0000357235-12-000209.txt : 20121114 0000357235-12-000209.hdr.sgml : 20121114 20121114140529 ACCESSION NUMBER: 0000357235-12-000209 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 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: 121203124 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 FORMER COMPANY: FORMER CONFORMED NAME: LEGG MASON INC DATE OF NAME CHANGE: 19920703 13F-HR 1 lm3q12.txt LM3Q12 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, 2012 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: Thomas Lemke Title: General Counsel Phone: 410-454-4475 Signature, Place, and Date of Signing: Thomas Lemke Baltimore, MD November 14, 2012 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 28-2204 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 28-11198 Legg Mason Asset Management (Japan) Co. Ltd 28-13247 Global Currents Investment Management, LLC 28-3428 Private Capital Management, L.P. 28-3780 Royce & Associates, LLC 28-0377 Batterymarch Financial Management, Inc. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 Form13F Information Table Entry Total: 78 Form13F Information Table Value Total: $207,198 (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 2 28-14027 Permal Asset Management Inc. 3 28-14026 Permal Investment Management Services Limited 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1121 16000 SH DEFINED 1 16000 0 0 ANADARKO PETE CORP COM 032511107 378 5400 SH DEFINED 1 5400 0 0 APACHE CORP COM 037411105 372 4300 SH DEFINED 1 4300 0 0 ARCH CAP GROUP LTD ORD G0450A105 925 22200 SH DEFINED 1 22200 0 0 BLOCK H & R INC COM 093671105 477 27500 SH DEFINED 1 27500 0 0 CAPITAL ONE FINL CORP COM 14040H105 839 14700 SH DEFINED 1 14700 0 0 CHESAPEAKE GRANITE WASH TR COM SH BEN INT 165185109 719 35501 SH DEFINED 2 35501 0 0 CHEVRON CORP NEW COM 166764100 910 7800 SH DEFINED 1 7800 0 0 CHIMERA INVT CORP COM 16934Q109 1023 377212 SH DEFINED 2,3 377212 0 0 CHIMERA INVT CORP COM 16934Q109 2020 745371 SH DEFINED 2 745371 0 0 CHINA FD INC COM 169373107 2970 133241 SH DEFINED 2,3 133241 0 0 CINTAS CORP COM 172908105 485 11700 SH DEFINED 1 11700 0 0 COLONY FINL INC COM 19624R106 679 34849 SH DEFINED 2,3 34849 0 0 COLONY FINL INC COM 19624R106 1301 66755 SH DEFINED 2 66755 0 0 CONOCOPHILLIPS COM 20825C104 675 11800 SH DEFINED 1 11800 0 0 CREXUS INVT CORP COM 226553105 689 63725 SH DEFINED 2,3 63725 0 0 CREXUS INVT CORP COM 226553105 1249 115535 SH DEFINED 2 115535 0 0 CSX CORP COM 126408103 563 27100 SH DEFINED 1 27100 0 0 CVS CAREMARK CORPORATION COM 126650100 1095 22600 SH DEFINED 1 22600 0 0 DANA HLDG CORP COM 235825205 345 28000 SH DEFINED 1 28000 0 0 ECA MARCELLUS TR I COM UNIT 26827L109 750 38634 SH DEFINED 2 38634 0 0 EMCOR GROUP INC COM 29084Q100 434 15200 SH DEFINED 1 15200 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 2164 14228 SH DEFINED 2 14228 0 0 EXELON CORP COM 30161N101 413 11600 SH DEFINED 1 11600 0 0 FLUOR CORP NEW COM 343412102 828 14700 SH DEFINED 1 14700 0 0 GOOGLE INC CL A 38259P508 1132 1500 SH DEFINED 1 1500 0 0 HCC INS HLDGS INC COM 404132102 475 14000 SH DEFINED 1 14000 0 0 HEWLETT PACKARD CO COM 428236103 282 16500 SH DEFINED 1 16500 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 2065 102557 SH DEFINED 2 102557 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 739 36734 SH DEFINED 2,3 36734 0 0 ISHARES INC MSCI JAPAN 464286848 2036 222026 SH DEFINED 2 222026 0 0 ISHARES INC MSCI EMU INDEX 464286608 3990 132763 SH DEFINED 2 132763 0 0 ISHARES INC MSCI S KOREA 464286772 5474 92580 SH DEFINED 2,3 92580 0 0 ISHARES TR RUSSELL 2000 464287655 2144 25687 SH DEFINED 1 25687 0 0 ISHARES TR BARCLYS TIPS BD 464287176 3511 28834 SH DEFINED 1 28834 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 7929 229150 SH DEFINED 2,3 229150 0 0 ISHARES TR S&P 500 INDEX 464287200 19881 137674 SH DEFINED 1 137674 0 0 ISHARES TR BARCLYS 20+ YR 464287432 4405 35455 SH DEFINED 1 35455 0 0 ISHARES TR MSCI EAFE INDEX 464287465 12253 231175 SH DEFINED 1 231175 0 0 ISHARES TR RUSSELL1000VAL 464287598 4812 66658 SH DEFINED 1 66658 0 0 ISHARES TR RUSSELL1000GRW 464287614 2549 38208 SH DEFINED 1 38208 0 0 ISHARES TR S&P CITINT TBD 464288117 1334 12970 SH DEFINED 1 12970 0 0 ISHARES TR BARCLYS INTER CR 464288638 1333 11958 SH DEFINED 1 11958 0 0 ISHARES TR DJ HOME CONSTN 464288752 2461 127135 SH DEFINED 2 127135 0 0 ISHARES TR RUSSELL 1000 464287622 1576 19818 SH DEFINED 1 19818 0 0 LILLY ELI & CO COM 532457108 441 9300 SH DEFINED 1 9300 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 2088 38880 SH DEFINED 2 38880 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 2092 84599 SH DEFINED 2 84599 0 0 MFA FINANCIAL INC COM 55272X102 2068 243244 SH DEFINED 2 243244 0 0 MFA FINANCIAL INC COM 55272X102 792 93151 SH DEFINED 2,3 93151 0 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 4067 291137 SH DEFINED 2,3 291137 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 11483 614729 SH DEFINED 2,3 614729 0 0 NEWS CORP CL B 65248E203 1240 50000 SH DEFINED 1 50000 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 645 101433 SH DEFINED 2,3 101433 0 0 NORTHSTAR RLTY FIN CORP COM 66704R100 1285 201919 SH DEFINED 2 201919 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 638 25600 SH DEFINED 1 25600 0 0 OMNIVISION TECHNOLOGIES INC COM 682128103 552 39500 SH DEFINED 1 39500 0 0 PEPSICO INC COM 713448108 1621 22900 SH DEFINED 1 22900 0 0 PHILIP MORRIS INTL INC COM 718172109 783 8700 SH DEFINED 1 8700 0 0 PHILLIPS 66 COM 718546104 274 5900 SH DEFINED 1 5900 0 0 SANDRIDGE MISSISSIPPIAN TR I UNIT BEN INT 80007T101 679 27567 SH DEFINED 2 27567 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2578 35097 SH DEFINED 2 35097 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2210 12852 SH DEFINED 2 12852 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 3439 85506 SH DEFINED 1 85506 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 2547 88917 SH DEFINED 2 88917 0 0 SPDR SERIES TRUST S&P PHARMAC 78464A722 2585 43235 SH DEFINED 2 43235 0 0 STARWOOD PPTY TR INC COM 85571B105 1240 53262 SH DEFINED 2 53262 0 0 STARWOOD PPTY TR INC COM 85571B105 663 28494 SH DEFINED 2,3 28494 0 0 UNITEDHEALTH GROUP INC COM 91324P102 898 16200 SH DEFINED 1 16200 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 16360 192120 SH DEFINED 1 192120 0 0 VANGUARD INDEX FDS REIT ETF 922908553 18278 281326 SH DEFINED 1 281326 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2482 30967 SH DEFINED 1 30967 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 5032 68318 SH DEFINED 1 68318 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 518 12399 SH DEFINED 1 12399 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 8259 138375 SH DEFINED 2 138375 0 0 VULCAN MATLS CO COM 929160109 507 10700 SH DEFINED 1 10700 0 0 WILLIS GROUP HOLDINGS PUBLIC SHS G96666105 610 16500 SH DEFINED 1 16500 0 0 WISDOMTREE TRUST CHINESE YUAN ETF 97717W182 4439 174910 SH DEFINED 2,3 174910 0 0