benson everett legg financial disclosure report for 2009

8/3/2019 Benson Everett Legg Financial Disclosure Report for 2009

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FINANCIAL DISCLOSURE REPORTin Go vernment A ct o/l ~ 78

FOR CALENDAR YEAR 2009 (s u.s.(’ , a p p . , ~ ) " l tJ t- l l l)

1, Person Reporting (las~ name, first, ml,’_td]e initial) 2. Cour t o r Organiza t ion 3 , D a t e o f R e p o r t

[ .e gg . B c ns on E. Uni ted Slates Dis t r ic t Cour t , Marylard 05/0,112010

4. Title (A~dcle 111 judges indicate active or ~enior status; 5a. Repot[ Type (check appropriate ~ype) 6 ~ Repor t ing Per iodmagismtte judges indicate full- or par t- t ime)

U.S. Dis t r ict Jt ldgc (A ct ive)~ lnitia: ~ A~mu~,l ~ Final

to

12/31i2009

5b. ~ Amended Reix~rt

modif icat ions per taining thereto, i l i s~ in my opiaioth in compliance

10 1 W. Lom ba r d S t r e e t with appl icab le laws and rcgulat lons.

Suite 7A

Bal t imore Maryla ~d 2 [ 201Reviewing Ofl icer Date

1M P O R ~ A , ~ 1 , ~ 0 T ~ S : 2lie mstruenons acc~mpanyutg th~ jorm mttst be ]bllon’etL 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 O N E (No reportable posit ions. )

~ Q ~ I _ ’ I _ : I _ Q . N _ NA M E O F O R GA NIZ A T IO N, "ENT I- fY

I. UTMA Trustee C u s t od i a l A c c ou n t s a t k e gg M a s on

~ ." UTMA Trustee C u s t od i a l A c c ou n t s a t T . R o v , , e P r i c e

3. UTMA Trustee Custodia l A~.:counls a t M o r g ~ m Stanley Smilh Bar,cy

4 .

5.

~.. N O N E ( N o reFortab!e t~greement~.)

D A q E P A R T I ES A N D T E R M S

......................................................

3.



FINANCIAL DISCLOSURE REPORT" ~ " ~ ’ L e g g ,

e | ’ B e n s O t l P e r s 0 r tR e p o r t i n g E . [

Da~e ~f Repot[

1 1 1 . N O N - I N V E S T M E N T I N C O M E . m ~ p o ~ a , ,g i , , u i ~ i a , , , t , , , , , ~ , v , , , , . , , , ; , - , ~ , . 17-24 oj~ling instructialts.)

A. Filer’s N on-Investment Income

N O N E (No reportab!e non-investment income.)

DAT E SO U RC E AND TY PE INC O M ~

1.

2.

3

B , S p o u s e ’ s N o n - I n v e s tm e n t |llCOIlle - If you were married during tttty l~ortiott oJ the relporii*tg year, complete thi.s section.

~ N O N E (~’o reportable no~>investment income.)

DATE SOURCE AND TYPE

1. 2009 !,egg Mason m (CEOof [,~gg Mason Capital Munnagcmcnl)

2.

3.

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

NONE (]~,;o reportable reimbursements.)

SOURCE DATES LOCATION PU RP()SE !TEM S,,PAID OR PRO V IDED

l.

2.

3.

4

5.



FINANCIAL DISCLOSURE REPORT N .......P~,~.,,o~,,.~

Io.,~orR~.o

Ia g e 3 o f 9 I .egg, genson E. 05:04/2010

~NONE (No reportable

SOURCE DESCRIPTION V A 1 . U E

L

2.

3.

4.

V I . L I A B I L I T I E S . a,,,.~,a~., ,~o~,, ,,l~, ........d e l m u d e m c h i h l r e n ; s t ’ e p p . 3 2 - 3 3 o J J i t i t, g i n ,t r u c t i a n 3 ; )

~ NONE (No reportable l iabilities..)

CREDITOR DESCRIPTION VAI.UE CODE

l. Chase Revolving credit card K

2. Bank of America Revolving credit card .I

3, American Express Revolving cledit card



FINANCIAL DISCL OSURE REPORT . ~ . . . . . . r l ’ e . . . . R . t , o ~ , ~ , , g ~ ) . , ~ o - - ~ . . u ~ t [

of 9

VII. IN V E STMENTS and TRUSTS - - i ........... .,a.,,. t ........... lofts (lm’ludes those q’~p .......... I &,pendent ¢hi[dre.; seepp. 54-60 of fih)tg i ....... "tio

NONE (No reportable income, assets or tran~’actions,)

D~cripl io~ ufAgsets + Incom e &Mug Gr~ $ v alu~ at end I mn s a c t im~ d u r i n g r e ~a i n ~ p e r k x lincluding trust asseu) : r epo~ ng pe r i ¢ ~ of repor t ing per iod

P i a ~ e "(X)" a{~er eaci~ a~set A m o u n t " l ’ y ~ e... Value Value~

type (e .g . ~ Date Value :, Gain Identity o1’exempt f rom prior ,J isclosure ] C~# I div.. ~ent, Code 2 Method buy, sell, ] nmUd~y~ C ode 2 } C ode I buyer,.’seller

] (A- t t ) or int.) t . ~ - I ’ ) C t ~ e 3 [ redemptloa~ , {J-P) (A&; ( i f p r iva tei ( Q - W )................................................... ’~ ....................... ~ ....... t ~ ~ ~rau~acrion)

I. i-.Rowe Price New Horizons, UT~A #1 A D i v i d e n d K T Bu y 12/15109 J

( add’ l )

2. T . R ~ w ¢ P r i ce N e w H or i z ons , UT N ’ L~ # 2 A D i v i d e n d K T Bu y 12.15’09 J

[3 . Morgan Stanley Smith Barney (B~kD e pos i t ) I R A # 1 Y

,1 . Morgan Stanley Smith gamey {L}~SX) A Dividend J T Bu y 3:30/09 J

5. Bu y 12/10/09 J( add ’ l }

6. Morgan Stanley Smilb Barney (LMNVX) C Dividend N T Bu y 12/10709 d

7. Morgan Stanley Smith Barney (LMNOX) - N o n e N T

8. M or ga n S t a n l e y S m i l h B a r ne y N o n e M T(Amazon.cam) -i~ #2

9. Morgan Sta~e? Smith Barney (Bk Dep)

A [ntctcs!J "[ ’

IRA #2 Dreyfus MM

1 0 . Morgan S1anlcy Smi~ Bacnev (I.MNVX) B Dividund M T Bu y ~2/10/09 J--I~ #2 ( add’ l )

1 l , Morgan Stanley Smith Barney (L~OX) - N o n e O T

12 . Morgaa S:anley Smith Barney (LMNSX) A l ) i vidcnd J T B t ~ y 3 27!’0~ J- IR .A #2

13 . Buy 12/10 /09 3{add’l)

1 4 . M or ga n S ~ a n l c y S nf i th B a r ne y ( LM N V X) B Dividend M 1’ B,.~ 12:’10’09 JIND #2

15 . M , : ,v ga n S t a n l e y S m i t i~ B a m c v {LM N OX) N o n e N T- ’ .ND #2

16 . Morgan Stanley Smith Barney (LMNSX) A Dividend L T Buy 12/10 /09 J- IND #2 (add’)

17. Morgan Stanley Smith Barney (Amazon) N o n e L T D o n a t e d- I ND g 2 (par t )



PageFINANCIAL5 of 9 D I S C L O S U R E R E P O R T)..gg. r~,~,, ~

I

~ NONE (No reportable income, asse¢s, or transaczions.)

A. B . C. D,D e s c r i p t i o n O I ’ A s ~ e t ~ l~;me dur ing G r o s s v a l u e a t en d T~sacdon~ during reposing period( i n u l u d in g ~ v s t a s s e l s ) m p o n l n g p e r io d o f ~ e p o r d n g p e r i o d

P l a c e " (X ) " a ~ e r e c h a s s e t [A~unt ’ T y p e ( e . g . , V t ) ! a e V a l u e Ive (e .g., ~ Date : Va)ue G a i n l d e n t i I ~ ’ 0 5e x ~ m p v l ~ m p r i o r d is c l o s u re

i~ CodZ¢A.H)I1~div.,or ir:l.)rent’[

C t ~ e 2 M e th o d buy, sdl, { m m ~ [ )’ ) - C~e 2 C o d e l b u v m r s e il e ~ .

i ,~~

U - P )

Code{QAV)3l ~ d o m p t io n )

~:

( J - P I[ k A - H ) t*ansaclion)kif private

1 8 . Morgat3 Stanley Smifl* Barney (Cell N o v . c Merged 1 0 / 1 4 / 0 9 JGenesys)-lND #2 (wifii line 19)

1 9 . MorganStanley Smith Barney(Biosante N o n e J T

Pharm) DaD a2 X2 0 . Morgan 8faNcy Sm{~ Barney (Qualcomm) A Dividend K T

- 1 N D # 2

2 I. Morgan Stanley Smifl~ Barney ([,egg Mason E D i v K I c n d P I T DonatedInc)-;ND #2 { p a r t )

2 2 . Morgan Stanley Smith Barney Bank A I n t e r e s t K l’Dcpositi IND #2

2 3 . Deutsche Bank Oplions { Legg Mason} ~2 Y

2 4 . Legg Mason 401K (Special hwcstme.at) A Dividend K T Buy 1 2 / 1 0 / 0 9(add’ l)

2 5 , Legg Mason 40 1K (Value’Inst) C Dividend N T Buy 1 0 6 . " 0 ! / 0 0

ladd’l )

26. Buy 12/10/09tadd’ l)

> ’ ~ Legg Masotl Phantom Stock Plan B Dividend M T Buy 1 0 / 0 5 : 0 9(add’ l)

2 8 . R i ve t I ~otel, Bahimore MD D I n t e r e s t a -1"

2 9 . Pioneer Natural Resources A Dividend ,I T

3 (} flCW Drilling Partacrship Units 1980~1, N o n e J WUnpdced Security

3 1 . IlCW Drilling Partnerships Units 1979-1, N o ~ c " J WU n p r i c e d S c c u r iL v

3 2 . Ko~er Partnership. L’I’I) N o n e J W

3 3 . LeggMason ESPP (The Bank of NY B D i x i d en d M "l" Buy 0 6 1 0 t . , ’ 0 9 JMellon} (add’l)

3 4. Buy(add’ l)



FINANCIAL DISCL OSURE REPO RT ~ ..... f P . . . . . . . . R e p o r t i n g [ D a t e o f R e p o r t

of 9 ~ e g ~ , B ~ n ~ o n ~ .

[0 5 / 0 4 / 2 0 1 0

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

D~cl~ption of Assets l ~ cu m e d u r i ~ lg G r u s s v a l u e a t e n d Transacfio~ during r e f e r r i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o s i n g p e r i o d

P l a c e " ( X ) " a f t e r ~ a e h ~ s ~ t Amount T y p e [ g . , V a l u e V a l u e T y p e { e . g . , ~ Date ] Value ~ Gain :’ I d e n t i l y o f

exempt flora prior disclosareC o d e di~., rent,o d e 2 M e t h o d buy, sell,m m ’ d ~ ’ v y ~ C o d e 2 ~ i C o d e ~ buyer/seller[ ( A - H ) [ o r i n t . ) (J4~) C o d e 3 r e d e m p t i o n ) ( ) - P ) : , ( A - H ) (if private

3 5 . Legg Mason Inst Funds #1 (Value Trust), A Dividend K T Buy 12/10/09 JUTMA #I (add’J)

3 6 . Legg Mason lest Funds #t (Oppr Trnst). None M T

U T M A # 1

3 7 . Morgan Stanley’ S~fl~ Barney UT~¢ #l Y

38 . Morgan Stanley Smith Barney UTMA #2 Y

3 9 . Morgan Stanley. Smith Baraey GRAT(LeggMason) Y

4 0 . Morgan Stanley Smith Barney GRAT, B Dividend Closed 02/12/09 J{Bank Deposit) Y

4 1 . Legg Mason Inst Funds #2 (Valae Tntst), A Dividend K T Buy 1 2 / 1 0 1 0 9 JUTMA #2 (add’J)

4 2 . Legg Mason lnst Funds #2 (Oppr Trust), Noue M "1"UTMA #2

4 3 . Legg Mason Capita! Management Research A lnt.;Div. K UFund

4 4 . LMCM Income Op p Fund B l n ~ . / D i v . K U Buy 3 f 3 0 1 0 9 K

4 5 . LMCM Small Cap Fund Lt.C A I n t . i D J v . K U B a y 6/30/09 K

4 6 . LMCN1 S>stcnlatic Value !:and LLC A l n t . , ’ D i v . K U Buy 6 / 3 0 1 0 9 K

4 7 . Morgan Stauley Smith Barney (LMOPX)- None ) TIR A # 3

4 8 . Morgan Stanley Smith Bar,my (LMASX) N o n e J 3 " Buy 4 ! 1 7 1 0 9 J

4 9 Morgan Stanley Smith Barne y (LMASX) None J l" Buy 0 4 / 2 0 / 0 9 [ J

5 0. Morgan Stanley Smith Barney (Bank A I n t e r e s t O "IDeposit)

5 t. Morgan Stanley Smith Barney (CD) Y D I n t e r e s t Closed 1 2 t 0 2 / 0 9 J

I. Income ~aiu Codes: A =$1J)00 or lvs5 B = S1 ,0 Ol - $2,50 0 C = $2,50 1 - $5 .00 0 D =$5,001 - S iS,001~ E =$15,00i



FINA~NCIAL DISCLOSURE REPORT N . . . .. . . f P . . . . . . ’ ~ V ~ r t i n g [ D ~ o r R e p o , , t

P a g e 7 o f 9 t.egg, Benson E.

]

05/04/2010

VII. INVESTM ENTS and TRUSTS --i ............ t,,, ,. ........, , o , , ( ~ n c l , , , l e ~ . tl .....f.,p ........depe,taent children; s e e p p . 3 4 - 6 O r ] f i li n g instrucaon~)

N O N E (No report~ tble i lTco me , assets , or trg~r tsac t tot’ ts . I

A. B. C. D.De~ crig~ n o f A ss s inc~ zue dm m g Gros~ value at ~ f i d Tamsac t io~s dur ing repor t ing per iod(including mist assets) reporting pcKod oF rop<~ing per i~}d

P!ace’~(XJ"ager each a~ set ~ A m m m ~ Type (e g. , V;g~e Value Type(e.g, [ Da~ ~ Value : Gain I d e n t i t y o z "

~ m ~ d ~ y y ~ C o d e 9 ’ C o d e l buyez~ellerxempt f rom prior disclosure C ode I ~v., r~k ~ C ode 2 Method b~y, soil,~

.[A-It} or mr .) (]-I~ ) Cod~ 3 ~edemp~on) I (].p) ( i fpf iva le

....................... . ........ } .........~ ....... rransaclion)

52. Rental Property - Baltimore City, MD X F R e n t P I S



FINANCIAL DISCL OSURE REPO RT ,.x .......Pe ... . . . . Reportiz,g

Pag e 8 0 f 9 t . ,e g ~ , B e n s t ; .n E . 0 5 / 0 4 / 2 o I 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Pa r t V I I I. I nv e s t m e n t s a nd T r u s t s :

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

( i t emThe 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~

D e pos i 0 I N D # 2 ( i t e m 2 2 ) .( i te m 4 0 ) w ~ l l no l onge r bc i ncl u de d i n I h t u i ~ r e ~ o r t s .

LM C M I nc om e O pp F u c , d ( i t e m 4 4 ) i ~ a n e w l y e s t a b li s h e d a c c ou u l.

LM C M S m a ! ~ C a p F u nd LLC ( i t e m 4 5 ) i s a ne w l y e s t a b l is h e d a c c ou n l .

LMCM Syste~:~at ic Value Fund LLC ( i tem 46} i s a newly es tabl i shed accoulxt .

M or g~ u ~ S t a n l e y S m i t l ~ B a r ne y ( LM A S X) I K N ~ ( i t e m 4 9 ) i s a ne w l y e s t a b li s h e d a c c ou n t .

Morgan S~anle2,

Smith Barney (CD) Y - (item 5 I) was ~:losed in 2009, CD’s matured in 2009 and f~llds were deposited into Morgan Stanley Smith Barney ~Bank

D e pos i t ) ( i te m 5 0 ) .M or ga n S t a n l e y S m i t h B a r ne y ( C D ) Y - ( i t e m 5 I ) w i l l no l onge r be i a c l t ~ dc d i n f i x t u r e "



FINANCIAL DISCLOSURE REPORT N

P a g e 9 o f 9 Legg, Benson E. 05/ l l4 /2010

IX. CERTIFICATION.

1 certify that all information given above (including information pertaining to my spouse attd minor or dependent children, if any) isaccurate, 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 ftu’tber 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’~" CIVILA.ND CRIMINAL SAaNCTIONS (5 U.S.C, app. § 104)

F ILING INST IL~ JCT IO NS

Mai l s i g n ed o r i g i n a l an d 3 ad d i t i o n a! c o p i e s t o :

Committee on Financial DisclosureA d m i n i s t ra t ive Off i c e o f t he U n i t ed S t a t e s Co ur t sSui te 2-30 lO n e C o l u m b u s C i r c le ,W ash i n g t o n , D . C. 20544

benson everett legg financial disclosure report for 2009

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