-----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, T9uldSNb73KtBvNJkqTX7AzbNcPdLj8fFArXK8maL/tlYifOmSKQNAaFU9QQPK5q jWIRxq9V6t1pbFkdTuM3hA== 0000902584-10-000004.txt : 20100212 0000902584-10-000004.hdr.sgml : 20100212 20100212114358 ACCESSION NUMBER: 0000902584-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORY RESEARCH INC CENTRAL INDEX KEY: 0000902584 IRS NUMBER: 132831881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05637 FILM NUMBER: 10596255 BUSINESS ADDRESS: STREET 1: 180 N. STETSON STREET STREET 2: STE 5500 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3125651414 MAIL ADDRESS: STREET 1: 180 N. STETSON STREET STREET 2: SUITE 5780 CITY: CHICAGO STATE: IL ZIP: 60601 13F-HR 1 ari4q09hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: December 31, 2009 Check here if Amendment: [ ] # ____ This Amendment [ ] is a restatement. [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: Advisory Research, Inc. Address: 180 North Stetson, Suite 5500 Chicago, IL 60601 13F File Number: 028-05637 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 the Reporting Manager: Name: Brien M. O'Brien Title: Chairman & CEO Phone: 312-565-1414 Signature, Place and Date of Signing: /s/ Brien M. O'Brien, Chairman & CEO February 12, 2010 - ------------------------------- ----------------------- Signature / Title Date Report Type: [X] 13F HOLDINGS REPORT. Securities with an aggregate market value of $200,000 and above are reported in this report. [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE ADVISORY RESEARCH INC. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 214 Form 13F Information Table Total Value ('000): 4745530 List of Other Managers: NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F HOLDINGS REPORT Report for the Quarter Ended: December 31, 2009 ADVISORY RESEARCH, INC. FORM 13F INFOMRATION TABLE NAME OF ISSUER TITLECUSIP VALUE SH/P PUT/ INV OTR VOT AUTH OF CL AMT ('000) CALL DSC MGR SOLE SHARED NONE 3M COMPANY COM 88579Y101 272 3294 SOLE 3294 A D C TELECOMMUNICAT COM 000886309 64718 10421517 SOLE 10421517 ALBANY MOLECULAR RES COM 012423109 41033 4519007 SOLE 4519007 ALCOA INC COM 013817101 2530 156958 SOLE 156958 ALLEGHENY TECHNOLOGI COM 01741R102 70767 1580685 SOLE 1580685 AMERCO INC COM 023586100 22659 455739 SOLE 455739 AMERICAN PHYSICIANS COM 028882108 3838 166357 SOLE 166357 AMERICAN RAILCAR IND COM 02916P103 29248 2654068 SOLE 2654068 AMERICREDIT CORP COM 03060R101 115177 6049194 SOLE 6049194 AMERIGAS PARTNERS LP UNIT 030975106 684 17395 SOLE 17395 AMERON INC COM 030710107 36382 573306 SOLE 573306 ANALOGIC CORP COM 032657207 43110 1119442 SOLE 1119442 ANDERSONS INC COM 034164103 1472 57010 SOLE 57010 APACHE CORP COM 037411105 15441 149668 SOLE 149668 APARTMENT INVT & MGT CL A 03748R101 570 35810 SOLE 35810 APPLE INC COM 037833100 499 2366 SOLE 2366 ASSISTED LIVING CONC CL A 04544X300 33412 1267029 SOLE 1267029 ATLAS ENERGY INC COM 049298102 6422 213062 SOLE 213062 AVALON HLDGS CORP CL A 05343P109 789 375703 SOLE 375703 AVATAR HOLDINGS INC COM 053494100 971 57110 SOLE 57110 AVNET INC COM 053807103 155902 5169179 SOLE 5169179 BANK AMER CORP COM 060505104 4495 298495 SOLE 298495 BANK OF NEW YORK MEL COM 064058100 1263 45169 SOLE 45169 BARNWELL INDS INC COM 068221100 376 82149 SOLE 82149 BECTON DICKINSON COM 075887109 3091 39198 SOLE 39198 BENEFICIAL MUTUAL BA COM 08173R104 16213 1647618 SOLE 1647618 BERKLEY W R CORP COM 084423102 17292 701783 SOLE 701783 BERKSHIRE HATHAWAY CL A 084670108 496 5 SOLE 5 BERKSHIRE HATHAWAY CL B 084670207 12875 3918 SOLE 3918 BEXIL CORP COM 088577101 2205 88200 SOLE 88200 BOSS HLDGS INC COM 10011B101 815 138150 SOLE 138150 BOSTON PRIVATE FINL COM 101119105 897 155500 SOLE 155500 BOSWELL J G CO COM 101205102 962 1781 SOLE 1781 BRINKS HOME SEC HLDG COM 109699108 74242 2274560 SOLE 2274560 BURLINGTON NORTHN SA COM 12189T104 13818 140111 SOLE 140111 CABOT OIL & GAS CORP COM 127097103 150577 3454402 SOLE 3454402 CAGLES INC CL A CL A 127703106 1140 316649 SOLE 316649 CAPITOL FEDERAL FINL COM 14057C106 70890 2253339 SOLE 2253339 CARRIZO OIL & GAS COM 144577103 13629 514091 SOLE 514091 CASEYS GENERL STORES COM 147528103 81943 2567933 SOLE 2567933 CATERPILLAR INC COM 149123101 12641 221811 SOLE 221811 CENTER FINL CORP CA COM 15146E102 1555 338002 SOLE 338002 CENTERPOINT ENERGY COM 15189T107 3346 230589 SOLE 230589 CENTURYTEL INC COM 156700106 80785 2231023 SOLE 2231023 CEPHALON INC COM 156708109 684 10956 SOLE 10956 CERADYNE INC COM 156710105 16702 869007 SOLE 869007 CHEVIOT FINL CORP COM 166774109 1678 227005 SOLE 227005 CHEVRON CORPORATION COM 166764100 17336 225178 SOLE 225178 CHICAGO RIVET & MACH COM 168088102 933 65700 SOLE 65700 CHICOS FAS INC COM 168615102 24182 1721167 SOLE 1721167 CNX GAS CORP COM 12618H309 115151 3900793 SOLE 3900793 COAST DISTRIBUTION COM 190345108 254 64956 SOLE 64956 COMCAST CORP CL A CL A 20030N101 14458 857503 SOLE 857503 COMMERCIAL METALS CO COM 201723103 35004 2236649 SOLE 2236649 COMMUNICATIONS SYS COM 203900105 3474 279222 SOLE 279222 COMSTOCK RESOURCES COM 205768203 1197 29495 SOLE 29495 CONSOLIDATED COMM HL COM 209034107 765 43770 SOLE 43770 CONTANGO OIL & GAS COM 21075N204 884 18795 SOLE 18795 CONTINENTAL RESOURCE COM 212015101 3002 70000 SOLE 70000 CVB FINL CORP COM 126600105 1081 125150 SOLE 125150 DELTIC TIMBER CORP COM 247850100 62086 1344431 SOLE 1344431 DENBURY RESOURCES COM 247916208 90511 6115622 SOLE 6115622 E TRADE FINANCIAL CO COM 269246104 24 13901 SOLE 13901 EASTERN INS HLDGS COM 276534104 4602 533917 SOLE 533917 EATON CORP COM 278058102 1102 17323 SOLE 17323 EDISON INTL COM 281020107 1425 40969 SOLE 40969 EL PASO ELEC CO COM 283677854 50309 2480726 SOLE 2480726 ELBIT MEDICAL IMAGIN ORD M37605108 1354 61589 SOLE 61589 ENCORE ACQUISITION COM 29255W100 38815 808313 SOLE 808313 ENCORE WIRE CORP COM 292562105 91166 4326804 SOLE 4326804 ESPEY MFG & ELECTRS COM 296650104 3432 179482 SOLE 179482 EVOLUTION PETROLEUM COM 30049A107 6115 1397994 SOLE 1397994 EXCO RESOURCES INC COM 269279402 2123 100000 SOLE 100000 EXELON CORP COM 30161N101 12147 248557 SOLE 248557 EXXON MOBIL CORP COM 30231G102 273 4000 SOLE 4000 FAIRPOINT COMMUNICAT COM 305560104 1 40000 SOLE 40000 FAMILY DOLLAR STORES COM 307000109 13615 489232 SOLE 489232 FIFTH THIRD BANCORP COM 316773100 27734 2844556 SOLE 2844556 FIRSTCITY FINANCIAL COM 33761X107 898 119997 SOLE 119997 FLIR SYS INC COM 302445101 16404 501187 SOLE 501187 FOOT LOCKER INC COM 344849104 47962 4305410 SOLE 4305410 FOSTER L B CO COM 350060109 2782 93334 SOLE 93334 FRONTIER COMMUNICATI COM 35906A108 626 80200 SOLE 80200 FROZEN FOOD EXPRESS COM 359360104 69 20998 SOLE 20998 GATX CORP COM 361448103 41325 1437383 SOLE 1437383 GENERAL MLS INC COM 370334104 272 3844 SOLE 3844 GOVERNMENT PPTYS INC COM 38376A103 1231 53575 SOLE 53575 GRANITE CONSTR INC COM 387328107 49704 1476656 SOLE 1476656 GREENE CNTY BANCORP COM 394357107 732 47626 SOLE 47626 HALLWOOD GROUP INC COM 406364406 4280 110317 SOLE 110317 HASBRO INC COM 418056107 905 28230 SOLE 28230 HEALTHCARE SERVICES COM 421906108 57978 2701675 SOLE 2701675 HEWLETT PACKARD CO COM 428236103 15796 306660 SOLE 306660 HF FINL CORP COM 404172108 929 95608 SOLE 95608 HOME FEDERAL BANCORP COM 43710G105 7500 563480 SOLE 563480 HUDSON CITY BANCORP COM 443683107 66098 4814139 SOLE 4814139 HUMANA INC COM 444859102 1050 23928 SOLE 23928 I B M COM 459200101 351 2682 SOLE 2682 INVESTORS BANCORP COM 46146P102 102820 9398519 SOLE 9398519 IOWA TELECOMMUNICATI COM 462594201 690 41195 SOLE 41195 J ALEXANDER CORP COM 466096104 1977 532815 SOLE 532815 J.P. MORGAN CHASE COM 46625H100 26840 644116 SOLE 644116 JEFFERIES GROUP INC COM 472319102 98591 4154686 SOLE 4154686 JOHNSON & JOHNSON COM 478160104 14336 222568 SOLE 222568 KAISER ALUMINUM CORP COM 483007704 66810 1605230 SOLE 1605230 KEARNY FINL CORP COM 487169104 2211 219526 SOLE 219526 KINDER MORGAN EGY PT COM 494550106 3171 52000 SOLE 52000 KROGER CO COM 501044101 1769 86176 SOLE 86176 LADISH INC COM 505754200 968 64340 SOLE 64340 LEE ENTERPRISES INC COM 523768208 1122 320700 SOLE 320700 LEUCADIA NATIONAL CO COM 527288104 139156 5849356 SOLE 5849356 LIMONEIRA CO COM 532746104 1523 10505 SOLE 10505 LOWES COMPANIES INC COM 548661107 7736 330728 SOLE 330728 LSB CORP COM 50215P100 476 49000 SOLE 49000 MARCUS CORP COM 566330106 30758 2399213 SOLE 2399213 MARQUETTE NATL CORP COM 571599109 250 500 SOLE 500 MAUI LD & PINEAPPLE COM 577345101 189 33965 SOLE 33965 MCDONALDS CORP COM 580135101 2599 41628 SOLE 41628 MCRAE INDS INC CL A CL A 582757209 1463 130161 SOLE 130161 MEDTRONIC INC COM 585055106 14699 334227 SOLE 334227 MENS WEARHOUSE INC COM 587118100 75709 3594900 SOLE 3594900 MERCK & COMPANY COM 58933Y105 18790 514228 SOLE 514228 MICROSOFT CORP COM 594918104 16288 534370 SOLE 534370 MOLEX INC CL A CL A 608554200 63082 3297557 SOLE 3297557 MOTORCAR PTS & ACCES COM 620071100 2351 462698 SOLE 462698 NEW ULM TELECOM INC COM 649060100 718 143640 SOLE 143640 NORFOLK SOUTHN CORP COM 655844108 1110 21183 SOLE 21183 NORTHERN TR CORP COM 665859104 615 11735 SOLE 11735 NORTHROP GRUMMAN COM 666807102 13345 238935 SOLE 238935 OLYMPIC STEEL INC COM 68162K106 29103 893273 SOLE 893273 ONEBEACON INSURANCE CL A G67742109 60022 4355711 SOLE 4355711 ONEOK INC COM 682680103 74498 1671494 SOLE 1671494 ORAMED PHARM INC COM 68403P104 5 10000 SOLE 10000 OVERSEAS SHIPHOLDING COM 690368105 116875 2659267 SOLE 2659267 PACIFIC PREMIER BANC COM 69478X105 212 62778 SOLE 62778 PANHANDLE OIL AND GA CL A 698477106 1988 76772 SOLE 76772 PETROHAWK ENERGY COR COM 716495106 4378 182500 SOLE 182500 PIONEER NATURAL RES COM 723787107 30335 629752 SOLE 629752 PLAINS ALL AMERN PIP UNIT 726503105 33425 632450 SOLE 632450 PLUM CREEK TIMBER CO COM 729251108 87272 2311242 SOLE 2311242 POTASH CORP SASK INC COM 73755L107 12288 113249 SOLE 113249 PRICESMART INC COM 741511109 12019 588284 SOLE 588284 PROCTER & GAMBLE COM 742718109 2347 38706 SOLE 38706 PROLOGIS SH BEN INT COM 743410102 298 21755 SOLE 21755 QUEST ENERGY PARTNER COM 74836B209 50 20550 SOLE 20550 QUEST RESOURCE CORP COM 748349305 872 1503421 SOLE 1503421 QUICKSILVER RESOURCE COM 74837R104 3991 265895 SOLE 265895 RANGE RES CORP COM 75281A109 3274 65687 SOLE 65687 RAYMOND JAMES FINANC COM 754730109 73964 3111633 SOLE 3111633 REGENCY AFFILIATES COM 758847305 361 114215 SOLE 114215 REGIONS FINANCIAL CO COM 7591EP100 37594 7106641 SOLE 7106641 RESOLUTE ENERGY CORP COM 76116A108 63415 5504784 SOLE 5504784 ROCK OF AGES CORP COM 772632105 668 226354 SOLE 226354 ROME BANCORP INC COM 77587P103 1121 140870 SOLE 140870 SCHEID VINEYARDS INC CL A 806403200 556 33210 SOLE 33210 SCHNITZER STL INDS CL A 806882106 96618 2025541 SOLE 2025541 SHENANDOAH TELECOMMU COM 82312B106 4241 208415 SOLE 208415 SHOE CARNIVAL INC COM 824889109 6027 294438 SOLE 294438 SL GREEN RLTY CORP COM 78440X101 119619 2380959 SOLE 2380959 SLM CORPORATION COM 78442P106 11496 1020082 SOLE 1020082 SMUCKER J M CO COM 832696405 15515 251259 SOLE 251259 SOTHEBYS COM 835898107 107286 4772497 SOLE 4772497 SPECTRA ENERGY CORP COM 847560109 7627 371845 SOLE 371845 STIFEL FINANCIAL COM 860630102 627 10591 SOLE 10591 SUPERIOR UNIFORM INC COM 868358102 3377 346403 SOLE 346403 SUPREME INDS INC CL CL A 868607102 185 93631 SOLE 93631 SYSCO CORP COM 871829107 12820 458830 SOLE 458830 TANDY BRANDS ACCESSO COM 875378101 2172 703998 SOLE 703998 TELLABS INC COM 879664100 59963 10556864 SOLE 10556864 TERRITORIAL BANCORP COM 88145X108 2500 138500 SOLE 138500 TESSCO TECHNOLOGIES COM 872386107 4282 265294 SOLE 265294 TEXAS INDS INC COM 882491103 2502 71500 SOLE 71500 TFS FINANCIAL CORP COM 87240R107 31553 2599064 SOLE 2599064 THIRD CENTY BANCORP COM 884120106 309 79297 SOLE 79297 TRINITY INDS INC COM 896522109 93102 5338440 SOLE 5338440 TUESDAY MORNING CORP COM 899035505 198 76812 SOLE 76812 ULTRA PETE CORP COM 903914109 2869 57535 SOLE 57535 UMB FINANCIAL CORP COM 902788108 123697 3143514 SOLE 3143514 UNITED FINANCIAL BAN COM 91030T109 3756 286477 SOLE 286477 UNITED FIRE & CAS CO COM 910331107 36893 2023738 SOLE 2023738 UNITED TECHNOLOGIES COM 913017109 15965 230007 SOLE 230007 UNITEDHEALTH GROUP COM 91324P102 12463 408897 SOLE 408897 UNIVERSAL SEC INSTRS COM 913821302 144 27351 SOLE 27351 VAIL RESORTS INC COM 91879Q109 131746 3485341 SOLE 3485341 VALERO ENERGY CORP COM 91913Y100 12655 755538 SOLE 755538 VENOCO INC COM 92275P307 3935 301727 SOLE 301727 VULCAN INTL CORP COM 929136109 1801 50738 SOLE 50738 WAL MART STORES INC COM 931142103 13605 254530 SOLE 254530 WALGREEN COMPANY COM 931422109 14775 402376 SOLE 402376 WARWICK VALLEY TEL COM 936750108 3282 250758 SOLE 250758 WEBSTER FINL CORP WA COM 947890109 39449 3323450 SOLE 3323450 WELLS FARGO & CO COM 949746101 1833 67904 SOLE 67904 WENDYS/ARBYS GROUP COM 950587105 158 33586 SOLE 33586 WESTERN UNION CO COM 959802109 9979 529372 SOLE 529372 WESTFIELD FINANCIAL COM 96008P104 4539 550180 SOLE 550180 WHITE MOUNTAINS INSU COM G9618E107 83587 251269 SOLE 251269 WHITING PETE CORP COM 966387102 3573 50000 SOLE 50000 WINDSTREAM CORP COM 97381W104 708 64448 SOLE 64448 WINN DIXIE STORES COM 974280307 62731 6248076 SOLE 6248076 ZIMMER HLDGS INC COM 98956P102 1400 23680 SOLE 23680 ZORAN CORP COM 98975F101 3657 330981 SOLE 330981 PENN WEST ENERGY TR TRUN 707885109 293 15801 SOLE 15801 MFS INTERMARKET INC SHBE 59318R103 240 29986 SOLE 29986 CARRIZO OIL&GAS 4.37 NOTE 144577AA1 8059 9385000 SOLE 9385000 ISHARES TR RUSSL 200 S&P 464287630 3618 62329 SOLE 62329 PENN VIRGINIA 4.50% NOTE 707882AA4 3790 4000000 SOLE 4000000 PROLOGIS 1.875% 11/1 NOTE 743410AR3 1328 1500000 SOLE 1500000 PROLOGIS 2.250% NOTE 743410AQ5 2226 2400000 SOLE 2400000 RECKSON SLG PT DT DEB 75621LAJ3 1990 2000000 SOLE 2000000 USEC INC 3.000% DUE NOTE 90333EAC2 325 500000 SOLE 500000 EQUITY RESIDENTIAL PFD 29476L883 331 8725 SOLE 8725 LEGG MASON INC 7.00 UNIT 524901303 4989 146100 SOLE 146100 WHITING PETROLEUM PFD 966387201 6288 35000 SOLE 35000 RESOLUTE ENERGY CORP *WEX 76116A116 5788 2516466 SOLE 2516466 4745530 214 -----END PRIVACY-ENHANCED MESSAGE-----