-----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, VJldNuZzzzZlg46nooa/DC+RXU9YOWWdmyubq26DigoqPlChLvfAEugkA1ABLvBH n7rfvPwT1pXdO4IVQ3ZzVA== 0000357235-09-000377.txt : 20090814 0000357235-09-000377.hdr.sgml : 20090814 20090814150643 ACCESSION NUMBER: 0000357235-09-000377 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LEGG MASON INC CENTRAL INDEX KEY: 0000704051 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 521200960 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01700 FILM NUMBER: 091015071 BUSINESS ADDRESS: STREET 1: 100 LIGHT ST CITY: BALTIMORE STATE: MD ZIP: 21202-1476 BUSINESS PHONE: 4105390000 MAIL ADDRESS: STREET 1: 100 LIGHT ST CITY: BALTIMORE STATE: MD ZIP: 21202-1476 13F-HR 1 lm2q09.txt LEGG MASON UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Legg Mason, Inc. Address: 100 Light Street Baltimore, MD 21202 13F File Number: 28-1700 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Joseph Sullivan Title: Chief Administrative Officer Phone: 410-454-4988 Signature, Place, and Date of Signing: Joseph Sullivan Baltimore, MD August 14, 2009 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-3428 Private Capital Management, L.P. 28-3780 Royce & Associates, LLC 28-3658 Barrett Associates, Inc. 28-1801 Bartlett & Co. 28-0377 Batterymarch Financial Management, Inc. 28-2204 Brandywine Global Investment Management, LLC 28-1701 Legg Mason Capital Management, Inc. 28-6397 Legg Mason Investment Counsel & Trust Co, NA 28-6399 LMM, LLC 28-10245 Western Asset Management Company 28-6251 Legg Mason International Equities 28-11345 Legg Mason Investment Counsel, LLC 28-11611 ClearBridge Advisors, LLC 28-2568 ClearBridge Asset Management, Inc. 28-11198 Legg Mason Asset Management (Japan) Co. Ltd 28-13247 Global Currents Investment Management, LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form13F Information Table Entry Total: 168 Form13F Information Table Value Total: $56,575 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1 28- Miscellaneous FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBOTT LABS COM 002824100 316 6700 SH DEFINED 1 6700 0 0 AEROPOSTALE COM 007865108 62 1800 SH DEFINED 1 1800 0 0 AES CORP COM 00130H105 214 18370 SH DEFINED 1 18370 0 0 AFFILIATED COMPUTER SERVICES CL A 008190100 134 3000 SH DEFINED 1 3000 0 0 AGNICO EAGLE MINES LTD COM 008474108 457 8700 SH DEFINED 1 8700 0 0 AGRIUM INC COM 008916108 316 7900 SH DEFINED 1 7900 0 0 ALCOA INC COM 013817101 306 29600 SH DEFINED 1 29600 0 0 ALTERA CORP COM 021441100 251 15400 SH DEFINED 1 15400 0 0 ALTRIA GROUP INC COM 02209S103 503 30670 SH DEFINED 1 30670 0 0 AMERICAN EXPRESS CO COM 025816109 179 7700 SH DEFINED 1 7700 0 0 AMGEN INC COM 031162100 360 6800 SH DEFINED 1 6800 0 0 AMPHENOL CORP NEW CL A 032095101 121 3800 SH DEFINED 1 3800 0 0 ANADARKO PETE CORP COM 032511107 323 7100 SH DEFINED 1 7100 0 0 APOLLO GROUP INC CL A 037604105 306 4300 SH DEFINED 1 4300 0 0 APPLE INC COM 037833100 670 4700 SH DEFINED 1 4700 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 177 6580 SH DEFINED 1 6580 0 0 AT&T INC COM 00206R102 159 6400 SH DEFINED 1 6400 0 0 BANK OF AMERICA CORPORATION COM 060505104 564 42700 SH DEFINED 1 42700 0 0 BIG LOTS INC COM 089302103 97 4600 SH DEFINED 1 4600 0 0 BMC SOFTWARE INC COM 055921100 38 1100 SH DEFINED 1 1100 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 202 9900 SH DEFINED 1 9900 0 0 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 83 7903 SH DEFINED 1 7903 0 0 CF INDS HLDGS INC COM 125269100 164 2200 SH DEFINED 1 2200 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 320 13600 SH DEFINED 1 13600 0 0 CHEVRON CORP NEW COM 166764100 766 11550 SH DEFINED 1 11550 0 0 CISCO SYS INC COM 17275R102 1134 60800 SH DEFINED 1 60800 0 0 COACH INC COM 189754104 162 6000 SH DEFINED 1 6000 0 0 COCA COLA CO COM 191216100 620 12900 SH DEFINED 1 12900 0 0 COCA COLA ENTERPRISES INC COM 191219104 209 12500 SH DEFINED 1 12500 0 0 COMCAST CORP NEW CL A 20030N101 222 15300 SH DEFINED 1 15300 0 0 COMPUTER SCIENCES CORP COM 205363104 191 4300 SH DEFINED 1 4300 0 0 CONOCOPHILLIPS COM 20825C104 165 3900 SH DEFINED 1 3900 0 0 CVS CAREMARK CORPORATION COM 126650100 769 24100 SH DEFINED 1 24100 0 0 D R HORTON INC COM 23331A109 182 19400 SH DEFINED 1 19400 0 0 DEAN FOODS CO NEW COM 242370104 167 8700 SH DEFINED 1 8700 0 0 DELL INC COM 24702R101 219 15950 SH DEFINED 1 15950 0 0 DIRECTV GROUP INC COM 25459L106 549 22180 SH DEFINED 1 22180 0 0 DOMINION RES INC VA NEW COM 25746U109 219 6530 SH DEFINED 1 6530 0 0 DRESSER-RAND GROUP INC COM 261608103 117 4450 SH DEFINED 1 4450 0 0 DTE ENERGY CO COM 233331107 74 2300 SH DEFINED 1 2300 0 0 EBAY INC COM 278642103 221 12900 SH DEFINED 1 12900 0 0 ENCANA CORP COM 292505104 980 19800 SH DEFINED 1 19800 0 0 EXXON MOBIL CORP COM 30231G102 537 7680 SH DEFINED 1 7680 0 0 F M C CORP COM NEW 302491303 157 3300 SH DEFINED 1 3300 0 0 FAMILY DLR STORES INC COM 307000109 153 5400 SH DEFINED 1 5400 0 0 FIRST AMERN CORP CALIF COM 318522307 143 5500 SH DEFINED 1 5500 0 0 FLOWSERVE CORP COM 34354P105 140 2000 SH DEFINED 1 2000 0 0 FOREST LABS INC COM 345838106 146 5800 SH DEFINED 1 5800 0 0 FPL GROUP INC COM 302571104 148 2600 SH DEFINED 1 2600 0 0 GAP INC DEL COM 364760108 168 10200 SH DEFINED 1 10200 0 0 GENERAL DYNAMICS CORP COM 369550108 211 3800 SH DEFINED 1 3800 0 0 GENERAL ELECTRIC CO COM 369604103 122 10400 SH DEFINED 1 10400 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 496 41100 SH DEFINED 1 41100 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 170 1150 SH DEFINED 1 1150 0 0 GOODRICH CORP COM 382388106 165 3300 SH DEFINED 1 3300 0 0 HALLIBURTON CO COM 406216101 344 16600 SH DEFINED 1 16600 0 0 HCC INS HLDGS INC COM 404132102 428 17800 SH DEFINED 1 17800 0 0 HEINZ H J CO COM 423074103 143 4000 SH DEFINED 1 4000 0 0 HEWITT ASSOCS INC COM 42822Q100 252 8460 SH DEFINED 1 8460 0 0 HEWLETT PACKARD CO COM 428236103 551 14237 SH DEFINED 1 14237 0 0 HONEYWELL INTL INC COM 438516106 51 1600 SH DEFINED 1 1600 0 0 HUDSON CITY BANCORP COM 443683107 32 2400 SH DEFINED 1 2400 0 0 HUMANA INC COM 444859102 88 2700 SH DEFINED 1 2700 0 0 IAMGOLD CORP COM 450913108 21 2000 SH DEFINED 1 2000 0 0 ICICI BK LTD ADR 45104G104 372 12600 SH DEFINED 1 12600 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 309 8400 SH DEFINED 1 8400 0 0 INTEL CORP COM 458140100 557 33600 SH DEFINED 1 33600 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1081 10346 SH DEFINED 1 10346 0 0 INTERPUBLIC GROUP COS INC COM 460690100 123 24200 SH DEFINED 1 24200 0 0 INTL PAPER CO COM 460146103 153 10100 SH DEFINED 1 10100 0 0 ISHARES INC MSCI PAC J IDX 464286665 398 12550 SH DEFINED 1 12550 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 319 3800 SH DEFINED 1 3800 0 0 ISHARES TR RUSSELL 2000 464287655 198 3865 SH DEFINED 1 3865 0 0 ISHARES TR RUSSELL1000GRW 464287614 405 9850 SH DEFINED 1 9850 0 0 ISHARES TR MSCI EAFE IDX 464287465 878 19150 SH DEFINED 1 19150 0 0 ISHARES TR IBOXX INV CPBD 464287242 576 5740 SH DEFINED 1 5740 0 0 ISHARES TR MSCI EMERG MKT 464287234 415 12850 SH DEFINED 1 12850 0 0 ISHARES TR BARCLYS TIPS BD 464287176 410 4030 SH DEFINED 1 4030 0 0 ISHARES TR RUSSELL1000VAL 464287598 949 19925 SH DEFINED 1 19925 0 0 JOHNSON & JOHNSON COM 478160104 943 16600 SH DEFINED 1 16600 0 0 JPMORGAN CHASE & CO COM 46625H100 692 20270 SH DEFINED 1 20270 0 0 KBR INC COM 48242W106 181 9800 SH DEFINED 1 9800 0 0 KIMBERLY CLARK CORP COM 494368103 194 3700 SH DEFINED 1 3700 0 0 KOHLS CORP COM 500255104 48 1100 SH DEFINED 1 1100 0 0 KROGER CO COM 501044101 102 4600 SH DEFINED 1 4600 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 139 2000 SH DEFINED 1 2000 0 0 LEXMARK INTL NEW CL A 529771107 83 5220 SH DEFINED 1 5220 0 0 LG DISPLAY CO LTD SPONS ADR REP 50186V102 388 31000 SH DEFINED 1 31000 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 484 11600 SH DEFINED 1 11600 0 0 LILLY ELI & CO COM 532457108 182 5250 SH DEFINED 1 5250 0 0 LOCKHEED MARTIN CORP COM 539830109 380 4700 SH DEFINED 1 4700 0 0 MAIDENFORM BRANDS INC COM 560305104 325 28300 SH DEFINED 1 28300 0 0 MARATHON OIL CORP COM 565849106 219 7250 SH DEFINED 1 7250 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 167 4400 SH DEFINED 1 4400 0 0 MCDONALDS CORP COM 580135101 18 300 SH DEFINED 1 300 0 0 MCGRAW HILL COS INC COM 580645109 115 3800 SH DEFINED 1 3800 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 124 2700 SH DEFINED 1 2700 0 0 MEMC ELECTR MATLS INC COM 552715104 163 9100 SH DEFINED 1 9100 0 0 MERCK & CO INC COM 589331107 163 5800 SH DEFINED 1 5800 0 0 METLIFE INC COM 59156R108 352 11700 SH DEFINED 1 11700 0 0 MICROSOFT CORP COM 594918104 387 16250 SH DEFINED 1 16250 0 0 MORGAN STANLEY COM NEW 617446448 568 19900 SH DEFINED 1 19900 0 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 7343 580506 SH DEFINED 1 580506 0 0 MOSAIC CO COM 61945A107 164 3700 SH DEFINED 1 3700 0 0 MYLAN INC COM 628530107 669 51200 SH DEFINED 1 51200 0 0 NABORS INDUSTRIES LTD SHS G6359F103 32 2000 SH DEFINED 1 2000 0 0 NAVISTAR INTL CORP NEW COM 63934E108 175 4000 SH DEFINED 1 4000 0 0 NCR CORP NEW COM 62886E108 211 17800 SH DEFINED 1 17800 0 0 NEWS CORP CL B 65248E203 415 39200 SH DEFINED 1 39200 0 0 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 164 5400 SH DEFINED 1 5400 0 0 NORTHROP GRUMMAN CORP COM 666807102 238 5200 SH DEFINED 1 5200 0 0 NRG ENERGY INC COM NEW 629377508 756 29100 SH DEFINED 1 29100 0 0 ORACLE CORP COM 68389X105 1142 53300 SH DEFINED 1 53300 0 0 PACTIV CORP COM 695257105 37 1700 SH DEFINED 1 1700 0 0 PENNEY J C INC COM 708160106 196 6800 SH DEFINED 1 6800 0 0 PEPSICO INC COM 713448108 121 2200 SH DEFINED 1 2200 0 0 PFIZER INC COM 717081103 404 26900 SH DEFINED 1 26900 0 0 PG&E CORP COM 69331C108 58 1500 SH DEFINED 1 1500 0 0 PHILIP MORRIS INTL INC COM 718172109 492 11260 SH DEFINED 1 11260 0 0 POLO RALPH LAUREN CORP CL A 731572103 220 4100 SH DEFINED 1 4100 0 0 POSCO SPONSORED ADR 693483109 364 4400 SH DEFINED 1 4400 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 79 3450 SH DEFINED 1 3450 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 268 7350 SH DEFINED 1 7350 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 76 2950 SH DEFINED 1 2950 0 0 PRIDE INTL INC DEL COM 74153Q102 186 7400 SH DEFINED 1 7400 0 0 PROCTER & GAMBLE CO COM 742718109 545 10650 SH DEFINED 1 10650 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 46 1400 SH DEFINED 1 1400 0 0 RAYTHEON CO COM NEW 755111507 258 5800 SH DEFINED 1 5800 0 0 RENT A CTR INC NEW COM 76009N100 400 22400 SH DEFINED 1 22400 0 0 ROSS STORES INC COM 778296103 190 4900 SH DEFINED 1 4900 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 213 5200 SH DEFINED 1 5200 0 0 RYANAIR HLDGS PLC SPONSORED ADR 783513104 574 20200 SH DEFINED 1 20200 0 0 SARA LEE CORP COM 803111103 157 16029 SH DEFINED 1 16029 0 0 SCHWAB CHARLES CORP NEW COM 808513105 153 8700 SH DEFINED 1 8700 0 0 SEMPRA ENERGY COM 816851109 95 1900 SH DEFINED 1 1900 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 221 2415 SH DEFINED 1 2415 0 0 STANCORP FINL GROUP INC COM 852891100 21 700 SH DEFINED 1 700 0 0 STANLEY WKS COM 854616109 380 11200 SH DEFINED 1 11200 0 0 STATE STR CORP COM 857477103 218 4600 SH DEFINED 1 4600 0 0 SYBASE INC COM 871130100 232 7400 SH DEFINED 1 7400 0 0 SYMANTEC CORP COM 871503108 463 29700 SH DEFINED 1 29700 0 0 SYNOPSYS INC COM 871607107 160 8200 SH DEFINED 1 8200 0 0 SYSCO CORP COM 871829107 84 3700 SH DEFINED 1 3700 0 0 TALISMAN ENERGY INC COM 87425E103 52 3600 SH DEFINED 1 3600 0 0 TARGET CORP COM 87612E106 190 4800 SH DEFINED 1 4800 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 141 8000 SH DEFINED 1 8000 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 578 11700 SH DEFINED 1 11700 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 535 13100 SH DEFINED 1 13100 0 0 TJX COS INC NEW COM 872540109 406 12900 SH DEFINED 1 12900 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 206 3980 SH DEFINED 1 3980 0 0 TRANSATLANTIC HLDGS INC COM 893521104 351 8100 SH DEFINED 1 8100 0 0 TRAVELERS COMPANIES INC COM 89417E109 21 500 SH DEFINED 1 500 0 0 TYCO INTERNATIONAL LTD SHS H89128104 45 1700 SH DEFINED 1 1700 0 0 UBS AG SHS NEW H89231338 207 16887 SH DEFINED 1 16887 0 0 UGI CORP NEW COM 902681105 105 4100 SH DEFINED 1 4100 0 0 UNITED TECHNOLOGIES CORP COM 913017109 162 3100 SH DEFINED 1 3100 0 0 UNITEDHEALTH GROUP INC COM 91324P102 578 23100 SH DEFINED 1 23100 0 0 URS CORP NEW COM 903236107 248 5000 SH DEFINED 1 5000 0 0 VANGUARD INDEX FDS REIT ETF 922908553 470 15125 SH DEFINED 1 15125 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 80 2500 SH DEFINED 1 2500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 404 13140 SH DEFINED 1 13140 0 0 WAL MART STORES INC COM 931142103 765 15780 SH DEFINED 1 15780 0 0 WELLPOINT INC COM 94973V107 36 700 SH DEFINED 1 700 0 0 WELLS FARGO & CO NEW COM 949746101 222 9140 SH DEFINED 1 9140 0 0 WILLIAMS COS INC DEL COM 969457100 250 16000 SH DEFINED 1 16000 0 0 WISCONSIN ENERGY CORP COM 976657106 477 11700 SH DEFINED 1 11700 0 0 XILINX INC COM 983919101 21 1000 SH DEFINED 1 1000 0 0 YUM BRANDS INC COM 988498101 291 8700 SH DEFINED 1 8700 0 0
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