Benson Everett Legg Financial Disclosure Report for 2010

8/3/2019 Benson Everett Legg Financial Disclosure Report for 2010

1/8

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the E thi~in Government Act of 1978(5 U.$.C. app. 101-I11)

I. Person R eport ing 0~st nam e, f i rst , mlddle in i t ia l )L e g g , B e n s o n E .

4. Title (Article I!1 judge~ indicnte active or senior statue;magistratojudges indicate full- or part-time)U . S . District Judge (Active)

7. C h a m b e r s o r O f f i c e A d d r e s ~I 0 1 W . L o m b a r d S t r e e tSuite 7AB a l t imore , M a ry la nd 21201

2. Cour t or O rganizat ionU n i t e d S t a t e s D i s tr ic t C o u r t, M m y l a n d

Report Type (check appropriate type)] N o m i n a t i o n , D a l e[] Initial [] Annual [] Fin,l5 b . [ ] A m e n d e d R e p o r t

3. Da te of R e p o r t07/06 /2011

R e p o r t i n g P e r i o d0 1 / 0 1 / 2 0 1 0

go1 2 / 3 1 / 2 0 1 0

8.On the beds of the information contained in this Report and anymodifications pertaining thereto, it is, i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

R e v i e w i n g O f f i c e r D a t e

I M P O R T A N T N O T E S : T h e in s tr u ~ o ~ s accompanying this farm must be foi lowe& C o m p l ~ t # all parts,checking the NON E box for each p art where you have no reportable informa tion. Sign on last peg.-

POSITION NAME OF ORGANIZATION/ENTITYI. U T M A T r u s te e C u s t o d i a l A c co u n t s a t L e g g M a s o n2. U T M A T r u s te e C us tod ia l Accoun t s a t T .R ow P r ice

3 . U T M A T r u s t e e C us tod ia l Accoun t s a t M orga n S ta n le y S mi th B a rne y4. Ins~uc~or S ta te o f M a ry la nd - U n ive rs i ty o f B a l t imore L a w S ch oo l

N ON E (N o reportable agreements.)D A T E PARTIES AND TERMS


2/8

FINANCIAL DISCLOSURE REPORTPage 2 of 8

N~me of Person R e p o r t i n gL e g g , Benson E.

Date of Repor!07106/201 I

I II . N O N - IN V E S T M E N T I N C O M E . ~Repo,an~in~l~t~ol*,~spous,~A. Fliers Non-Investment IncomeD NONE (No reportable non-investment income,)

DATE SOURCE AND TYpI~ INCOME( y o u r s , not spouses)I . 2010 Sta te of M ar y lan d - Un iver s i ty of Ba l t im or e Law Sc hool - - W ages $3 ,6 00 .002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - ~ f y , u ~ merried during any portlon of the reporting year, complete(Dol lar ~ount not requi red ~cept for hono~r ia . )

~ ~o reportable non-investment income.)ONE

I . 2 01 02. 20103.4.

] D A T E S OU R C E A N D T Y P EL e g g M a s o n - - D e f e r re d C o m p e n s a t i o n p a y o u t s t o ck o p t i o n e x e r i ceE a s t m a n K o d a k C o m p a n y - D i r e ct o r s

I V . R E I M B U R S E M E N T S -transportation. lodging, food, e n t e r t a i n m e n t .( I n c l u d e s t h o s ~ to s p o u s e a n d d e p ~ n d e n t c h i l d r e n : ~ e e p p . 2 J - 2 7 o f f i lt n g i n s t r u c ti o n s . )~ NONE(N o reportable reimbursements.)2.3.4.

5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED


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Name of Person ReportingL e g g , B e n s o n E .

D a t e o f R e p o r t07/06 /2011

~-~ NONE (No reportabl~ gifts.)SOURCE DESCRIPTION

1 .2.3.

N O N E ( N o repo rtable liab ilit ies.)CREDITOR DESCRIPTION

I. C h a s e R e vo l vi ng cred i t card2.3.4,5.


4/8


Name of Person Repor t ingL e g g , B e n s o n E .

Date of R e p o r t0 7/0 6/20 11

VII. INVESTMENTS and TRUSTSV--] NONE (No reportable income, assets, or transactions.)

D.Transactions during reporting l~riod "(2) (3) ...(4) (~) - i : iDate valde Gain Identity Of

. (J -P) . (A-I~ ( fpr i,at~., ,t r ~ m a c t i~ O ) : . ,

I. T.R ow e Pr ice N ew Hor iz ons , U TM A # I2 . T.R ow e Pr ice N e w Hor iz ons , U TM A # 23. M o r g a n S t a n l e y S m i t h B a r n e y (L M N S X )I R A # 14, M o r g a n S t a n l e y S m i t h B a r n e y (L M N V X )I R A # 15, M orga n S ta n le y S mi th B a rne y ( LM N OX)I R A # I6. M o r g a n S t a n l e y S m i t h B a rn e y( A m a z o n . c o rn ) - I R A # 27, M o r g a n S t a n l e y S m i t h B a r n e y ( B k D e p )I R A # 2 D r e y f u s M Mg. M o r g a n S t a n l e y S m i t h B a r n e y (L M N V X )I R A # 29. M orga n S ta n le y S mi th B a rne y ( Llv lN OX)I R A # 21 0 .1 1 .1 2 . M o r g a n S t a n l e y S m i t h B a r n e y (L M N S X )IR A # 21 3 . M o r g a n S t a n l e y S m i t h B a r n e y (L M N V X )I N D # 21 4 . M orga n S ta n le y S mi th B a rne y ( LM N OX)1N D # 21 5 . M o r g a n S t a n l e y S m i t h B a r n e y (L M N S X )I N D # 21 6 . M o r g a n S t a n l e y S m i t h B a r n e y (A m a z o n )I N D # 21 7 . M o r g a n S t a n l e y S m i t h B a r n e y ( B i o s a n teP h a r m ) I N D # 2 X

AA

D i v i d e n d K TD i v i d e n d K T

N o n e J TN o n e N TN o n e N TN o n e M T

N o n e J T

None M T

None O T

Bu y(addl)

Bu y( a d d l )S o l d( p a r t )So l d(part)

N o n e J TN o n e M T S old(part)N o n e N T S old( p a r t )N o n e M TN o n e M T D ona te d( p a r t )N o n e J T

05/20110

05/20t1007/12JI010/12/10

JJ

J

12/20/10 J12/20/i 0 K

1. I n c o m e G a i n C o d ~ : i "(S en C o l u ~ e a B I a n d D 4 ) -

2 Value C o d ~~ : (~ Colu~ CI ~dDS)...., .....: 3. VaI~ Melh~

(St= Column ~ )

F-$ 5 0200 i . $ I O 0 , O O 0 : - , : , . G -$100 o01 - $ I o o o , o 0 0N - $ 2 ~ 0 0 0 1 - $ 5 0 0 0 0 0 . : : : O - $ 50 0 Q 0 1 - S 1 , 0 ~ . 0 0 0

c , ~ s 2 , 5 O l : $ ~ . o 0 o~ " - s i o o 0 o o 1 - S 5 o o o , o o oL ~$50,001. -1 1 k $ i 2 0 0 0 0 0 t - $ ~ , 0 0 0 .0 0 0, P 4 ~ M o r ~ t h ~ n $ 5 0 , 0 0 0 . 0 0 0

" W = E s t i m a t e d

D -$5,001 - $15,000 E =3 H,OOI- $50,000 ~ H 2 = M o r e t h s n $ 5 , 0 0 0 , 0 0 0 : .P2 -.55 000 001 - $2~,000,000 "


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N a m e o f P e r s o n R e p o r t i n gLegg, Ben son E.

D a t e o f R e p o r t07106/2011

N O N E ( N o reportable income, assets, or transactions.) . ;, i ..";. ~ 10 ~r ip t i o n o f A s s e t s " . . . : " ; ~ " . : " Income d m Sng. : Gross ~lu~at ~d: / ". T r n i ~ a e t i ?n s d u r i n g ~ p ~ n g ~ f i o d " " " : "" :. . .. : .~ ~ , : ~ : ~ : ~ : ~ : ~ ~ : . . ~ " : : ~ . : . ~ : / .: . : ~ O ) ~ " . ~ ) ? . . : : : ~ . i Y ~ : ~ : . . : ~ : ~ ~ : : . / . 7 . : ( , ) " ~2) o) (~) . " : . 8 ) : ; ~ ; " ~-:.;" ~:~)a~cha=, /: .:".:-~0~t".:T~(e.g~, .:~Vhl4~.;~:.: .:~:~,~;~:.:::.:: :~(e.&., Date Vaiue Gain .ldm~of".:. :.:

1 8 . M o r g a n S t a n l e y S m i t h B a r n e y ( Q u a le o m m ) A D i v i d e n d K- r N D # 219 . M o r g a n S t a n l e y S m i t h B a r n e y ( L e g g M a s o n D D i v i d e n d P1

I ne ) - I N D # 220 .21 .

22.

23.

24. M o r g a n S t a n l e y S m i t h B a r n e y (B a n k A I n t e r e s tI~poslt) IN D #225. [ , e g g M a s o n 4 0 1 K ( S p e c i a l I n v e s t m e n t ) N o n e

! 2 6 . L e g g M a s o n 4 0 1 K { V a l u e d l n s t) N o n e27 . L c g g M a s o n P h a n t o m S t o ck P l a n - N o n e

29 . P io n e e r N a tu ra l R e s o u rc e s N o n e

30 . H C W D r i l l i n g P a r t n e r s h i p U n i t s 1 9 8 0 - 1 , N o n eU n p r ic e d S e c u r i ty31 . H C W D r i l li n g P a r t n e r s h ip s U n i t s 1 9 7 9 - 1 , N o n eU n p r ic e d S e c u r i ty32 . K o g e r P a r t n e r s hi p , L T D N o n e

: 3 3 . L e g g M a s o n E S P P ( T h e B a n k o f N Y A D i v i d e n dM e l l o n )34. L e g g M a s o n I n s t F u n d s # 1 ( V a l u e T r u s t ), N o d eU T M A # I

LK

N

JJ

TT

TT

T

uTWWW

TT

D o n a t e d( p ~ r t )

D o n a t e d

S o l d(part)S p i n o f f

( f rom l lne 27)Spinof f

( f ro m l i n e 3 3 )

12/2011003 / 10 / 1010/05/I 0

JMM

B u y 03/01/10 J( a d d l )Closed 03/10/10 M

D i s t r i b u t e d 1 0 1 0 5 1 1 0 ] M(part)


6/8

FINANCIAL DISCLOSURE REPORTP a g e 6 o f 8

N a m e of Person Re p o r t in gL e g g , B e n s o n E .

D a t e o f R e p o r t0 7 1 0 6 / 2 0 1 1

VI I. I NV ES T M E N T S a n d T R U S T S -~ NONE ~o reportable income, assets, or transactions.) . . A. " " B. .. " ~.~:.:.~:~1~ "":~ " " . . ..D. " ~

35. Le gg M a s on ln s t Funds # 1 ( Oppr Trus t ) , N o n eU T M A # 136 . Le gg M a s on I ns t Funds # 2 ( Va lue Trus t ) , N o n e37 . Le g g M a s o n ln s t Fun d s # 2 (Op p r T rus t) , N o n eU T M A # 238 . L e g g M a s o n C a p i t a l M a n a g e m e n t R e s e a r ch A Int . /Div.Fund39 . LM C M I ncome Opp Fund C ln tJDiv .

, 1 L M C M S m a l l C a p F u n d L L C A lnt . /Div.41. LM C M S ys te ma t ic Va lue Fund LLC A lnt . /Div.42 . M otga n S ta n le y S m i th B a rne y ( LM OPX)- N oneI R A # 3

1 4 3 . M o r g a n S t a n le y S m i t h B a r n e y ( L M A S X ) N o n eI R A # 344. M o rg a n S ta n le y Sm ith B a rn e y (LM A SX ) No n e, 1 5 . M o r g a n S t a n l e y S m i t h B a rn e y ( B a n k A I n t e re s tD e pos i t )46 . R e n ta l P rope r ty - B a l t imore C i ty , M D F R e n t$ 1 ,2 4 8 ,900.00

i 4 7 . M er r i l l Ly nc h - Legg M ason Inc - N o n e4 8 .49 .

i 5 0 .

M TK TM TK UK UK UK UJ T

J TK TN TPI S

B u y 04/08!10B u y 04/08/10

JJ

B u y 03/25/10 LBo y 03/25/10 N( a d d ~ )S old 03 / 26 / 10 M(part)S old 03/26110 N

E = $ L o o ~ - s ~ o ,o o o


7/8


Name of Person Report ingL e g g , B e n s o n E .

D a t e o f R e p o r t0 7 1 0 6 / 2 0 1 1

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.P a r t V I I I . I n v e s t m e n t s a n d T r u s t s :Legg Mason Phontom Stock Plan - ( l ine 27) Closed in 2010 and al l assets transferred in to the Morgan Stanley Smith Barney ( legg Mason) IND #2 ( l ine 19). sees p i n o f f n o t a t i o n .L e g g M a s o n E S P P ( T h e B a n k o f I ,P i M e l lo n ) ( l i n e 3 3 ) - A l l a s s e t s ( e x c e p t d i v i d e n d t h a t p o s t e d a t ~ e r t r a n s f e r, th e r e f o r e a c c o u n t i s s ti |l o p c n ) t r a m f ~ r ~ e . d in t o t h eMorgan Stanley Smith Barney (Lcgg Mason) Ib[D #2 ( l ine 19). see spinoff notat ion.M er r i l l Ly nc h - Legg M ason Inc - ( line 4 7 ) Opened and Closed in 2 01 0.Th is a ccoun t w a s ope ne d to e x ce r i s ~ 3 ,240 Lcgg M a s on , l nc I nce n t ive S tock Opt ions on 3 / 25 / 10 , e x e r l s e 12 ,96 0 Le gg M a s on , l nc N on-Q ua l i f i e d S tock Opt ions on3 / 2 5/1 0, .b oth wer e so ld on 3 / 2 6 / 1 0 & 3 / 30 / 1 0.


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Nam e oiPerson ReportingL e g g , B e n s o n E .

D a t e o r R e p o r t07/06/201 I

IX. CERTIFICATION.I c e r t i f y t ha t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c cu r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h he l d b e c a u s e i t m e t a p p l i ca b l e s t a t u to r yp r o v i s l e n s p e r m i t t i n g n o n - d i s cl o s u r e .I f u r t he r c e r ti f y t ha t e a r n e d I n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n ce o f g i f ts w h i ch h a ve b e e n r e p o r t e d a r e i nc o m p l i a n c e w i th t he p r o v i s io n s o f 5 U . S . C. a p p . 5 0 1 e t . s e q . , 5 U . S . C. 7 35 3 , a n d J u d i c i a l Co n f e r e n c e r e g u l a t i o n s .

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F /A N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . I 0 4)E C T T O C I V IL

Com m ittee on Financial DisclosureAdm inistrative Office of the United States CourtsS u i te 2 - 3 0 1One Colum bu s Circle, N.E.W ashington, D.C. 20544

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Benson Everett Legg Financial Disclosure Report for 2010

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