-----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, Bea13D/MCP1yAQefoJ22VqlJ8vtz2RkBITp0DPPGyRc2UtxnUxNXMlWXmcPL4h51 CU2bAdo9ly//T4Pl2UaEMA== 0000357235-09-000285.txt : 20090515 0000357235-09-000285.hdr.sgml : 20090515 20090515145303 ACCESSION NUMBER: 0000357235-09-000285 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 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: 09832059 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 lm1q09.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: March 31,2009 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 May 15, 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: 163 Form13F Information Table Value Total: $47,291 (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 320 6700 SH DEFINED 1 6700 0 0 ACCENTURE LTD BERMUDA CL A G1150G111 325 11800 SH DEFINED 1 11800 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 140 3400 SH DEFINED 1 3400 0 0 AFFILIATED COMPUTER SERVICES CL A 008190100 144 3000 SH DEFINED 1 3000 0 0 AFLAC INC COM 001055102 44 2270 SH DEFINED 1 2270 0 0 AGNICO EAGLE MINES LTD COM 008474108 308 5400 SH DEFINED 1 5400 0 0 ALBERTO CULVER CO NEW COM 013078100 28 1200 SH DEFINED 1 1200 0 0 ALTERA CORP COM 021441100 271 15400 SH DEFINED 1 15400 0 0 ALTRIA GROUP INC COM 02209S103 492 30670 SH DEFINED 1 30670 0 0 AMDOCS LTD ORD G02602103 412 22200 SH DEFINED 1 22200 0 0 AMERICAN ELEC PWR INC COM 025537101 137 5400 SH DEFINED 1 5400 0 0 AMGEN INC COM 031162100 768 15500 SH DEFINED 1 15500 0 0 AMPHENOL CORP NEW CL A 032095101 134 4700 SH DEFINED 1 4700 0 0 AON CORP COM 037389103 49 1200 SH DEFINED 1 1200 0 0 APOLLO GROUP INC CL A 037604105 337 4300 SH DEFINED 1 4300 0 0 APPLE INC COM 037833100 495 4700 SH DEFINED 1 4700 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 362 13000 SH DEFINED 1 13000 0 0 AUTOZONE INC COM 053332102 131 800 SH DEFINED 1 800 0 0 BALL CORP COM 058498106 57 1300 SH DEFINED 1 1300 0 0 BARRICK GOLD CORP COM 067901108 156 4800 SH DEFINED 1 4800 0 0 BCE INC COM NEW 05534B760 40 2000 SH DEFINED 1 2000 0 0 BMC SOFTWARE INC COM 055921100 289 8730 SH DEFINED 1 8730 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 218 9900 SH DEFINED 1 9900 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 277 20100 SH DEFINED 1 20100 0 0 CHEVRON CORP NEW COM 166764100 777 11550 SH DEFINED 1 11550 0 0 CHUBB CORP COM 171232101 182 4300 SH DEFINED 1 4300 0 0 CIGNA CORP COM 125509109 162 9200 SH DEFINED 1 9200 0 0 CISCO SYS INC COM 17275R102 1138 67800 SH DEFINED 1 67800 0 0 COCA COLA CO COM 191216100 462 10500 SH DEFINED 1 10500 0 0 COCA COLA ENTERPRISES INC COM 191219104 165 12500 SH DEFINED 1 12500 0 0 COMPUTER SCIENCES CORP COM 205363104 159 4300 SH DEFINED 1 4300 0 0 CONAGRA FOODS INC COM 205887102 90 5300 SH DEFINED 1 5300 0 0 CONOCOPHILLIPS COM 20825C104 251 6400 SH DEFINED 1 6400 0 0 CONSOL ENERGY INC COM 20854P109 31 1200 SH DEFINED 1 1200 0 0 CONSTELLATION BRANDS INC CL A 21036P108 98 8200 SH DEFINED 1 8200 0 0 CULLEN FROST BANKERS INC COM 229899109 110 2330 SH DEFINED 1 2330 0 0 CVS CAREMARK CORPORATION COM 126650100 377 13700 SH DEFINED 1 13700 0 0 D R HORTON INC COM 23331A109 189 19400 SH DEFINED 1 19400 0 0 DEAN FOODS CO NEW COM 242370104 158 8700 SH DEFINED 1 8700 0 0 DELL INC COM 24702R101 152 15950 SH DEFINED 1 15950 0 0 DEVON ENERGY CORP NEW COM 25179M103 291 6500 SH DEFINED 1 6500 0 0 DICKS SPORTING GOODS INC COM 253393102 342 23900 SH DEFINED 1 23900 0 0 DIRECTV GROUP INC COM 25459L106 303 13280 SH DEFINED 1 13280 0 0 DISNEY WALT CO COM DISNEY 254687106 324 17800 SH DEFINED 1 17800 0 0 DOMINION RES INC VA NEW COM 25746U109 203 6530 SH DEFINED 1 6530 0 0 DTE ENERGY CO COM 233331107 64 2300 SH DEFINED 1 2300 0 0 E M C CORP MASS COM 268648102 313 27400 SH DEFINED 1 27400 0 0 EXELON CORP COM 30161N101 123 2700 SH DEFINED 1 2700 0 0 EXPRESS SCRIPTS INC COM 302182100 139 3000 SH DEFINED 1 3000 0 0 EXXON MOBIL CORP COM 30231G102 707 10380 SH DEFINED 1 10380 0 0 F M C CORP COM NEW 302491303 106 2450 SH DEFINED 1 2450 0 0 FAIRFAX FINL HLDGS LTD SUB VTG 303901102 157 600 SH DEFINED 1 600 0 0 FAMILY DLR STORES INC COM 307000109 181 5400 SH DEFINED 1 5400 0 0 FIDELITY NATIONAL FINANCIAL CL A 31620R105 135 6900 SH DEFINED 1 6900 0 0 FIRST AMERN CORP CALIF COM 318522307 146 5500 SH DEFINED 1 5500 0 0 FLOWSERVE CORP COM 34354P105 113 2000 SH DEFINED 1 2000 0 0 FLUOR CORP NEW COM 343412102 18 500 SH DEFINED 1 500 0 0 FOREST LABS INC COM 345838106 128 5800 SH DEFINED 1 5800 0 0 FPL GROUP INC COM 302571104 92 1800 SH DEFINED 1 1800 0 0 GAP INC DEL COM 364760108 34 2600 SH DEFINED 1 2600 0 0 GENERAL DYNAMICS CORP COM 369550108 159 3800 SH DEFINED 1 3800 0 0 GENERAL ELECTRIC CO COM 369604103 77 7600 SH DEFINED 1 7600 0 0 GENUINE PARTS CO COM 372460105 353 11800 SH DEFINED 1 11800 0 0 GILEAD SCIENCES INC COM 375558103 274 5900 SH DEFINED 1 5900 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 467 41100 SH DEFINED 1 41100 0 0 HCC INS HLDGS INC COM 404132102 527 20900 SH DEFINED 1 20900 0 0 HEINZ H J CO COM 423074103 652 19700 SH DEFINED 1 19700 0 0 HEWITT ASSOCS INC COM 42822Q100 252 8460 SH DEFINED 1 8460 0 0 HEWLETT PACKARD CO COM 428236103 457 14237 SH DEFINED 1 14237 0 0 HONEYWELL INTL INC COM 438516106 45 1600 SH DEFINED 1 1600 0 0 HUDSON CITY BANCORP COM 443683107 121 10300 SH DEFINED 1 10300 0 0 HUMANA INC COM 444859102 71 2700 SH DEFINED 1 2700 0 0 IAMGOLD CORP COM 450913108 119 13900 SH DEFINED 1 13900 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 224 8400 SH DEFINED 1 8400 0 0 INTEL CORP COM 458140100 506 33600 SH DEFINED 1 33600 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1212 12506 SH DEFINED 1 12506 0 0 INTERPUBLIC GROUP COS INC COM 460690100 70 16900 SH DEFINED 1 16900 0 0 ISHARES TR MSCI EAFE IDX 464287465 647 17200 SH DEFINED 1 17200 0 0 ISHARES TR RUSSELL1000VAL 464287598 685 16800 SH DEFINED 1 16800 0 0 ISHARES TR RUSSELL 2000 464287655 135 3200 SH DEFINED 1 3200 0 0 ISHARES TR RUSSELL1000GRW 464287614 306 8700 SH DEFINED 1 8700 0 0 ITT EDUCATIONAL SERVICES INC COM 45068B109 49 400 SH DEFINED 1 400 0 0 JOHNSON & JOHNSON COM 478160104 1016 19300 SH DEFINED 1 19300 0 0 JPMORGAN CHASE & CO COM 46625H100 433 16270 SH DEFINED 1 16270 0 0 KBR INC COM 48242W106 136 9800 SH DEFINED 1 9800 0 0 KIMBERLY CLARK CORP COM 494368103 33 700 SH DEFINED 1 700 0 0 KROGER CO COM 501044101 121 5700 SH DEFINED 1 5700 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 136 2000 SH DEFINED 1 2000 0 0 LEXMARK INTL NEW CL A 529771107 89 5220 SH DEFINED 1 5220 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 377 11600 SH DEFINED 1 11600 0 0 LILLY ELI & CO COM 532457108 146 4350 SH DEFINED 1 4350 0 0 LOCKHEED MARTIN CORP COM 539830109 325 4700 SH DEFINED 1 4700 0 0 MAGNA INTL INC CL A 559222401 308 11500 SH DEFINED 1 11500 0 0 MAIDENFORM BRANDS INC COM 560305104 260 28300 SH DEFINED 1 28300 0 0 MARATHON OIL CORP COM 565849106 213 8100 SH DEFINED 1 8100 0 0 MARSH & MCLENNAN COS INC COM 571748102 408 20100 SH DEFINED 1 20100 0 0 MCDONALDS CORP COM 580135101 339 6200 SH DEFINED 1 6200 0 0 MCKESSON CORP COM 58155Q103 67 1900 SH DEFINED 1 1900 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 149 3600 SH DEFINED 1 3600 0 0 MERCK & CO INC COM 589331107 223 8300 SH DEFINED 1 8300 0 0 METLIFE INC COM 59156R108 167 7300 SH DEFINED 1 7300 0 0 MICROSOFT CORP COM 594918104 137 7450 SH DEFINED 1 7450 0 0 MONSANTO CO NEW COM 61166W101 175 2100 SH DEFINED 1 2100 0 0 MORGAN STANLEY COM NEW 617446448 340 14900 SH DEFINED 1 14900 0 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 5463 580506 SH DEFINED 1 580506 0 0 MOSAIC CO COM 61945A107 101 2400 SH DEFINED 1 2400 0 0 MYLAN INC COM 628530107 904 67400 SH DEFINED 1 67400 0 0 NAVISTAR INTL CORP NEW COM 63934E108 37 1100 SH DEFINED 1 1100 0 0 NOBLE CORP COM H5833N103 26 1100 SH DEFINED 1 1100 0 0 NCR CORP NEW COM 62886E108 142 17800 SH DEFINED 1 17800 0 0 NEWS CORP CL B 65248E203 302 39200 SH DEFINED 1 39200 0 0 NORTHROP GRUMMAN CORP COM 666807102 227 5200 SH DEFINED 1 5200 0 0 NRG ENERGY INC COM NEW 629377508 391 22200 SH DEFINED 1 22200 0 0 ORACLE CORP COM 68389X105 570 31500 SH DEFINED 1 31500 0 0 PEPSICO INC COM 713448108 155 3000 SH DEFINED 1 3000 0 0 PETSMART INC COM 716768106 30 1400 SH DEFINED 1 1400 0 0 PFIZER INC COM 717081103 367 26900 SH DEFINED 1 26900 0 0 PHILIP MORRIS INTL INC COM 718172109 401 11260 SH DEFINED 1 11260 0 0 PITNEY BOWES INC COM 724479100 386 16500 SH DEFINED 1 16500 0 0 POLO RALPH LAUREN CORP CL A 731572103 174 4100 SH DEFINED 1 4100 0 0 PRECISION CASTPARTS CORP COM 740189105 132 2200 SH DEFINED 1 2200 0 0 PRIDE INTL INC DEL COM 74153Q102 204 11300 SH DEFINED 1 11300 0 0 PROCTER & GAMBLE CO COM 742718109 318 6750 SH DEFINED 1 6750 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 42 1400 SH DEFINED 1 1400 0 0 PULTE HOMES INC COM 745867101 292 26700 SH DEFINED 1 26700 0 0 RAYTHEON CO COM NEW 755111507 226 5800 SH DEFINED 1 5800 0 0 RENT A CTR INC NEW COM 76009N100 150 7700 SH DEFINED 1 7700 0 0 ROSS STORES INC COM 778296103 176 4900 SH DEFINED 1 4900 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 108 3700 SH DEFINED 1 3700 0 0 RYANAIR HLDGS PLC SPONSORED ADR 783513104 594 25700 SH DEFINED 1 25700 0 0 SAFEWAY INC COM NEW 786514208 45 2200 SH DEFINED 1 2200 0 0 SARA LEE CORP COM 803111103 564 69729 SH DEFINED 1 69729 0 0 SEMPRA ENERGY COM 816851109 88 1900 SH DEFINED 1 1900 0 0 SHAW GROUP INC COM 820280105 28 1000 SH DEFINED 1 1000 0 0 STANCORP FINL GROUP INC COM 852891100 16 700 SH DEFINED 1 700 0 0 STANLEY WKS COM 854616109 327 11200 SH DEFINED 1 11200 0 0 SYBASE INC COM 871130100 194 6400 SH DEFINED 1 6400 0 0 SYMANTEC CORP COM 871503108 413 27600 SH DEFINED 1 27600 0 0 SYNOPSYS INC COM 871607107 170 8200 SH DEFINED 1 8200 0 0 TALISMAN ENERGY INC COM 87425E103 38 3600 SH DEFINED 1 3600 0 0 TESORO CORP COM 881609101 34 2500 SH DEFINED 1 2500 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 528 11700 SH DEFINED 1 11700 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 468 13100 SH DEFINED 1 13100 0 0 TIDEWATER INC COM 886423102 12 300 SH DEFINED 1 300 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 110 3180 SH DEFINED 1 3180 0 0 TRANSALTA CORP COM 89346D107 133 9000 SH DEFINED 1 9000 0 0 TRAVELERS COMPANIES INC COM 89417E109 334 8200 SH DEFINED 1 8200 0 0 TYSON FOODS INC CL A 902494103 444 47200 SH DEFINED 1 47200 0 0 UBS AG SHS NEW H89231338 160 16887 SH DEFINED 1 16887 0 0 UGI CORP NEW COM 902681105 97 4100 SH DEFINED 1 4100 0 0 UNITEDHEALTH GROUP INC COM 91324P102 484 23100 SH DEFINED 1 23100 0 0 UNUM GROUP COM 91529Y106 217 17300 SH DEFINED 1 17300 0 0 URS CORP NEW COM 903236107 203 5000 SH DEFINED 1 5000 0 0 US BANCORP DEL COM NEW 902973304 272 18600 SH DEFINED 1 18600 0 0 VALERO ENERGY CORP NEW COM 91913Y100 92 5100 SH DEFINED 1 5100 0 0 VANGUARD INDEX FDS REIT ETF 922908553 321 13200 SH DEFINED 1 13200 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 92 3900 SH DEFINED 1 3900 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 420 13900 SH DEFINED 1 13900 0 0 WAL MART STORES INC COM 931142103 474 9080 SH DEFINED 1 9080 0 0 WELLS FARGO & CO NEW COM 949746101 169 11840 SH DEFINED 1 11840 0 0 WISCONSIN ENERGY CORP COM 976657106 482 11700 SH DEFINED 1 11700 0 0 WYETH COM 983024100 564 13100 SH DEFINED 1 13100 0 0 XILINX INC COM 983919101 20 1000 SH DEFINED 1 1000 0 0
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