W100
2506
180000
SH
DFND
1
180000
0
0
AMAZON COM INC
COM
023135106
65479
127915
SH
DFND
1
127915
0
0
AMAZON COM INC
COM
023135106
476160
930200
SH
Call
DFND
1
0
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
93364
2404425
SH
DFND
1
2404425
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
2338
125000
SH
DFND
1
125000
0
0
AMERICAN CAP MTG INVT CORP
COM
02504A104
767
52000
SH
DFND
1
52000
0
0
ANGIES LIST INC
COM
034754101
15608
3096775
SH
DFND
1
3096775
0
0
APOLLO GLOBAL MGMT LLC
CL A SHS
037612306
2320
135000
SH
DFND
1
135000
0
0
APPLE INC
COM
037833100
50797
460530
SH
DFND
1
460530
0
0
APPLE INC
COM
037833100
335632
3042900
SH
Call
DFND
1
0
0
0
BGC PARTNERS INC
CL A
05541T101
1862
226400
SH
DFND
1
226400
0
0
BANK AMER CORP
COM
060505104
63570
4080225
SH
DFND
1
4080225
0
0
BOYD GAMING CORP
COM
103304101
60419
3706675
SH
DFND
1
3706675
0
0
CIGNA CORPORATION
COM
125509109
40388
299120
SH
DFND
1
299120
0
0
CYS INVTS INC
COM
12673A108
1815
250000
SH
DFND
1
250000
0
0
CAPSTEAD MTG CORP
COM NO PAR
14067E506
1039
105000
SH
DFND
1
105000
0
0
CHIMERA INVT CORP
COM NEW
16934Q208
2407
180000
SH
DFND
1
180000
0
0
CITIGROUP INC
COM NEW
172967424
53669
1081800
SH
DFND
1
1081800
0
0
COMMUNICATIONS SALES&LEAS IN
COM
20341J104
608
33940
SH
DFND
1
33940
0
0
COMPASS DIVERSIFIED HOLDINGS
SH BEN INT
20451Q104
1451
90000
SH
DFND
1
90000
0
0
COUPONS COM INC
COM
22265J102
35026
3891750
SH
DFND
1
3891750
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
107878
2404225
SH
DFND
1
2404225
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
26593
1009975
SH
DFND
1
1009975
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
877
49000
SH
DFND
1
49000
0
0
ENDURANCE INTL GROUP HLDGS I
COM
29272B105
51835
3879825
SH
DFND
1
3879825
0
0
FIFTH STREET FINANCE CORP
COM
31678A103
2962
480000
SH
DFND
1
480000
0
0
FORTRESS INVESTMENT GROUP LL
CL A
34958B106
2775
500000
SH
DFND
1
500000
0
0
FORTRESS TRANS INFRST INVS L
COM REP LTD LIAB
34960P101
2566
200000
SH
DFND
1
200000
0
0
FRONTIER COMMUNICATIONS CORP
COM
35906A108
1544
325000
SH
DFND
1
325000
0
0
FRONTIER COMMUNICATIONS CORP
PFD CONV SER-A
35906A207
2609
28000
SH
DFND
1
28000
0
0
GAMESTOP CORP NEW
CL A
36467W109
64142
1556450
SH
DFND
1
1556450
0
0
GENERAL MTRS CO
COM
37045V100
36774
1224975
SH
DFND
1
1224975
0
0
GENWORTH FINL INC
COM CL A
37247D106
55554
12024525
SH
DFND
1
12024525
0
0
GILEAD SCIENCES INC
COM
375558103
52935
539100
SH
DFND
1
539100
0
0
GREEN BRICK PARTNERS INC
COM
392709101
18998
1754148
SH
DFND
1
1754148
0
0
GROUPON INC
COM CL A
399473107
27869
8548700
SH
DFND
1
8548700
0
0
HCI GROUP INC
COM
40416E103
1280
33000
SH
DFND
1
33000
0
0
HATTERAS FINL CORP
COM
41902R103
3030
200000
SH
DFND
1
200000
0
0
INTREXON CORP
COM
46122T102
93624
2944150
SH
DFND
1
2944150
0
0
IRIDIUM COMMUNICATIONS INC
PERP PFD CNV B
46269C409
634
2600
SH
DFND
1
2600
0
0
JMP GROUP LLC
COM
46629U107
1863
300000
SH
DFND
1
300000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
49912
2506875
SH
DFND
1
2506875
0
0
JD COM INC
SPON ADR CL A
47215P106
28098
1078175
SH
DFND
1
1078175
0
0
KKR & CO L P DEL
COM UNITS
48248M102
2014
120000
SH
DFND
1
120000
0
0
KB HOME
COM
48666K109
41612
3070975
SH
DFND
1
3070975
0
0
LENNAR CORP
CL A
526057104
92349
1918725
SH
DFND
1
1918725
0
0
MGIC INVT CORP WIS
COM
552848103
81154
8763825
SH
DFND
1
8763825
0
0
MVC CAPITAL INC
COM
553829102
1171
142600
SH
DFND
1
142600
0
0
NATIONSTAR MTG HLDGS INC
COM
63861C109
25664
1850300
SH
DFND
1
1850300
0
0
NETFLIX INC
COM
64110L106
78173
757050
SH
DFND
1
757050
0
0
NEW MEDIA INVT GROUP INC
COM
64704V106
4638
300000
SH
DFND
1
300000
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
2277
173750
SH
DFND
1
173750
0
0
NORTHSTAR RLTY FIN CORP
COM NEW
66704R704
2803
226900
SH
DFND
1
226900
0
0
OCI PARTNERS LP
COM UNIT REP LP
67091N108
1045
104300
SH
DFND
1
104300
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
753
15200
SH
DFND
1
15200
0
0
OCH ZIFF CAP MGMT GROUP
CL A
67551U105
1250
143100
SH
DFND
1
143100
0
0
PANDORA MEDIA INC
COM
698354107
99829
4678000
SH
DFND
1
4678000
0
0
PENNYMAC MTG INVT TR
COM
70931T103
2166
140000
SH
DFND
1
140000
0
0
PENNYMAC FINL SVCS INC
CL A
70932B101
24906
1556575
SH
DFND
1
1556575
0
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
50516
3993350
SH
DFND
1
3993350
0
0
PRICELINE GRP INC
COM NEW
741503403
44348
35855
SH
DFND
1
35855
0
0
PULTE GROUP INC
COM
745867101
83580
4429225
SH
DFND
1
4429225
0
0
QUALCOMM INC
COM
747525103
38605
718490
SH
DFND
1
718490
0
0
RADIAN GROUP INC
COM
750236101
26918
1691875
SH
DFND
1
1691875
0
0
SPRINGLEAF HLDGS INC
COM
85172J101
32663
747075
SH
DFND
1
747075
0
0
STARWOOD PPTY TR INC
COM
85571B105
2980
145200
SH
DFND
1
145200
0
0
STONEMOR PARTNERS L P
COM UNITS
86183Q100
1637
60000
SH
DFND
1
60000
0
0
TRI POINTE GROUP INC
COM
87265H109
25140
1920475
SH
DFND
1
1920475
0
0
TAYLOR MORRISON HOME CORP
CL A
87724P106
39898
2138150
SH
DFND
1
2138150
0
0
TRIANGLE CAP CORP
COM
895848109
2822
171213
SH
DFND
1
171213
0
0
TRIPLEPOINT VENTURE GROWTH B
COM
89677Y100
1159
114266
SH
DFND
1
114266
0
0
TWITTER INC
COM
90184L102
16724
620775
SH
DFND
1
620775
0
0
TWITTER INC
COM
90184L102
322189
11959500
SH
Call
DFND
1
0
0
0
UNITED CONTL HLDGS INC
COM
910047109
89304
1683375
SH
DFND
1
1683375
0
0
VEREIT INC
COM
92339V100
3745
485000
SH
DFND
1
485000
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
35622
3953597
SH
DFND
1
3953597
0
0
ZULILY INC
CL A
989774104
39290
2258000
SH
DFND
1
2258000
0
0
ABENGOA YIELD PLC
ORD SHS
G00349103
1738
105000
SH
DFND
1
105000
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
29404
656325
SH
DFND
1
656325
0
0
VALIDUS HOLDINGS LTD
COM SHS
G9319H102
1470
32600
SH
DFND
1
32600
0
0
FIAT CHRYSLER AUTOMOBILES N
SHS
N31738102
79332
6005400
SH
DFND
1
6005400
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
83479
958750
SH
DFND
1
958750
0
0