-----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, WGgcYtqmU4ABM5hPbOLuJeAggzxbYD9qWmhHeexHsOXz4ZDGqxxWRwVloT8999/8 rRFPPPGtA6cDxyxIwwo/4g== 0000276300-02-000040.txt : 20020809 0000276300-02-000040.hdr.sgml : 20020809 20020809145204 ACCESSION NUMBER: 0000276300-02-000040 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020809 ITEM INFORMATION: FILED AS OF DATE: 20020809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LEGG MASON INC CENTRAL INDEX KEY: 0000704051 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 521200960 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-08529 FILM NUMBER: 02724609 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 8-K 1 eightk.txt CERTIFICATIONS SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ____________________ FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 9, 2002 ------------------- LEGG MASON, INC. ----------------------------------------------------- (Exact Name of Registrant as Specified in its Charter) Maryland 1-8529 52-1200960 ----------- ------- ----------- (State or Other Jurisdiction (Commission (IRS Employer of Incorporation) File No.) Identification No.) 100 Light Street, Baltimore, Maryland 21202 ------------------------------------------------ (Address of Principal Executive Office) (Zip Code) Registrant's Telephone Number, Including Area Code: (410) 539-0000 Not Applicable ------------------------------------- (Former name or former address, if changed since last report) Item 7. Financial Statements and Exhibits (a) Financial statements of businesses acquired. Not applicable. (b) Pro forma financial information. Not applicable. (c) Exhibits. The following exhibits are furnished pursuant to Item 9. of this Report. 99.1 Certificate of Chief Executive Officer 99.2 Certificate of Principal Financial Officer Item 9. Regulation FD Disclosure Legg Mason, Inc. is furnishing the written statements of its Chief Executive Officer and its Principal Financial Officer, which are attached hereto as Exhibits 99.1 and 99.2, to accompany its Quarterly Report on Form 10-Q for the quarter ended June 30, 2002 as required by Section 906 of the Sarbanes-Oxley Act of 2002. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. LEGG MASON, INC. Date: August 9, 2002 By: /s/ Charles J. Daley, Jr. -------------------------- Charles J. Daley, Jr. Senior Vice President and Treasurer EXHIBIT INDEX Exhibit 99.1 Certificate of Chief Executive Officer 99.2 Certificate of Principal Financial Officer EX-99.1 3 eight8exh991.txt CERTIFICATIONS Exhibit 99.1 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Quarterly Report of Legg Mason, Inc. (the "Company") on Form 10-Q for the period ending June 30, 2002 as filed with the Securities and Exchange Commission (the "Report"), I, Raymond A. Mason, Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that: (1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and (2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/ Raymond A. Mason - ------------------------------ Raymond A. Mason Chief Executive Officer August 9, 2002 < EX-99.2 4 eightkexh992.txt CERTIFICATIONS Exhibit 99.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Quarterly Report of Legg Mason, Inc. (the "Company") on Form 10-Q for the period ending June 30, 2002 as filed with the Securities and Exchange Commission (the "Report"), I, Charles J. Daley, Jr., Principal Financial Officer of the Company, certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that: (1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and (2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/Charles J. Daley, Jr. - -------------------------------- Charles J. Daley, Jr. Principal Financial Officer August 9, 2002 -----END PRIVACY-ENHANCED MESSAGE-----