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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009


1, Person Reporting (las~ name, first, ml,_td]e initial) [.egg. Bcnson E. 4. Title (A~dcle 111 judges indicate active or ~enior status; magismtte judges indicate full- or part-time) U.S. District Jtldgc (Active) 2. Court or Organization United Slates District Court, Marylard 5a. Repot[ Type (check appropriate ~ype)

in Go vernment A ct o/l ~ 78 (s u.s.(, app. ,~)" ltJt-lll)

3, Date of Report 05/0,112010 6~ Reporting Period to 12/31i2009

~ lnitia:

~ A~mu~,l

~ Final

5b. ~ Amended Reix~rt modifications pertaining thereto, il is~ in my opiaioth in compliance with applicable laws and rcgulatlons. Reviewing Oflicer Date

101 W. Lombard Street Suite 7A Baltimore Maryla ~d 2 [ 201

1MPOR ~ A,~ 1 ,~ 0 T~S: 2lie mstruenons acc~mpanyutg th~ jorm mttst be ]bllonetL Complete all parts,
checking the NONE bo.r fi~r each part wtiere you have na r~Tortable it~rmatiott. Sign oil last page.

[~

N ON E (No reportable positions. ) ~Q~I_I_:I_Q.N_ NAME OF ORGANIZATION,"ENTI-fY


Custodial Accounts at kegg Mason Custodial Accounts at T.Rov,,e Price

I. ~."

UTMA Trustee UTMA Trustee

3. 4. 5.

UTMA Trustee

Custodial A~.:counls at Morg~m Stanley Smilh Bar,cy

~..

NONE (No reFortab!e t~greement~.)

DAqE ......................................................

PARTIES AND TERMS

3.

Legg, Benson E.

FINANCIAL DISCLOSURE REPORT

"~"~Legg, e|BensOtlPers0rt ReportingE.

Da~e ~f Repot[ [

111. NON-INVESTMENT INCOME. m~po~a,,g i,,ui~ia,,,t ,,,,,~,v,,,,.,,,; ,-,~,. 17-24 oj~ling instructialts.)
A. Filers Non-Investment Income NONE (No reportab!e non-investment income.) DATE
1.

SOURCE AND TY PE

INCOM~

2.

B, Spouses Non-I nvestment |llCOIlle - If you were married during tttty l~ortiott oJ the relporii*tg year, complete thi.s section. ~ NONE (~o reportable no~>investment income.)
DATE
1. 2009

SOURCE AND TYPE


!,egg Mason m (CEO of [,~gg Mason Capital Munnagcmcnl)

2.

3.

1 V. REIMB L RSE MEN 1 S ......


NONE (]~,;o reportable reimbursements.)

SOURCE
l. 2.

DATES

LOCATION

PURP()SE

!TEMS,,PAID OR PROVIDED

3.
4

5.

FINANCIAL DISCLOSURE REPORT

N ,P~,~.,,o~,,.~ .......
I.egg, genson E.

Page 3 of 9

o.,~orR~.o~, I I
05:04/2010 VA1.UE

NONE (No reportable SOURCE DESCRIPTION

L 2. 3. 4.

VI. LIABILITIES. a,,,.~,a~., ,~o~,, ,,l~, ........ d delmudem chihlren; ste pp. 32-33 oJJitit,g in,tructian3;)
~ NONE (No reportable liabilities..) CREDITOR l. 2. 3, Chase Bank of America American Express Revolving credit card Revolving credit card Revolving cledit card DESCRIPTION VAI.UE CODE K .I

FINANCIAL DISCLOSURE REPORT Page 4 of 9

.~ ...... rle .... R.t,o~,~,,g

~).,~ o--~..u~t

VII. IN V E STMENTS and TRUSTS -- i ........... .,a.,,. t ........... lofts (lmludes those q~p .......... I &,pendent hi[dre.; seepp. 54-60 of fih)tg i ....... "tiotts.)
NONE (No reportable income, assets or tran~actions,)

D~criplio~ ufAgsets including trust asseu) Pia~e "(X)" a{~er eaci~ a~set exempt from prior ,Jisclosure ................................................... ~ ....................... I. 2. [3. i-.Rowe Price New Horizons, UT~A #1 T.R~w Price New Horizons, UTNL~ #2 Morgan Stanley Smith Barney (B~k Deposit) IRA #1 Y Morgan Stanley Smith gamey {L}~SX)

+ :

Income &Mug repo~ng peri~ "ly~e .... div.. ~ent, or int.)

Gr~$ valu~ at end of reporting period Value Code 2 t.~-I) ~ ....... t Value Method Ct~e 3 (Q-W) T T ~ [ type (e.g. buy, sell, redemptloa~

I mnsactim~ during re~ain~ perkxl

Amount ] C~# I ] (A-tt) i

~ Date

Value :, Gain ] nmUd~y~ Code 2 } Code I , {J-P) (A&; ~ ~ 12/15109 12.1509 J J

Identity o1 buyer,.seller (if private ~rau~acrion)

A A

Dividend Dividend

K K

Buy (addl) Buy

,1. 5. 6. 7. 8. 9. 10. 1 l, 12. 13. 14. 15. 16. 17.

Dividend

Buy Buy (addl}

3:30/09 12/10/09 12/10709

J J d

Morgan Stanley Smilb Barney (LMNVX) Morgan Stanley Smith Barney (LMNOX) Morgan Stanley Smilh Barney (Amazon.cam) -i~ #2 Morgan Sta~e? Smith Barney (Bk Dep) IRA #2 Dreyfus MM Morgan S1anlcy Smi~ Bacnev (I.MNVX) --I~ #2 Morgan Stanley Smith Barney (L~OX) Morgaa S:anley Smith Barney (LMNSX) -IR.A #2

Dividend None None

N N M J M O J

T T T "[ T T T

Buy

A B

[ntctcs! Dividund None

Buy (addl)

~2/10/09

l)ividcnd

Bt~y Buy {addl)

3 27!0~ 12/10/09 12:1009

J 3 J

Morgan S~anlcy Snfith Barney (LMNVX) IND #2 M,:,vgan Stanley Smiti~ Bamcv {LMNOX) -.ND #2 Morgan Stanley Smith Barney (LMNSX) -IND #2 Morgan Stanley Smith Barney (Amazon) -IND g2

Dividend None

M N L L

1 T T T

B,.~

Dividend None

Buy (add) Donated (part)

12/10/09

PageFINANCIAL5 of 9 DISCLOSURE REPORT

)..gg. r~,~,, ~ I

NONE (No reportable income, asses, or transaczions.) A. Description OIAs~et~ (inuluding ~vst assels) Place"(X)" a~er e ch asset ex~mpvl~m prior disclosure B. l~;me during mponlng period C. Gross value at end of ~epordng period Value Method Ive (e.g., buy, sdl, l~domption) Code{QAV)3 Merged (wifii line 19) J K PI K T T T l Donated {part) D, T~sacdon~ during reposing period

Vt)!ae [A~unt Type (e.g., i~ CodZA.H)I ir:l.)rent 2 [[ Ct~e 1~div.,or U-P) ~ i ,~ Nov.c None A E A Dividend DivKIcnd Interest

~ Date : Va)ue Gain { mm~[))- C~e 2 Code l (J-PI [ kA-H) ~: 10/14/09 J

ldentiI~ 05 buvmrseile~. t*ansaclion)kif private

18. 19. 20. 2 I. 22. 23. 24. 25, 26. >~ 28. 29. 3(} 31. 32. 33. 34.

Morgat3 Stanley Smifl* Barney (Cell Genesys)-lND #2 MorganStanley Smith Barney(Biosante Pharm) DaD a2 X Morgan 8faNcy Sm{~ Barney (Qualcomm) -1ND #2 Morgan Stanley Smifl~ Barney ([,egg Mason Inc)-;ND #2 Morgan Stanley Smith Barney Bank Dcpositi IND #2 Deutsche Bank Oplions {Legg Mason} ~2 Y Legg Mason 401K (Special hwcstme.at) Legg Mason 401K (ValueInst) A C

Dividend Dividend

K N

T T Buy

Buy (addl) Buy laddl) 12/10/09 taddl) Buy (addl)

12/10/09 106."0 !/00

Legg Masotl Phantom Stock Plan Rivet I ~otel, Bahimore MD Pioneer Natural Resources flCW Drilling Partacrship Units 1980~1, Unpdced Security IlCW Drilling Partnerships Units 1979-1, U npriced SccuriLv Ko~er Partnership. LII) LeggMason ESPP (The Bank of NY Mellon}

B D A

Dividend Interest Dividend None No~c" None

M a ,I J J J M

T -1" T W W W "l"

10/05:09

Dix idend

Buy (addl) Buy (addl)

0610 t.,09

FINANCIAL DISCLOSURE REPORT Page 6 of 9

~ ..... fP ........ Reporting

Date of Report

~eg~, B~n~on ~. [

05/04/2010

NONE (No reportable income, assets, or transactions.)


D~cl~ption of Assets

(including trust assets)


Place"(X)" after ~aeh ~s~t

l~cume duri~lg reporting period


Amount Type [,g.,

Gruss value at end of reposing period


Value Value Type {e.g.,

Transacfio~ during referring period

~ Date ] Value ~ Gain :

Identily of

~ Code exempt flora prior disclosare di~., rent, 2 Code Method [ (A-H) [ or int.) (J4~) Code 3

{mmd~vy buy, sell, ~ Code 2 ~i Code ~ redemption) ()-P) :, (A-H)

buyer/seller (if private

35. 36. 37.


38.

Legg Mason Inst Funds #1 (Value Trust), UTMA #I Legg Mason lest Funds #t (Oppr Trnst). UTMA #1 Morgan Stanley S~fl~ Barney UT~ #l Y
Morgan Stanley Smith Barney UTMA #2 Y

Dividend None

K M

T T

Buy (addJ)

12/10/09

39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49 50.

Morgan Stanley. Smith Baraey GRAT(Legg Mason) Y Morgan Stanley Smith Barney GRAT, {Bank Deposit) Y Legg Mason Inst Funds #2 (Valae Tntst), UTMA #2 Legg Mason lnst Funds #2 (Oppr Trust), UTMA #2 Legg Mason Capita! Management Research Fund LMCM Income Opp Fund LMCM Small Cap Fund Lt.C LMCN1 S>stcnlatic Value !:and LLC Morgan Stauley Smith Barney (LMOPX)IRA #3 Morgan Stanley Smith Bar,my (LMASX) Morgan Stanley Smith Barney (LMASX) Morgan Stanley Smith Barney (Bank Deposit) A D A B A A B A Dividend Dividend Noue lnt.;Div. ln~./Div. Int.iDJv. lnt.,Div. None None None Interest Interest K M K K K K ) J J O T "1" U U U U T 3" l" "I Closed 12t02/09 J Buy Buy 4! 17109 04/20/09 [ J J Buy Bay Buy 3f30109 6/30/09 6/30109 K K K Closed Buy (addJ) 02/12/09 12/10109 J J

5 t. Morgan Stanley Smith Barney (CD) Y

I. Income ~aiu Codes:

A =$1J)00 or lvs5

B =S1,0Ol - $2,500

C =$2,501 - $5.000

D =$5,001 - S iS,001~

E =$15,00i

FINA~NCIAL DISCLOSURE REPORT


Page 7 of 9
VII. INVESTMENTS and TRUSTS --i ............

N ....... fP ...... ~V~rting


t.egg, Benson E.

[
]

D~ orRepo,,t
05/04/2010

t,,,,. ........,,o,, (~ncl,,,le~. tl .....,f.,p ........ depe,taent children; see pp. 34-6Or]filing instrucaon~) . d

NONE (No report~tble ilTcome, assets, or trg~rtsacttotts. I


A. De~crig~n of AssIs (including mist assets) P!ace~(XJ"ager each a~set exempt from prior disclosure ....................... . ........ 52. Rental Property - Baltimore City, MD X F Rent PI S B. inc~zue dmmg reporting pcKod C. Gros~ value at ~fid oF rop<~ing peri~}d Value Method Cod~ 3 Type(e.g, b~y, soil, ~edemp~on) D. Tamsactio~s during reporting period

V;g~e ~Ammm~ Type (e g., Code I ~v., r~k ~ Code 2 [A-It} or mr.) (]-I~)

[ Da~ ~ Value : Gain ~m~d~yy ~ Code.9 Codel ~ I (].p) } ......... ~ .......

Identity oz" buyez~eller (ifpfivale rransaclion)

FINANCIAL DISCLOSURE REPORT


Page 8 0 f 9

,.x .......Pe .......Reportiz,g f

t.,eg~, Benst;.n E.

05/04/2o I 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Part VIII. Investments and Trusts:

Smith B~nley c~.anged ~he~r ~amc from Smith Barney to Morgan Stanley S~fith Barney m 2009. Morgan Stanley Smith Barney (BaM Deposit) I~ #1 Y (item 3) - P:eviousiy closed 2008. Morga~ Stanley Smith B~ey (Cell Genesys) - IND #2 (item 18) Cell Genesys was acquired ihrougb an all stock raerger by Biosante Pharmaceuticals in 2009 (item The glosante PlIarmaceut~cals shares were received in exchange fbr the Cell Gencsys shares (item 18). (item 18) will no ~ongcr bc included in futk~re repofls. Deutsche Bank Options (kegg MasonJ #2 Y {item 23) - Previously closed 2008. Morgua S~ntcy Smith Bm~c), UTMA #1 Y (item 37) - Previoasly ~-It~scd and were cnoneously reported in 2008. Morga~ Stanley Smith Barney UTMA #2 Y (item 38) - Previosly closed and were erroneously reported in 2008. M~rgan Stanley Smidl Barney GRAT (Lcgg Mason) Y (item 39) - Pleviously closed 200~ Morgml S~nle) Smith Barney GRAT. (Bm~ Deposit) Y (item 40) was closed m 2009 a~d ~kmds ~.crc trans~)~cd into Morgan Stauley 3mtfll Barney (Ba~ Deposi0 IND #2 (item 22). (item 40) w~ll no longer bc included in Ihtui~ re~orts. LMCM Income Opp Fuc, d (item 44) i~ a newly established accouul. LMCM Sma!~ Cap Fund LLC (item 45) is a newly established accounl. LMCM Syste~:~atic Value Fund LLC (item 46} is a newly established accoulxt. Morg~u~ Stanley Smitl~ Barney (LMASX) IKN ~ (item 49) is a newly established account. Morgan S~anle2, Smith Barney (CD) Y - (item 5 I) was ~:losed in 2009, CDs matured in 2009 and f~llds were deposited into Morgan Stanley Smith Barney ~Bank Deposit) (item 50). Morgan Stanley Smith Barney (CD) Y - (item 5 I) will no longer be iaclt~dcd in fixture"

FINANCIAL DISCLOSURE REPORT

N Legg, Benson E. 05/ll4/2010

Page 9 of 9
IX. CERTIFICATION.

1 certify that all information given above (including information pertaining to my spouse attd minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any int~rmatioa not reported was withheld because it met applicable statutory provisions permitting non-disclosure. l ftutber cer|il) that earued income from outside empioyment and hoooraria aud the acceptance of gifts which have been reported are io cumpiianee with the provisions of 5 U,S.C, app. 501 et. seq, 5 U.S.C~ 7353, add Judicial Confcreuce regulations.

Sight

NOTE: ANY IN DIVIDUAL WHO K~NOWINGLY AND WILFULL~" A.ND CRIMINAL SAaNCTIONS (5 U.S.C, app. 104)

CIVIL

FILING INSTIL~JCTIONS Mail signed original and 3 additiona! copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-30 l One Columbus Circle, Washington, D.C. 20544