-----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, LQfXiFk+12oAVViEOQM8FWdOM544eP39GFhiAHzQrvb0xSC/Do4vtjTn2RXvOEkd 7pvQfYsXM1T9rPRLqZpDHw== 0000357235-10-000095.txt : 20101112 0000357235-10-000095.hdr.sgml : 20101111 20101112164606 ACCESSION NUMBER: 0000357235-10-000095 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101111 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101187363 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 lm3q10.txt 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, 2010 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 Drive 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 12, 2010 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- Permal Asset Management, 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: 190 Form13F Information Table Value Total: $56,958 (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 225 4300 SH DEFINED 1 4300 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 106 1800 SH DEFINED 1 1800 0 0 AETNA INC NEW COM 00817Y108 114 3600 SH DEFINED 1 3600 0 0 AFLAC INC COM 001055102 337 6500 SH DEFINED 1 6500 0 0 AGRIUM INC COM 008916108 405 5400 SH DEFINED 1 5400 0 0 ALLIED WRLD ASSUR COM HLDG L SHS G0219G203 153 2700 SH DEFINED 1 2700 0 0 ALLSCRIPTS HEALTHCARE SOLUTN COM 01988P108 5 251 SH DEFINED 1 251 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 4 261 SH DEFINED 1 261 0 0 AMERICAN EXPRESS CO COM 025816109 240 5700 SH DEFINED 1 5700 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 4 100 SH DEFINED 1 100 0 0 AMERIPRISE FINL INC COM 03076C106 81 1700 SH DEFINED 1 1700 0 0 AMERISOURCEBERGEN CORP COM 03073E105 65 2100 SH DEFINED 1 2100 0 0 AMGEN INC COM 031162100 83 1500 SH DEFINED 1 1500 0 0 ANADARKO PETE CORP COM 032511107 748 13100 SH DEFINED 1 13100 0 0 APACHE CORP COM 037411105 568 5800 SH DEFINED 1 5800 0 0 APARTMENT INVT & MGMT CO CL A 03748R101 10 452 SH DEFINED 1 452 0 0 APPLE INC COM 037833100 636 2240 SH DEFINED 1 2240 0 0 APPLIED MATLS INC COM 038222105 51 4300 SH DEFINED 1 4300 0 0 ARCH CAP GROUP LTD ORD G0450A105 587 7000 SH DEFINED 1 7000 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 186 5800 SH DEFINED 1 5800 0 0 ARROW ELECTRS INC COM 042735100 156 5800 SH DEFINED 1 5800 0 0 ASSURANT INC COM 04621X108 273 6700 SH DEFINED 1 6700 0 0 AT&T INC COM 00206R102 758 26500 SH DEFINED 1 26500 0 0 AVERY DENNISON CORP COM 053611109 82 2200 SH DEFINED 1 2200 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 294 5500 SH DEFINED 1 5500 0 0 BANK OF AMERICA CORPORATION COM 060505104 1081 82420 SH DEFINED 1 82420 0 0 BARRICK GOLD CORP COM 067901108 315 6800 SH DEFINED 1 6800 0 0 BB&T CORP COM 054937107 11 422 SH DEFINED 1 422 0 0 BCE INC COM NEW 05534B760 933 28700 SH DEFINED 1 28700 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 224 2700 SH DEFINED 1 2700 0 0 BIG LOTS INC COM 089302103 114 3400 SH DEFINED 1 3400 0 0 BLOCK H & R INC COM 093671105 135 10400 SH DEFINED 1 10400 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 208 7300 SH DEFINED 1 7300 0 0 CA INC COM 12673P105 193 9100 SH DEFINED 1 9100 0 0 CARNIVAL CORP PAIRED CTF 143658300 4 101 SH DEFINED 1 101 0 0 CB RICHARD ELLIS GROUP INC CL A 12497T101 11 559 SH DEFINED 1 559 0 0 CELANESE CORP DEL COM SER A 150870103 42 1300 SH DEFINED 1 1300 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 809 21900 SH DEFINED 1 21900 0 0 CHEVRON CORP NEW COM 166764100 1123 13850 SH DEFINED 1 13850 0 0 CHICOS FAS INC COM 168615102 6 519 SH DEFINED 1 519 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 9 51 SH DEFINED 1 51 0 0 CHUBB CORP COM 171232101 137 2400 SH DEFINED 1 2400 0 0 CISCO SYS INC COM 17275R102 524 23900 SH DEFINED 1 23900 0 0 CITIGROUP INC COM 172967101 208 52812 SH DEFINED 1 52812 0 0 COACH INC COM 189754104 318 7400 SH DEFINED 1 7400 0 0 COCA COLA CO COM 191216100 586 10000 SH DEFINED 1 10000 0 0 COMCAST CORP NEW CL A 20030N101 217 12000 SH DEFINED 1 12000 0 0 COMPUTER SCIENCES CORP COM 205363104 198 4300 SH DEFINED 1 4300 0 0 CONOCOPHILLIPS COM 20825C104 394 6850 SH DEFINED 1 6850 0 0 COVENTRY HEALTH CARE INC COM 222862104 35 1600 SH DEFINED 1 1600 0 0 CPFL ENERGIA S A SPONSORED ADR 126153105 437 6200 SH DEFINED 1 6200 0 0 CSX CORP COM 126408103 150 2700 SH DEFINED 1 2700 0 0 CUMMINS INC COM 231021106 10 103 SH DEFINED 1 103 0 0 CVS CAREMARK CORPORATION COM 126650100 416 13200 SH DEFINED 1 13200 0 0 DELL INC COM 24702R101 700 53970 SH DEFINED 1 53970 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 342 29300 SH DEFINED 1 29300 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 697 12684 SH DEFINED 1 12684 0 0 DEVRY INC DEL COM 251893103 35 700 SH DEFINED 1 700 0 0 DOLLAR TREE INC COM 256746108 40 800 SH DEFINED 1 800 0 0 DONNELLEY R R & SONS CO COM 257867101 185 10900 SH DEFINED 1 10900 0 0 DR REDDYS LABS LTD ADR 256135203 152 4700 SH DEFINED 1 4700 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 304 6800 SH DEFINED 1 6800 0 0 DUKE REALTY CORP COM NEW 264411505 4 325 SH DEFINED 1 325 0 0 E TRADE FINANCIAL CORP COM NEW 269246401 5 325 SH DEFINED 1 325 0 0 EAST WEST BANCORP INC COM 27579R104 5 250 SH DEFINED 1 250 0 0 EASTMAN CHEM CO COM 277432100 52 700 SH DEFINED 1 700 0 0 EL PASO CORP COM 28336L109 217 17500 SH DEFINED 1 17500 0 0 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 256 7700 SH DEFINED 1 7700 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 7 146 SH DEFINED 1 146 0 0 ESSEX PPTY TR INC COM 297178105 7 58 SH DEFINED 1 58 0 0 EXXON MOBIL CORP COM 30231G102 655 10580 SH DEFINED 1 10580 0 0 F5 NETWORKS INC COM 315616102 4 30 SH DEFINED 1 30 0 0 FASTENAL CO COM 311900104 5 84 SH DEFINED 1 84 0 0 FIFTH THIRD BANCORP COM 316773100 6 470 SH DEFINED 1 470 0 0 GANNETT INC COM 364730101 137 11133 SH DEFINED 1 11133 0 0 GAP INC DEL COM 364760108 99 5300 SH DEFINED 1 5300 0 0 GENERAL ELECTRIC CO COM 369604103 499 30698 SH DEFINED 1 30698 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 183 1258 SH DEFINED 1 1258 0 0 GOOGLE INC CL A 38259P508 842 1600 SH DEFINED 1 1600 0 0 HCC INS HLDGS INC COM 404132102 481 18400 SH DEFINED 1 18400 0 0 HDFC BANK LTD ADR REPS 3 SHS 40415F101 535 2900 SH DEFINED 1 2900 0 0 HERSHEY CO COM 427866108 281 5900 SH DEFINED 1 5900 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 5 464 SH DEFINED 1 464 0 0 HEWLETT PACKARD CO COM 428236103 522 12387 SH DEFINED 1 12387 0 0 HOST HOTELS & RESORTS INC COM 44107P104 16 1040 SH DEFINED 1 1040 0 0 HUMAN GENOME SCIENCES INC COM 444903108 5 150 SH DEFINED 1 150 0 0 ICICI BK LTD ADR 45104G104 1312 26300 SH DEFINED 1 26300 0 0 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 478 7100 SH DEFINED 1 7100 0 0 INTEL CORP COM 458140100 684 35600 SH DEFINED 1 35600 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1172 8731 SH DEFINED 1 8731 0 0 INTERPUBLIC GROUP COS INC COM 460690100 6 596 SH DEFINED 1 596 0 0 INTL PAPER CO COM 460146103 257 11800 SH DEFINED 1 11800 0 0 ISHARES INC MSCI JAPAN 464286848 358 36194 SH DEFINED 1 36194 0 0 ISHARES TR BARCLYS TIPS BD 464287176 238 2175 SH DEFINED 1 2175 0 0 ISHARES TR MSCI EAFE IDX 464287465 2587 47089 SH DEFINED 1 47089 0 0 ISHARES TR RUSSELL 2000 464287655 602 8904 SH DEFINED 1 8904 0 0 ISHARES TR RUSSELL1000VAL 464287598 2643 44797 SH DEFINED 1 44797 0 0 ISHARES TR RUSSELL1000GRW 464287614 1133 22046 SH DEFINED 1 22046 0 0 ITT CORP NEW COM 450911102 104 2200 SH DEFINED 1 2200 0 0 J CREW GROUP INC COM 46612H402 3 87 SH DEFINED 1 87 0 0 JPMORGAN CHASE & CO COM 46625H100 881 23120 SH DEFINED 1 23120 0 0 KEYCORP NEW COM 493267108 6 636 SH DEFINED 1 636 0 0 LAS VEGAS SANDS CORP COM 517834107 11 300 SH DEFINED 1 300 0 0 LILLY ELI & CO COM 532457108 190 5200 SH DEFINED 1 5200 0 0 LIMITED BRANDS INC COM 532716107 375 14000 SH DEFINED 1 14000 0 0 LOEWS CORP COM 540424108 152 4000 SH DEFINED 1 4000 0 0 LORILLARD INC COM 544147101 41 500 SH DEFINED 1 500 0 0 M & T BK CORP COM 55261F104 33 400 SH DEFINED 1 400 0 0 MACERICH CO COM 554382101 5 100 SH DEFINED 1 100 0 0 MACYS INC COM 55616P104 49 2100 SH DEFINED 1 2100 0 0 MARATHON OIL CORP COM 565849106 39 1150 SH DEFINED 1 1150 0 0 MARSHALL & ILSLEY CORP NEW COM 571837103 3 400 SH DEFINED 1 400 0 0 MASSEY ENERGY COMPANY COM 576206106 8 230 SH DEFINED 1 230 0 0 MEADWESTVACO CORP COM 583334107 188 7700 SH DEFINED 1 7700 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 328 6300 SH DEFINED 1 6300 0 0 MERCK & CO INC NEW COM 58933Y105 221 6000 SH DEFINED 1 6000 0 0 METLIFE INC COM 59156R108 535 13900 SH DEFINED 1 13900 0 0 MGM RESORTS INTERNATIONAL COM 552953101 8 690 SH DEFINED 1 690 0 0 MICRON TECHNOLOGY INC COM 595112103 271 37450 SH DEFINED 1 37450 0 0 MICROSOFT CORP COM 594918104 1365 55700 SH DEFINED 1 55700 0 0 MOSAIC CO COM 61945A107 547 9300 SH DEFINED 1 9300 0 0 MURPHY OIL CORP COM 626717102 168 2700 SH DEFINED 1 2700 0 0 MYLAN INC COM 628530107 38 2000 SH DEFINED 1 2000 0 0 NAVISTAR INTL CORP NEW COM 63934E108 175 4000 SH DEFINED 1 4000 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 142 8700 SH DEFINED 1 8700 0 0 NEWMONT MINING CORP COM 651639106 415 6600 SH DEFINED 1 6600 0 0 NISOURCE INC COM 65473P105 133 7600 SH DEFINED 1 7600 0 0 NORDSTROM INC COM 655664100 93 2500 SH DEFINED 1 2500 0 0 NORTHROP GRUMMAN CORP COM 666807102 67 1100 SH DEFINED 1 1100 0 0 NRG ENERGY INC COM NEW 629377508 492 23600 SH DEFINED 1 23600 0 0 ORACLE CORP COM 68389X105 634 23600 SH DEFINED 1 23600 0 0 PEPSICO INC COM 713448108 226 3400 SH DEFINED 1 3400 0 0 PETSMART INC COM 716768106 231 6600 SH DEFINED 1 6600 0 0 PFIZER INC COM 717081103 507 29500 SH DEFINED 1 29500 0 0 PHILIP MORRIS INTL INC COM 718172109 647 11539 SH DEFINED 1 11539 0 0 PINNACLE WEST CAP CORP COM 723484101 236 5700 SH DEFINED 1 5700 0 0 PNC FINL SVCS GROUP INC COM 693475105 167 3200 SH DEFINED 1 3200 0 0 POSCO SPONSORED ADR 693483109 468 4100 SH DEFINED 1 4100 0 0 PRICELINE COM INC COM NEW 741503403 4 11 SH DEFINED 1 11 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 6 214 SH DEFINED 1 214 0 0 PROCTER & GAMBLE CO COM 742718109 816 13600 SH DEFINED 1 13600 0 0 PROTECTIVE LIFE CORP COM 743674103 12 531 SH DEFINED 1 531 0 0 PRUDENTIAL FINL INC COM 744320102 223 4100 SH DEFINED 1 4100 0 0 RESEARCH IN MOTION LTD COM 760975102 517 10600 SH DEFINED 1 10600 0 0 ROCK-TENN CO CL A 772739207 120 2400 SH DEFINED 1 2400 0 0 ROSS STORES INC COM 778296103 274 5000 SH DEFINED 1 5000 0 0 RYDER SYS INC COM 783549108 101 2350 SH DEFINED 1 2350 0 0 SARA LEE CORP COM 803111103 187 13900 SH DEFINED 1 13900 0 0 SEARS HLDGS CORP COM 812350106 3 36 SH DEFINED 1 36 0 0 SERVICE CORP INTL COM 817565104 183 21200 SH DEFINED 1 21200 0 0 SIRIUS XM RADIO INC COM 82967N108 3 1851 SH DEFINED 1 1851 0 0 SK TELECOM LTD SPONSORED ADR 78440P108 689 39400 SH DEFINED 1 39400 0 0 SOUFUN HLDGS LTD ADR 836034108 170 2600 SH DEFINED 1 2600 0 0 SOUTHWESTERN ENERGY CO COM 845467109 2 56 SH DEFINED 1 56 0 0 ST JUDE MED INC COM 790849103 296 7500 SH DEFINED 1 7500 0 0 SUNTRUST BKS INC COM 867914103 11 410 SH DEFINED 1 410 0 0 SYMANTEC CORP COM 871503108 91 6000 SH DEFINED 1 6000 0 0 SYNOPSYS INC COM 871607107 140 5650 SH DEFINED 1 5650 0 0 SYSCO CORP COM 871829107 35 1200 SH DEFINED 1 1200 0 0 TARGET CORP COM 87612E106 262 4881 SH DEFINED 1 4881 0 0 TATA MTRS LTD SPONSORED ADR 876568502 210 8200 SH DEFINED 1 8200 0 0 TCF FINL CORP COM 872275102 217 13400 SH DEFINED 1 13400 0 0 TECK RESOURCES LTD CL B 878742204 371 9000 SH DEFINED 1 9000 0 0 TECO ENERGY INC COM 872375100 160 9200 SH DEFINED 1 9200 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1140 21600 SH DEFINED 1 21600 0 0 TJX COS INC NEW COM 872540109 331 7400 SH DEFINED 1 7400 0 0 TORCHMARK CORP COM 891027104 351 6600 SH DEFINED 1 6600 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 180 2480 SH DEFINED 1 2480 0 0 TRAVELERS COMPANIES INC COM 89417E109 141 2700 SH DEFINED 1 2700 0 0 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 8 174 SH DEFINED 1 174 0 0 TYSON FOODS INC CL A 902494103 182 11300 SH DEFINED 1 11300 0 0 UAL CORP COM NEW 902549807 5 175 SH DEFINED 1 175 0 0 UBS AG SHS NEW H89231338 78 4563 SH DEFINED 1 4563 0 0 UDR INC COM 902653104 14 620 SH DEFINED 1 620 0 0 UGI CORP NEW COM 902681105 66 2300 SH DEFINED 1 2300 0 0 UNITEDHEALTH GROUP INC COM 91324P102 882 25100 SH DEFINED 1 25100 0 0 URBAN OUTFITTERS INC COM 917047102 4 102 SH DEFINED 1 102 0 0 US BANCORP DEL COM NEW 902973304 10 450 SH DEFINED 1 450 0 0 VANGUARD INDEX FDS REIT ETF 922908553 2655 50974 SH DEFINED 1 50974 0 0 VANGUARD INDEX FDS STK MRK ETF 922908769 158 2700 SH DEFINED 1 2700 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 388 8532 SH DEFINED 1 8532 0 0 VIACOM INC NEW CL B 92553P201 192 5300 SH DEFINED 1 5300 0 0 VORNADO RLTY TR SH BEN INT 929042109 9 100 SH DEFINED 1 100 0 0 WAL MART STORES INC COM 931142103 296 5530 SH DEFINED 1 5530 0 0 WEBMD HEALTH CORP COM 94770V102 3 50 SH DEFINED 1 50 0 0 WELLS FARGO & CO NEW COM 949746101 215 8500 SH DEFINED 1 8500 0 0 WENDYS ARBYS GROUP INC COM 950587105 3 586 SH DEFINED 1 586 0 0 WESTAR ENERGY INC COM 95709T100 97 4000 SH DEFINED 1 4000 0 0 WILLIS GROUP HOLDINGS PUBLIC SHS G96666105 469 15200 SH DEFINED 1 15200 0 0 WMS INDS INC COM 929297109 4 89 SH DEFINED 1 89 0 0
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