-----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, LSeaDpEG1lIe1IU2hsTQ13fD28gMHMkFZI2wk2wYNKxA3pXf6hBfKDQs1RzGCNHG wlbQ1grxHp9bK/LfKuLD0g== 0000357235-08-000182.txt : 20080214 0000357235-08-000182.hdr.sgml : 20080214 20080214104619 ACCESSION NUMBER: 0000357235-08-000182 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080214 EFFECTIVENESS DATE: 20080214 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: 08609544 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 lm4q07.txt LEGG MASON, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2007 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: Peter L. Bain Title: Executive Vice President Phone: 410-454-3227 Signature, Place, and Date of Signing: Peter L. Bain Baltimore, MD February 14, 2008 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 28-4024 Smith Barney Fund Management, LLC 28-2568 ClearBridge Asset Management, Inc. 28-11198 Legg Mason Asset Management (Japan) Co.Ltd. 28-12558 Legg Mason Private Portfolio Group, LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form13F Information Table Entry Total: 176 Form13F Information Table Value Total: $132,719 (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$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADMINISTRADORA FONDOS PENSIO SPONSORED ADR 00709P108 179 4800 SH DEFINED 1 4800 0 0 AETNA INC NEW COM 00817Y108 1190 20600 SH DEFINED 1 20600 0 0 AGRIUM INC COM 008916108 643 8900 SH DEFINED 1 8900 0 0 AK STL HLDG CORP COM 001547108 738 15940 SH DEFINED 1 15940 0 0 ALCOA INC COM 013817101 27 718 SH DEFINED 1 718 0 0 ALLIANT ENERGY CORP COM 018802108 37 900 SH DEFINED 1 900 0 0 ALLIED WASTE INDS INC COM PAR$.01NEW 019589308 394 35700 SH DEFINED 1 35700 0 0 ALTRIA GROUP INC COM 02209S103 556 7350 SH DEFINED 1 7350 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 5870 95608 SH DEFINED 1 95608 0 0 AMERICAN EXPRESS CO COM 025816109 23 441 SH DEFINED 1 441 0 0 AMERICAN INTL GROUP INC COM 026874107 553 9479 SH DEFINED 1 9479 0 0 ANNALY CAP MGMT INC COM 035710409 66 3600 SH DEFINED 1 3600 0 0 ANNTAYLOR STORES CORP COM 036115103 21 800 SH DEFINED 1 800 0 0 APOLLO GROUP INC CL A 037604105 379 5400 SH DEFINED 1 5400 0 0 APPLE INC COM 037833100 60 300 SH DEFINED 1 300 0 0 ARACRUZ CELULOSE S A SPON ADR PFD B 038496204 388 5214 SH DEFINED 1 5214 0 0 ARCH CAP GROUP LTD ORD G0450A105 577 8200 SH DEFINED 1 8200 0 0 ASSURANT INC COM 04621X108 957 14300 SH DEFINED 1 14300 0 0 AT&T INC COM 00206R102 1738 41807 SH DEFINED 1 41807 0 0 AVNET INC COM 053807103 44 1250 SH DEFINED 1 1250 0 0 BANCO BRADESCO S A SP ADR PFD NEW 059460303 2944 91996 SH DEFINED 1 91996 0 0 BANCO ITAU HLDG FINANCIERA S SP ADR 500 PFD 059602201 2373 91734 SH DEFINED 1 91734 0 0 BANCOLOMBIA S A SPON ADR PREF 05968L102 613 18000 SH DEFINED 1 18000 0 0 BANK OF AMERICA CORPORATION COM 060505104 670 16226 SH DEFINED 1 16226 0 0 BARCLAYS PLC ADR 06738E204 91 2238 SH DEFINED 1 2238 0 0 BIG LOTS INC COM 089302103 375 23400 SH DEFINED 1 23400 0 0 BMC SOFTWARE INC COM 055921100 2375 66625 SH DEFINED 1 66625 0 0 BRASKEM S A SP ADR PFD A 105532105 297 18335 SH DEFINED 1 18335 0 0 BRINKER INTL INC COM 109641100 184 9400 SH DEFINED 1 9400 0 0 CB RICHARD ELLIS GROUP INC CL A 12497T101 43 1950 SH DEFINED 1 1950 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 1360 52582 SH DEFINED 1 52582 0 0 CENTERPOINT ENERGY INC COM 15189T107 36 2100 SH DEFINED 1 2100 0 0 CF INDS HLDGS INC COM 125269100 485 4400 SH DEFINED 1 4400 0 0 CHEVRON CORP NEW COM 166764100 1839 19700 SH DEFINED 1 19700 0 0 CISCO SYS INC COM 17275R102 126 4640 SH DEFINED 1 4640 0 0 CITIGROUP INC COM 172967101 530 17976 SH DEFINED 1 17976 0 0 COCA COLA CO COM 191216100 661 10759 SH DEFINED 1 10759 0 0 COCA COLA ENTERPRISES INC COM 191219104 774 29700 SH DEFINED 1 29700 0 0 COCA COLA FEMSA S A B DE C V SPON ADR REP L 191241108 122 2463 SH DEFINED 1 2463 0 0 COMPANHIA BRASILEIRA DE DIST SPON ADR PFD 20440T201 154 4164 SH DEFINED 1 4164 0 0 COMPANHIA DE BEBIDAS DAS AME SPONSORED ADR 20441W104 318 4665 SH DEFINED 1 4665 0 0 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 1956 27525 SH DEFINED 1 27525 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 264 5600 SH DEFINED 1 5600 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 567 30666 SH DEFINED 1 30666 0 0 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 171 11315 SH DEFINED 1 11315 0 0 COMPANHIA VALE DO RIO DOCE SPON ADR PFD 204412100 6041 215894 SH DEFINED 1 215894 0 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 459 8100 SH DEFINED 1 8100 0 0 CONOCOPHILLIPS COM 20825C104 757 8564 SH DEFINED 1 8564 0 0 COPART INC COM 217204106 294 6900 SH DEFINED 1 6900 0 0 CORN PRODS INTL INC COM 219023108 607 16500 SH DEFINED 1 16500 0 0 CREDICORP LTD COM G2519Y108 835 10933 SH DEFINED 1 10933 0 0 CROCS INC COM 227046109 490 13300 SH DEFINED 1 13300 0 0 CTRIP COM INTL LTD ADR 22943F100 280 4866 SH DEFINED 1 4866 0 0 CVS CAREMARK CORPORATION COM 126650100 28 700 SH DEFINED 1 700 0 0 DAIMLER AG REG SHS D1668R123 39 400 SH DEFINED 1 400 0 0 DARDEN RESTAURANTS INC COM 237194105 25 900 SH DEFINED 1 900 0 0 DEERE & CO COM 244199105 652 7000 SH DEFINED 1 7000 0 0 DEUTSCHE BANK AG NAMEN ORD D18190898 470 3631 SH DEFINED 1 3631 0 0 DEVRY INC DEL COM 251893103 260 5000 SH DEFINED 1 5000 0 0 DONNELLEY R R & SONS CO COM 257867101 33 850 SH DEFINED 1 850 0 0 EXXON MOBIL CORP COM 30231G102 2438 26020 SH DEFINED 1 26020 0 0 FAMILY DLR STORES INC COM 307000109 25 1288 SH DEFINED 1 1288 0 0 FEDERATED INVS INC PA CL B 314211103 770 18700 SH DEFINED 1 18700 0 0 FLOWSERVE CORP COM 34354P105 289 3000 SH DEFINED 1 3000 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 439 11490 SH DEFINED 1 11490 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 318 3100 SH DEFINED 1 3100 0 0 GENERAL ELECTRIC CO COM 369604103 49 1295 SH DEFINED 1 1295 0 0 GERDAU S A SPONSORED ADR 373737105 814 28058 SH DEFINED 1 28058 0 0 GLOBAL INDS LTD COM 379336100 33 1500 SH DEFINED 1 1500 0 0 GOL LINHAS AEREAS INTLG S A SP ADR REP PFD 38045R107 161 6450 SH DEFINED 1 6450 0 0 GOOGLE INC CL A 38259P508 70 100 SH DEFINED 1 100 0 0 GRUPO TELEVISA SA DE CV SP ADR REP ORD 40049J206 1234 51910 SH DEFINED 1 51910 0 0 HEALTH NET INC COM 42222G108 416 8600 SH DEFINED 1 8600 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 21 1300 SH DEFINED 1 1300 0 0 HEWLETT PACKARD CO COM 428236103 2418 47885 SH DEFINED 1 47885 0 0 HUBBELL INC CL B 443510201 434 8400 SH DEFINED 1 8400 0 0 HUDSON CITY BANCORP COM 443683107 32 2100 SH DEFINED 1 2100 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 382 8400 SH DEFINED 1 8400 0 0 INGRAM MICRO INC CL A 457153104 28 1500 SH DEFINED 1 1500 0 0 INTEL CORP COM 458140100 199 7443 SH DEFINED 1 7443 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 919 8501 SH DEFINED 1 8501 0 0 INVITROGEN CORP COM 46185R100 309 3300 SH DEFINED 1 3300 0 0 ISHARES INC MSCI S KOREA 464286772 414 6385 SH DEFINED 1 6385 0 0 ISHARES INC MSCI TAIWAN 464286731 209 13875 SH DEFINED 1 13875 0 0 ISHARES INC MSCI HONG KONG 464286871 142 6440 SH DEFINED 1 6440 0 0 ISHARES INC MSCI SINGAPORE 464286673 101 7253 SH DEFINED 1 7253 0 0 ISHARES INC MSCI PAC J IDX 464286665 115 740 SH DEFINED 1 740 0 0 ISHARES INC MSCI EMU INDEX 464286608 1402 11747 SH DEFINED 1 11747 0 0 ISHARES INC MSCI MALAYSIA 464286830 46 3607 SH DEFINED 1 3607 0 0 ISHARES INC MSCI BRAZIL 464286400 182 2249 SH DEFINED 1 2249 0 0 ISHARES TR S&P 500 INDEX 464287200 167 1134 SH DEFINED 1 1134 0 0 ISHARES TR MSCI EMERG MKT 464287234 166 1099 SH DEFINED 1 1099 0 0 ISHARES TR S&P500 GRW 464287309 332 4750 SH DEFINED 1 4750 0 0 ISHARES TR S&P MIDCAP 400 464287507 172 2021 SH DEFINED 1 2021 0 0 ISHARES TR FTSE XNHUA IDX 464287184 91 533 SH DEFINED 1 533 0 0 ISHARES TR S&P 100 IDX FD 464287101 110 1590 SH DEFINED 1 1590 0 0 JOHNSON & JOHNSON COM 478160104 82 1218 SH DEFINED 1 1218 0 0 JOHNSON CTLS INC COM 478366107 696 19308 SH DEFINED 1 19308 0 0 JP MORGAN CHASE & CO COM 46625H100 774 17711 SH DEFINED 1 17711 0 0 KINETIC CONCEPTS INC COM NEW 49460W208 33 600 SH DEFINED 1 600 0 0 KING PHARMACEUTICALS INC COM 495582108 506 49400 SH DEFINED 1 49400 0 0 KROGER CO COM 501044101 1105 41350 SH DEFINED 1 41350 0 0 LAM RESEARCH CORP COM 512807108 22 500 SH DEFINED 1 500 0 0 LAUDER ESTEE COS INC CL A 518439104 655 15000 SH DEFINED 1 15000 0 0 LEXMARK INTL NEW CL A 529771107 560 16040 SH DEFINED 1 16040 0 0 LOCKHEED MARTIN CORP COM 539830109 758 7200 SH DEFINED 1 7200 0 0 LOEWS CORP CAROLNA GP STK 540424207 45 519 SH DEFINED 1 519 0 0 LONGTOP FINL TECHNOLOGIES LT ADR 54318P108 12083 510234 SH DEFINED 1 510234 0 0 MANITOWOC INC COM 563571108 586 12000 SH DEFINED 1 12000 0 0 MANPOWER INC COM 56418H100 498 8740 SH DEFINED 1 8740 0 0 MARATHON OIL CORP COM 565849106 767 12600 SH DEFINED 1 12600 0 0 MEMC ELECTR MATLS INC COM 552715104 76 850 SH DEFINED 1 850 0 0 MENS WEARHOUSE INC COM 587118100 17 600 SH DEFINED 1 600 0 0 MERCK & CO INC COM 589331107 1093 18800 SH DEFINED 1 18800 0 0 METLIFE INC COM 59156R108 695 11273 SH DEFINED 1 11273 0 0 MICROSOFT CORP COM 594918104 687 19289 SH DEFINED 1 19289 0 0 NBTY INC COM 628782104 17 600 SH DEFINED 1 600 0 0 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 201 16767 SH DEFINED 1 16767 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 6311 78300 SH DEFINED 1 78300 0 0 NORTHEAST UTILS COM 664397106 38 1200 SH DEFINED 1 1200 0 0 NOVA CHEMICALS CORP COM 66977W109 444 13700 SH DEFINED 1 13700 0 0 OGE ENERGY CORP COM 670837103 969 26700 SH DEFINED 1 26700 0 0 PEPSI BOTTLING GROUP INC COM 713409100 556 14077 SH DEFINED 1 14077 0 0 PEPSIAMERICAS INC COM 71343P200 53 1566 SH DEFINED 1 1566 0 0 PETRO-CDA COM 71644E102 698 13000 SH DEFINED 1 13000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 6261 54326 SH DEFINED 1 54326 0 0 PFIZER INC COM 717081103 492 21611 SH DEFINED 1 21611 0 0 PRICELINE COM INC COM NEW 741503403 598 5200 SH DEFINED 1 5200 0 0 PROCTER & GAMBLE CO COM 742718109 353 4800 SH DEFINED 1 4800 0 0 PRUDENTIAL FINL INC COM 744320102 66 700 SH DEFINED 1 700 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 796 8100 SH DEFINED 1 8100 0 0 QWEST COMMUNICATIONS INTL IN COM 749121109 568 81000 SH DEFINED 1 81000 0 0 RADIOSHACK CORP COM 750438103 284 16800 SH DEFINED 1 16800 0 0 RAYTHEON CO COM NEW 755111507 395 6500 SH DEFINED 1 6500 0 0 ROCKWELL AUTOMATION INC COM 773903109 514 7450 SH DEFINED 1 7450 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 743 16400 SH DEFINED 1 16400 0 0 ROSS STORES INC COM 778296103 24 900 SH DEFINED 1 900 0 0 SAFEWAY INC COM NEW 786514208 63 1830 SH DEFINED 1 1830 0 0 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 98 3643 SH DEFINED 1 3643 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 71 2000 SH DEFINED 1 2000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 102 1283 SH DEFINED 1 1283 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 47 1200 SH DEFINED 1 1200 0 0 SEMICONDUCTOR HLDRS TR DEP RCPT 816636203 52 1600 SH DEFINED 1 1600 0 0 SHERWIN WILLIAMS CO COM 824348106 308 5300 SH DEFINED 1 5300 0 0 SOTHEBYS COM 835898107 374 9800 SH DEFINED 1 9800 0 0 SOUTHERN COPPER CORP COM 84265V105 944 8975 SH DEFINED 1 8975 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 223 2479 SH DEFINED 1 2479 0 0 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 264 3023 SH DEFINED 1 3023 0 0 SPDR TR UNIT SER 1 78462F103 167 1138 SH DEFINED 1 1138 0 0 STEEL DYNAMICS INC COM 858119100 60 1000 SH DEFINED 1 1000 0 0 TAM SA SP ADR REP PFD 87484D103 155 6400 SH DEFINED 1 6400 0 0 TECH DATA CORP COM 878237106 34 900 SH DEFINED 1 900 0 0 TELEFONOS DE MEXICO S A B SPON ADR ORD L 879403780 910 24675 SH DEFINED 1 24675 0 0 TENARIS S A SPONSORED ADR 88031M109 399 8900 SH DEFINED 1 8900 0 0 TESORO CORP COM 881609101 263 5500 SH DEFINED 1 5500 0 0 TIM PARTICIPACOES S A SPONS ADR PFD 88706P106 457 13062 SH DEFINED 1 13062 0 0 TJX COS INC NEW COM 872540109 340 11800 SH DEFINED 1 11800 0 0 TRAVELERS COMPANIES INC COM 89417E109 768 14260 SH DEFINED 1 14260 0 0 UNIBANCO-UNIAO DE BANCOS BRA GDR REP PFD UT 90458E107 1400 10022 SH DEFINED 1 10022 0 0 UNITEDHEALTH GROUP INC COM 91324P102 716 12300 SH DEFINED 1 12300 0 0 UNUM GROUP COM 91529Y106 636 26700 SH DEFINED 1 26700 0 0 VANGUARD INTL EQUITY INDEX F EURPEAN ETF 922042874 948 12658 SH DEFINED 1 12658 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 71 1165 SH DEFINED 1 1165 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 29 770 SH DEFINED 1 770 0 0 VERIZON COMMUNICATIONS COM 92343V104 114 2600 SH DEFINED 1 2600 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 194 17000 SH DEFINED 1 17000 0 0 VOTORANTIM CELULOSE E PAPEL SPONSORED ADR 92906P106 288 9635 SH DEFINED 1 9635 0 0 WACHOVIA CORP NEW COM 929903102 102 2671 SH DEFINED 1 2671 0 0 WAL MART STORES INC COM 931142103 729 15336 SH DEFINED 1 15336 0 0 WATERS CORP COM 941848103 72 900 SH DEFINED 1 900 0 0 WATSON PHARMACEUTICALS INC COM 942683103 41 1500 SH DEFINED 1 1500 0 0 WELLPOINT INC COM 94973V107 992 11300 SH DEFINED 1 11300 0 0 WELLS FARGO & CO NEW COM 949746101 42 1364 SH DEFINED 1 1364 0 0 WESTERN DIGITAL CORP COM 958102105 1170 38700 SH DEFINED 1 38700 0 0 WSP HOLDINGS LIMITED ADR 92934F104 15804 1736700 SH DEFINED 1 1736700 0 0 XEROX CORP COM 984121103 668 41200 SH DEFINED 1 41200 0 0
-----END PRIVACY-ENHANCED MESSAGE-----