-----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, OUhquzJJZhzxgw5vwIDaQ+Bpn0ipicsoZT1c0OPRXIQimCVYgYL56xm+oV/g59CB cHD9xwFzW+dKLkFhpC8sIg== 0000357235-09-000426.txt : 20091113 0000357235-09-000426.hdr.sgml : 20091113 20091113161842 ACCESSION NUMBER: 0000357235-09-000426 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 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: 091181848 BUSINESS ADDRESS: STREET 1: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4105390000 MAIL ADDRESS: STREET 1: 100 INTERNATIONAL DRIVE CITY: BALTIMORE STATE: MD ZIP: 21202 13F-HR 1 lm3q09.txt LM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 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 International Dr 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 November 13, 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: 0 Form13F Information Table Entry Total: 181 Form13F Information Table Value Total: $63,026 (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. NONE 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 332 6700 SH DEFINED 1 6700 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 198 5300 SH DEFINED 1 5300 0 0 AEROPOSTALE COM 007865108 79 1800 SH DEFINED 1 1800 0 0 AES CORP COM 00130H105 273 18370 SH DEFINED 1 18370 0 0 AETNA INC NEW COM 00817Y108 134 4800 SH DEFINED 1 4800 0 0 AFFILIATED COMPUTER SERVICES CL A 008190100 163 3000 SH DEFINED 1 3000 0 0 AFLAC INC COM 001055102 278 6500 SH DEFINED 1 6500 0 0 AGNICO EAGLE MINES LTD COM 008474108 604 8900 SH DEFINED 1 8900 0 0 AGRIUM INC COM 008916108 449 9000 SH DEFINED 1 9000 0 0 ALCOA INC COM 013817101 797 60700 SH DEFINED 1 60700 0 0 ALLIANT TECHSYSTEMS INC COM 018804104 55 700 SH DEFINED 1 700 0 0 ALTRIA GROUP INC COM 02209S103 547 30670 SH DEFINED 1 30670 0 0 AMGEN INC COM 031162100 187 3100 SH DEFINED 1 3100 0 0 ANADARKO PETE CORP COM 032511107 534 8500 SH DEFINED 1 8500 0 0 APACHE CORP COM 037411105 37 400 SH DEFINED 1 400 0 0 APOLLO GROUP INC CL A 037604105 317 4300 SH DEFINED 1 4300 0 0 APPLE INC COM 037833100 371 2000 SH DEFINED 1 2000 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 38 1280 SH DEFINED 1 1280 0 0 ARROW ELECTRS INC COM 042735100 99 3500 SH DEFINED 1 3500 0 0 AT&T INC COM 00206R102 387 14300 SH DEFINED 1 14300 0 0 AVNET INC COM 053807103 104 4000 SH DEFINED 1 4000 0 0 BANK MONTREAL QUE COM 063671101 147 2900 SH DEFINED 1 2900 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 251 5500 SH DEFINED 1 5500 0 0 BANK OF AMERICA CORPORATION COM 060505104 862 50900 SH DEFINED 1 50900 0 0 BIG LOTS INC COM 089302103 86 3400 SH DEFINED 1 3400 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 223 9900 SH DEFINED 1 9900 0 0 CA INC COM 12673P105 201 9100 SH DEFINED 1 9100 0 0 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 147 12350 SH DEFINED 1 12350 0 0 CF INDS HLDGS INC COM 125269100 190 2200 SH DEFINED 1 2200 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 446 15700 SH DEFINED 1 15700 0 0 CHEVRON CORP NEW COM 166764100 1082 15350 SH DEFINED 1 15350 0 0 CHIPOTLE MEXICAN GRILL INC CL A 169656105 49 500 SH DEFINED 1 500 0 0 CISCO SYS INC COM 17275R102 650 27600 SH DEFINED 1 27600 0 0 CITIGROUP INC COM 172967101 46 9500 SH DEFINED 1 9500 0 0 COACH INC COM 189754104 244 7400 SH DEFINED 1 7400 0 0 COCA COLA CO COM 191216100 720 13400 SH DEFINED 1 13400 0 0 COCA COLA ENTERPRISES INC COM 191219104 268 12500 SH DEFINED 1 12500 0 0 COMCAST CORP NEW CL A 20030N101 412 24400 SH DEFINED 1 24400 0 0 COMPUTER SCIENCES CORP COM 205363104 227 4300 SH DEFINED 1 4300 0 0 CONOCOPHILLIPS COM 20825C104 231 5100 SH DEFINED 1 5100 0 0 CONSTELLATION BRANDS INC CL A 21036P108 161 10600 SH DEFINED 1 10600 0 0 CORNING INC COM 219350105 135 8800 SH DEFINED 1 8800 0 0 COVENTRY HEALTH CARE INC COM 222862104 32 1600 SH DEFINED 1 1600 0 0 CVS CAREMARK CORPORATION COM 126650100 801 22400 SH DEFINED 1 22400 0 0 D R HORTON INC COM 23331A109 35 3000 SH DEFINED 1 3000 0 0 DEAN FOODS CO NEW COM 242370104 155 8700 SH DEFINED 1 8700 0 0 DELL INC COM 24702R101 244 15950 SH DEFINED 1 15950 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 141 1832 SH DEFINED 1 1832 0 0 DIRECTV GROUP INC COM 25459L106 541 19600 SH DEFINED 1 19600 0 0 DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 246 8500 SH DEFINED 1 8500 0 0 DRESSER-RAND GROUP INC COM 261608103 328 10550 SH DEFINED 1 10550 0 0 DTE ENERGY CO COM 233331107 155 4400 SH DEFINED 1 4400 0 0 E M C CORP MASS COM 268648102 202 11800 SH DEFINED 1 11800 0 0 EBAY INC COM 278642103 305 12900 SH DEFINED 1 12900 0 0 ENCANA CORP COM 292505104 1377 23900 SH DEFINED 1 23900 0 0 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 28 1200 SH DEFINED 1 1200 0 0 EXXON MOBIL CORP COM 30231G102 507 7380 SH DEFINED 1 7380 0 0 F M C CORP COM NEW 302491303 220 3900 SH DEFINED 1 3900 0 0 FOREST LABS INC COM 345838106 210 7100 SH DEFINED 1 7100 0 0 FPL GROUP INC COM 302571104 72 1300 SH DEFINED 1 1300 0 0 GAP INC DEL COM 364760108 219 10200 SH DEFINED 1 10200 0 0 GARMIN LTD ORD G37260109 257 6800 SH DEFINED 1 6800 0 0 GENERAL DYNAMICS CORP COM 369550108 246 3800 SH DEFINED 1 3800 0 0 GENERAL ELECTRIC CO COM 369604103 171 10400 SH DEFINED 1 10400 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 342 1850 SH DEFINED 1 1850 0 0 HALLIBURTON CO COM 406216101 505 18600 SH DEFINED 1 18600 0 0 HCC INS HLDGS INC COM 404132102 542 19800 SH DEFINED 1 19800 0 0 HERBALIFE LTD COM USD SHS G4412G101 200 6100 SH DEFINED 1 6100 0 0 HEWITT ASSOCS INC COM 42822Q100 309 8460 SH DEFINED 1 8460 0 0 HEWLETT PACKARD CO COM 428236103 739 15637 SH DEFINED 1 15637 0 0 IAMGOLD CORP COM 450913108 29 2000 SH DEFINED 1 2000 0 0 ICICI BK LTD ADR 45104G104 486 12600 SH DEFINED 1 12600 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 408 8400 SH DEFINED 1 8400 0 0 INTEL CORP COM 458140100 1065 54400 SH DEFINED 1 54400 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1334 11146 SH DEFINED 1 11146 0 0 INTL PAPER CO COM 460146103 225 10100 SH DEFINED 1 10100 0 0 ISHARES INC MSCI PAC J IDX 464286665 657 16200 SH DEFINED 1 16200 0 0 ISHARES INC MSCI JAPAN 464286848 479 48100 SH DEFINED 1 48100 0 0 ISHARES TR INDEX MSCI EAFE IDX 464287465 1279 23380 SH DEFINED 1 23380 0 0 ISHARES TR INDEX RUSSELL 2000 464287655 289 4795 SH DEFINED 1 4795 0 0 ISHARES TR INDEX RUSSELL1000VAL 464287598 1282 23090 SH DEFINED 1 23090 0 0 ISHARES TR INDEX IBOXX INV CPBD 464287242 1289 12075 SH DEFINED 1 12075 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 656 16850 SH DEFINED 1 16850 0 0 ISHARES TR INDEX BARCLYS TIPS BD 464287176 774 7515 SH DEFINED 1 7515 0 0 ISHARES TR INDEX RUSSELL1000GRW 464287614 541 11680 SH DEFINED 1 11680 0 0 JARDEN CORP COM 471109108 99 3500 SH DEFINED 1 3500 0 0 JOHNSON & JOHNSON COM 478160104 1115 18300 SH DEFINED 1 18300 0 0 JPMORGAN CHASE & CO COM 46625H100 1060 24170 SH DEFINED 1 24170 0 0 KBR INC COM 48242W106 229 9800 SH DEFINED 1 9800 0 0 KIMBERLY CLARK CORP COM 494368103 295 5000 SH DEFINED 1 5000 0 0 KOHLS CORP COM 500255104 63 1100 SH DEFINED 1 1100 0 0 KRAFT FOODS INC CL A 50075N104 321 12200 SH DEFINED 1 12200 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 217 2700 SH DEFINED 1 2700 0 0 LG DISPLAY CO LTD SPONS ADR REP 50186V102 395 27500 SH DEFINED 1 27500 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 582 12500 SH DEFINED 1 12500 0 0 LILLY ELI & CO COM 532457108 174 5250 SH DEFINED 1 5250 0 0 LOCKHEED MARTIN CORP COM 539830109 367 4700 SH DEFINED 1 4700 0 0 MAIDENFORM BRANDS INC COM 560305104 259 16100 SH DEFINED 1 16100 0 0 MARATHON OIL CORP COM 565849106 37 1150 SH DEFINED 1 1150 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 56 3400 SH DEFINED 1 3400 0 0 MCGRAW HILL COS INC COM 580645109 124 4900 SH DEFINED 1 4900 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 150 2700 SH DEFINED 1 2700 0 0 MEMC ELECTR MATLS INC COM 552715104 163 9800 SH DEFINED 1 9800 0 0 MERCK & CO INC COM 589331107 184 5800 SH DEFINED 1 5800 0 0 METLIFE INC COM 59156R108 712 18700 SH DEFINED 1 18700 0 0 MICROSOFT CORP COM 594918104 959 37250 SH DEFINED 1 37250 0 0 MORGAN STANLEY COM NEW 617446448 794 25700 SH DEFINED 1 25700 0 0 MOSAIC CO COM 61945A107 193 4000 SH DEFINED 1 4000 0 0 MURPHY OIL CORP COM 626717102 29 500 SH DEFINED 1 500 0 0 MYLAN INC COM 628530107 503 31400 SH DEFINED 1 31400 0 0 NAVISTAR INTL CORP NEW COM 63934E108 150 4000 SH DEFINED 1 4000 0 0 NCR CORP NEW COM 62886E108 246 17800 SH DEFINED 1 17800 0 0 NEWS CORP CL B 65248E203 602 43000 SH DEFINED 1 43000 0 0 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 414 10900 SH DEFINED 1 10900 0 0 NORTHROP GRUMMAN CORP COM 666807102 57 1100 SH DEFINED 1 1100 0 0 NRG ENERGY INC COM NEW 629377508 615 21800 SH DEFINED 1 21800 0 0 ORACLE CORP COM 68389X105 1118 53600 SH DEFINED 1 53600 0 0 PACTIV CORP COM 695257105 45 1700 SH DEFINED 1 1700 0 0 PEPSICO INC COM 713448108 223 3800 SH DEFINED 1 3800 0 0 PFIZER INC COM 717081103 446 26900 SH DEFINED 1 26900 0 0 PG&E CORP COM 69331C108 61 1500 SH DEFINED 1 1500 0 0 PHILIP MORRIS INTL INC COM 718172109 549 11260 SH DEFINED 1 11260 0 0 POLO RALPH LAUREN CORP CL A 731572103 54 700 SH DEFINED 1 700 0 0 POSCO SPONSORED ADR 693483109 437 4200 SH DEFINED 1 4200 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 214 9700 SH DEFINED 1 9700 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 454 10730 SH DEFINED 1 10730 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 228 8950 SH DEFINED 1 8950 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 173 6300 SH DEFINED 1 6300 0 0 PROCTER & GAMBLE CO COM 742718109 617 10650 SH DEFINED 1 10650 0 0 PRUDENTIAL FINL INC COM 744320102 285 5700 SH DEFINED 1 5700 0 0 RADIOSHACK CORP COM 750438103 62 3700 SH DEFINED 1 3700 0 0 RAYTHEON CO COM NEW 755111507 279 5800 SH DEFINED 1 5800 0 0 RENT A CTR INC NEW COM 76009N100 420 22200 SH DEFINED 1 22200 0 0 ROSS STORES INC COM 778296103 235 4900 SH DEFINED 1 4900 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 225 4200 SH DEFINED 1 4200 0 0 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 198 8200 SH DEFINED 1 8200 0 0 RYANAIR HLDGS PLC SPONSORED ADR 783513104 584 20100 SH DEFINED 1 20100 0 0 SARA LEE CORP COM 803111103 179 16029 SH DEFINED 1 16029 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 649 25490 SH DEFINED 1 25490 0 0 SEMPRA ENERGY COM 816851109 170 3400 SH DEFINED 1 3400 0 0 SEPRACOR INC COM 817315104 49 2100 SH DEFINED 1 2100 0 0 SHAW GROUP INC COM 820280105 45 1400 SH DEFINED 1 1400 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 301 3045 SH DEFINED 1 3045 0 0 SPDR INDEX SHS FDS RUSS NOM SC JP 78463X822 291 7240 SH DEFINED 1 7240 0 0 STANCORP FINL GROUP INC COM 852891100 29 700 SH DEFINED 1 700 0 0 STANLEY WKS COM 854616109 534 12500 SH DEFINED 1 12500 0 0 STATE STR CORP COM 857477103 74 1400 SH DEFINED 1 1400 0 0 SYBASE INC COM 871130100 288 7400 SH DEFINED 1 7400 0 0 SYMANTEC CORP COM 871503108 498 30200 SH DEFINED 1 30200 0 0 TARGET CORP COM 87612E106 225 4800 SH DEFINED 1 4800 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 158 8000 SH DEFINED 1 8000 0 0 TECK RESOURCES LTD CL B 878742204 268 9700 SH DEFINED 1 9700 0 0 TECO ENERGY INC COM 872375100 176 12500 SH DEFINED 1 12500 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 663 13100 SH DEFINED 1 13100 0 0 TEXAS INSTRS INC COM 882508104 228 9600 SH DEFINED 1 9600 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 586 13400 SH DEFINED 1 13400 0 0 TIME WARNER INC COM NEW 887317303 196 6800 SH DEFINED 1 6800 0 0 TJX COS INC NEW COM 872540109 450 12100 SH DEFINED 1 12100 0 0 TORCHMARK CORP COM 891027104 96 2200 SH DEFINED 1 2200 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 257 3980 SH DEFINED 1 3980 0 0 TRANSATLANTIC HLDGS INC COM 893521104 407 8100 SH DEFINED 1 8100 0 0 TRANSOCEAN LTD REG SHS H8817H100 35 400 SH DEFINED 1 400 0 0 TYCO ELECTRONICS LTD SWITZER SHS H8912P106 157 7030 SH DEFINED 1 7030 0 0 TYCO INTERNATIONAL LTD SHS H89128104 59 1700 SH DEFINED 1 1700 0 0 TYSON FOODS INC CL A 902494103 43 3400 SH DEFINED 1 3400 0 0 UBS AG SHS NEW H89231338 310 16887 SH DEFINED 1 16887 0 0 UGI CORP NEW COM 902681105 103 4100 SH DEFINED 1 4100 0 0 UNITED TECHNOLOGIES CORP COM 913017109 43 700 SH DEFINED 1 700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 699 27900 SH DEFINED 1 27900 0 0 URS CORP NEW COM 903236107 53 1200 SH DEFINED 1 1200 0 0 VANGUARD INDEX FDS REIT ETF 922908553 628 15145 SH DEFINED 1 15145 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 182 4720 SH DEFINED 1 4720 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 398 13140 SH DEFINED 1 13140 0 0 WAL MART STORES INC COM 931142103 721 14680 SH DEFINED 1 14680 0 0 WALTER ENERGY INC COM 93317Q105 121 2000 SH DEFINED 1 2000 0 0 WELLPOINT INC COM 94973V107 162 3400 SH DEFINED 1 3400 0 0 WELLS FARGO & CO NEW COM 949746101 258 9140 SH DEFINED 1 9140 0 0 WILLIAMS COS INC DEL COM 969457100 286 16000 SH DEFINED 1 16000 0 0 WISCONSIN ENERGY CORP COM 976657106 610 13500 SH DEFINED 1 13500 0 0 WMS INDS INC COM 929297109 232 5200 SH DEFINED 1 5200 0 0 YUM BRANDS INC COM 988498101 355 10500 SH DEFINED 1 10500 0 0
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