-----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, G+nn1BZaNYopomxR/0b982P/vX9bH8XVglQEJe2H5jLRvDbqa5bAtPzQ4NGkrhlU rmFctnI8YUYCs+T2j6yLTw== 0000902584-10-000118.txt : 20101112 0000902584-10-000118.hdr.sgml : 20101111 20101112114155 ACCESSION NUMBER: 0000902584-10-000118 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101184392 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 ari3q13fhr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30, 2010 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 Chicago, IL November 12, 2010 - ------------------------------------ ----------- ----------------- Signature / Title City, State 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: 235 Form 13F Information Table Total Value ('000): 4747289 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: September 30, 2010 ADVISORY RESEARCH, INC. FORM 13F INFOMRATION TABLE NAME OF ISSUER TITLE CUSIP VALUE SH/P PUT INV OTR VOTE AUTHTY OF CL AMT('000) CAL DSC MGR SOLE SHRD NONE 3M COMPANY COM 88579Y101 219 2531 SOLE 2531 A D C TELECOMMUNIC COM 000886309 3240 255722 SOLE 255722 A T & T INC COM 00206R102 1457 50931 SOLE 50931 ACCENTURE PLC CL A G1151C101 762 17935 SOLE 17935 ALBANY MOLECULAR COM 012423109 25797 4043346 SOLE 4043346 ALCOA INC COM 013817101 1948 160822 SOLE 160822 ALLEGHENY TECHNOLOG COM 01741R102 15281 328971 SOLE 328971 ALTRIA GROUP INC COM 02209S103 794 33071 SOLE 33071 AMERCO INC COM 023586100 25506 320905 SOLE 320905 AMERICAN EXPRESS CO COM 025816109 1395 33181 SOLE 33181 AMERICAN PHYSICIANS COM 028882108 1526 47177 SOLE 47177 AMERICAN RAILCAR COM 02916P103 41830 2667739 SOLE 2667739 AMERICREDIT CORP COM 03060R101 4433 181225 SOLE 181225 AMERON INC COM 030710107 38196 562043 SOLE 562043 ANALOGIC CORP COM 032657207 46881 1044582 SOLE 1044582 ANDERSONS INC COM 034164103 1035 27320 SOLE 27320 APACHE CORP COM 037411105 370 3788 SOLE 3788 APARTMENT INVT CL A 03748R101 516 24132 SOLE 24132 APPLE INC COM 037833100 667 2349 SOLE 2349 ARMSTRONG WORLD IND COM 04247X102 1453 35000 SOLE 35000 ASSISTED LIVING CL A 04544X300 35088 1152688 SOLE 1152688 AVALON HLDGS CORP CL A 05343P109 1090 375703 SOLE 375703 AVATAR HOLDINGS INC COM 053494100 1317 69008 SOLE 69008 AVNET INC COM 053807103 133794 4953515 SOLE 4953515 BANCO LATINOAMERICN SHS E P16994132 5504 380875 SOLE 380875 BANK AMER CORP COM 060505104 2747 209681 SOLE 209681 BARNWELL INDS INC COM 068221100 264 82149 SOLE 82149 BECTON DICKINSON COM 075887109 12873 173729 SOLE 173729 BENEFICIAL MUTUAL COM 08173R104 8075 900222 SOLE 900222 BERKLEY W R CORP COM 084423102 39885 1473393 SOLE 1473393 BERKSHIRE HATHAWAY CL A 084670108 9462 76 SOLE 76 BERKSHIRE HATHAWAY CL B 084670702 17000 205616 SOLE 205616 BEXIL CORP COM 088577101 2073 88200 SOLE 88200 BIGBAND NETWORKS COM 089750509 454 160000 SOLE 160000 BOSS HLDGS INC COM 10011B200 836 138150 SOLE 138150 BOSWELL J G CO COM 101205102 948 1481 SOLE 1481 CABOT OIL & GAS COM 127097103 137473 4565682 SOLE 4565682 CAGLES INC CL A CL A 127703106 2109 316649 SOLE 316649 CAPITOL FEDERAL FIN COM 14057C106 43031 1742138 SOLE 1742138 CARRIZO OIL & GAS COM 144577103 87780 3666682 SOLE 3666682 CASEYS GEN STORES COM 147528103 79059 1893623 SOLE 1893623 CATERPILLAR INC COM 149123101 16162 205413 SOLE 205413 CENTER FINL CORP COM 15146E102 1912 375566 SOLE 375566 CENTERPOINT ENERGY COM 15189T107 2648 168460 SOLE 168460 CENTURYLINK INC. COM 156700106 2213 56081 SOLE 56081 CEPHALON INC COM 156708109 677 10850 SOLE 10850 CHEVIOT FINL CORP COM 166774109 1989 227005 SOLE 227005 CHEVRON CORPORATION COM 166764100 16667 205642 SOLE 205642 CHICAGO RIVET COM 168088102 1140 65700 SOLE 65700 CHICOS FAS INC COM 168615102 17941 1705387 SOLE 1705387 CHUBB CORP COM 171232101 1491 26160 SOLE 26160 CINCINNATI FINL COM 172062101 754 26175 SOLE 26175 CIT GROUP INC COM 125581801 69930 1713120 SOLE 1713120 COAST DISTRIBUTION COM 190345108 240 64956 SOLE 64956 COMCAST CORP CL A CL A 20030N101 14589 806889 SOLE 806889 COMMERCIAL METALS COM 201723103 32293 2228651 SOLE 2228651 COMMUNICATIONS SYS COM 203900105 3112 273422 SOLE 273422 COMSTOCK RESOURCES COM 205768203 323 14340 SOLE 14340 CONSOLIDATED COMM COM 209034107 761 40770 SOLE 40770 CORE MARK HOLDING COM 218681104 5709 184401 SOLE 184401 CVB FINL CORP COM 126600105 1165 155150 SOLE 155150 D R HORTON INC COM 23331A109 139 12516 SOLE 12516 DELTIC TIMBER CORP COM 247850100 58707 1310430 SOLE 1310430 DENBURY RESOURCES COM 247916208 128443 8083236 SOLE 8083236 DISCOVER FINANCIAL COM 254709108 44660 2677452 SOLE 2677452 EASTERN INS HLDGS COM 276534104 5594 538377 SOLE 538377 EATON CORP COM 278058102 1395 16910 SOLE 16910 EL PASO ELEC CO COM 283677854 1319 55470 SOLE 55470 ENCORE WIRE CORP COM 292562105 84350 4112614 SOLE 4112614 ENDEAVOUR INTL CORP COM 29259G101 1513 1172600 SOLE 1172600 ENSTAR GROUP LTD COM G3075P101 64515 888632 SOLE 888632 EOG RESOURCES INC COM 26875P101 9367 100753 SOLE 100753 EQUITY RESIDENTIAL COM 29476L107 504 10594 SOLE 10594 ESPEY MFG & ELECTRS COM 296650104 3877 179482 SOLE 179482 EVOLUTION PETROLEUM COM 30049A107 7370 1226294 SOLE 1226294 FAMILY DLR STORES COM 307000109 81180 1838305 SOLE 1838305 FIFTH THIRD BANCORP COM 316773100 40057 3329747 SOLE 3329747 FIRSTCITY FINANCIAL COM 33761X107 965 119997 SOLE 119997 FLIR SYS INC COM 302445101 10692 416034 SOLE 416034 FOOT LOCKER INC COM 344849104 65808 4529146 SOLE 4529146 FOSTER L B CO COM 350060109 2098 72498 SOLE 72498 FROZEN FOOD EXPRESS COM 359360104 58 20998 SOLE 20998 GATX CORP COM 361448103 64954 2215364 SOLE 2215364 GOLDMAN SACHS GROUP COM 38141G104 15447 106840 SOLE 106840 GOVERNMENT PPTYS COM 38376A103 39202 1468222 SOLE 1468222 GRANITE CONSTR INC COM 387328107 262 11500 SOLE 11500 GREENE CNTY BANCORP COM 394357107 798 47626 SOLE 47626 HALLWOOD GROUP INC COM 406364406 1421 41555 SOLE 41555 HASBRO INC COM 418056107 1251 28104 SOLE 28104 HEALTHCARE SERVICES COM 421906108 56219 2466816 SOLE 2466816 HEWLETT PACKARD CO COM 428236103 17173 408199 SOLE 408199 HF FINL CORP COM 404172108 1002 95608 SOLE 95608 HOME FEDERAL BANC COM 43710G105 5251 431476 SOLE 431476 HOME PPTYS INC COM 437306103 423 8000 SOLE 8000 HUDSON CITY BANCORP COM 443683107 56199 4583911 SOLE 4583911 HUMANA INC COM 444859102 1177 23425 SOLE 23425 HYATT HOTELS CORP CL A 448579102 42861 1146322 SOLE 1146322 I B M COM 459200101 381 2840 SOLE 2840 IMATION CORP COM 45245A107 7950 852044 SOLE 852044 INVESTORS BANCORP COM 46146P102 103346 8728586 SOLE 8728586 J ALEXANDER CORP COM 466096104 2195 532815 SOLE 532815 J.P. MORGAN CHASE COM 46625H100 22991 604072 SOLE 604072 JEFFERIES GROUP INC COM 472319102 88194 3886904 SOLE 3886904 JOHNSON & JOHNSON COM 478160104 19857 320475 SOLE 320475 KAISER ALUMINUM COM 483007704 101098 2362651 SOLE 2362651 KEARNY FINL CORP COM 487169104 2066 233926 SOLE 233926 KEYCORP COM 493267108 35086 4407839 SOLE 4407839 KINDER MORGAN EGY COM 494550106 4536 66220 SOLE 66220 KROGER CO COM 501044101 1111 51298 SOLE 51298 LADISH INC COM 505754200 1237 39740 SOLE 39740 LEE ENTERPRISES INC CL B 523768208 738 320700 SOLE 320700 LEUCADIA NATIONAL COM 527288104 144436 6115008 SOLE 6115008 LILLY, ELI AND COMP COM 532457108 737 20172 SOLE 20172 LIMONEIRA CO COM 532746104 1713 85050 SOLE 85050 LSB CORP COM 50215P100 1021 49000 SOLE 49000 MAGELLAN PETE CORP COM 559091301 2106 1114277 SOLE 1114277 MARCUS CORP COM 566330106 35898 3029400 SOLE 3029400 MARINEMAX INC COM 567908108 356 50592 SOLE 50592 MCCORMICK & CO INC COM 579780206 832 19793 SOLE 19793 MCDONALDS CORP COM 580135101 14698 197263 SOLE 197263 MCRAE INDS INC CL A 582757209 1622 130161 SOLE 130161 MEDTRONIC INC COM 585055106 12882 383614 SOLE 383614 MENS WEARHOUSE INC COM 587118100 87754 3688673 SOLE 3688673 MERCK & COMPANY COM 58933Y105 16859 457993 SOLE 457993 MF GLOBAL HLDGS LTD COM 55277J108 66468 9231604 SOLE 9231604 MICROSOFT CORP COM 594918104 16530 674959 SOLE 674959 MID-AMER APT CMNTYS COM 59522J103 466 8000 SOLE 8000 MOLEX INC CL A CL A 608554200 70131 4012065 SOLE 4012065 MOTORCAR PTS & ACC COM 620071100 3999 460698 SOLE 460698 NATIONAL FUEL & GAS COM 636180101 5181 100000 SOLE 100000 NAVIGATORS GROUP COM 638904102 546 12225 SOLE 12225 NEW ULM TELECOM INC COM 649060100 682 143640 SOLE 143640 NGAS RES INC COM 62912T103 2630 3090062 SOLE 3090062 NOBLE ENERGY INC COM 655044105 8664 115375 SOLE 115375 NORTHERN OIL & GAS COM 665531109 2167 127900 SOLE 127900 NORTHERN TR CORP COM 665859104 572 11851 SOLE 11851 NORTHROP GRUMMAN COM 666807102 16787 276873 SOLE 276873 OLYMPIC STEEL INC COM 68162K106 20952 911363 SOLE 911363 ONEBEACON INSURANCE CL A G67742109 57934 4054194 SOLE 4054194 ONEOK INC COM 682680103 54202 1203419 SOLE 1203419 ORAMED PHARM INC COM 68403P104 4 10000 SOLE 10000 ORIENTAL FINL GROUP COM 68618W100 37954 2853696 SOLE 2853696 PACIFIC PREMIER COM 69478X105 279 62778 SOLE 62778 PANHANDLE OIL & GAS CL A 698477106 985 39885 SOLE 39885 PENNEY J C INC COM 708160106 1768 65039 SOLE 65039 PETROHAWK ENERGY COM 716495106 42929 2659780 SOLE 2659780 PIONEER NATURAL RES COM 723787107 28861 443811 SOLE 443811 PIPER JAFFRAY COMP COM 724078100 305 10459 SOLE 10459 PLAINS ALL AMERN UNITLP 726503105 28186 448035 SOLE 448035 PLAINS EXPLORATION COM 726505100 1067 40000 SOLE 40000 PLUM CREEK TIMBER COM 729251108 77864 2205785 SOLE 2205785 PRICESMART INC COM 741511109 12151 417118 SOLE 417118 PROCTER & GAMBLE COM 742718109 2045 34107 SOLE 34107 RANGE RES CORP COM 75281A109 53544 1404258 SOLE 1404258 RAYMOND JAMES FIN COM 754730109 78981 3118075 SOLE 3118075 RAYTHEON CO COM 755111507 14468 316525 SOLE 316525 REGENCY AFFILIATES COM 758847305 504 114215 SOLE 114215 RESOLUTE ENERGY COR COM 76116A108 57552 5203611 SOLE 5203611 ROCK OF AGES CORP COM 772632105 924 226354 SOLE 226354 ROME BANCORP INC COM 77587P103 1316 140870 SOLE 140870 SCHEID VINEYARDS CL A 806403200 326 33210 SOLE 33210 SCHNITZER STL INDS CL A 806882106 86895 1799819 SOLE 1799819 SHENANDOAH TELECOM COM 82312B106 4081 224615 SOLE 224615 SHOE CARNIVAL INC COM 824889109 2581 127653 SOLE 127653 SL GREEN RLTY CORP COM 78440X101 133321 2105186 SOLE 2105186 SLM CORPORATION COM 78442P106 9322 807116 SOLE 807116 SMUCKER J M CO COM 832696405 15175 250699 SOLE 250699 SOTHEBYS COM 835898107 552 15000 SOLE 15000 SOUTHWESTERN ENERGY COM 845467109 7920 236845 SOLE 236845 SPECTRA ENERGY CORP COM 847560109 2010 89144 SOLE 89144 SPIRIT AEROSYSTEMS COM 848574109 35727 1792610 SOLE 1792610 ST JUDE MED INC COM 790849103 1727 43902 SOLE 43902 SUN BANCORP INC COM 86663B102 2815 551913 SOLE 551913 SUN HEALTHCARE GRP COM 866933401 44315 5232035 SOLE 5232035 SUPERIOR UNIFORM COM 868358102 3180 346403 SOLE 346403 SUPREME INDS INC CL A 868607102 209 93631 SOLE 93631 SWS GROUP INC COM 78503N107 643 89710 SOLE 89710 SYMETRA FINL CORP COM 87151Q106 49216 4705119 SOLE 4705119 SYNNEX CORP COM COM 87162W100 927 32960 SOLE 32960 SYNOVUS FINL CORP COM 87161C105 501 203630 SOLE 203630 SYSCO CORP COM 871829107 13878 486602 SOLE 486602 TANDY BRANDS ACCESS COM 875378101 2281 703998 SOLE 703998 TECH DATA CORP COM 878237106 100324 2489427 SOLE 2489427 TELLABS INC COM 879664100 99484 13353607 SOLE 13353607 TERRITORIAL BANCORP COM 88145X108 2323 138000 SOLE 138000 TESSCO TECHNOLOGIES COM 872386107 4882 323930 SOLE 323930 TEXAS INDS INC COM 882491103 2254 71500 SOLE 71500 TFS FINANCIAL CORP COM 87240R107 851 92635 SOLE 92635 THIRD CENTY BANCORP COM 884120106 175 72797 SOLE 72797 TRINITY INDS INC COM 896522109 97597 4382432 SOLE 4382432 TUESDAY MORNING COM 899035505 366 76812 SOLE 76812 ULTRA PETE CORP COM 903914109 40514 965090 SOLE 965090 UMB FINANCIAL CORP COM 902788108 85261 2401036 SOLE 2401036 UNITED FINANCIAL COM 91030T109 3846 284687 SOLE 284687 UNITED FIRE & CAS COM 910331107 23994 1131269 SOLE 1131269 UNITED TECHNOLOGIES COM 913017109 15171 212987 SOLE 212987 UNITEDHEALTH GROUP COM 91324P102 13552 385994 SOLE 385994 UNIVERSAL SEC INSTR COM 913821302 168 27351 SOLE 27351 VAIL RESORTS INC COM 91879Q109 121929 3249712 SOLE 3249712 VALERO ENERGY CORP COM 91913Y100 1245 71108 SOLE 71108 VENOCO INC COM 92275P307 3764 191727 SOLE 191727 VERIZON COMMUNICAT COM 92343V104 1954 59962 SOLE 59962 VIEWPOINT FINL GRP COM 92672A101 2937 317500 SOLE 317500 VODAFONE GROUP PLC COM 92857W209 13160 530423 SOLE 530423 VULCAN INTL CORP COM 929136109 1852 50738 SOLE 50738 WAL MART STORES INC COM 931142103 17587 328613 SOLE 328613 WALGREEN COMPANY COM 931422109 16066 479585 SOLE 479585 WARWICK VALLEY TEL COM 936750108 3546 250758 SOLE 250758 WEBSTER FINL CORP COM 947890109 30446 1733851 SOLE 1733851 WELLS FARGO & CO COM 949746101 756 30118 SOLE 30118 WESTERN UNION CO COM 959802109 11416 646080 SOLE 646080 WESTFIELD FINANCIAL COM 96008P104 4096 525180 SOLE 525180 WHITE MOUNTAINS INS COM G9618E107 71360 231343 SOLE 231343 WHITING PETE CORP COM 966387102 10984 115000 SOLE 115000 WINDSTREAM CORP COM 97381W104 772 62816 SOLE 62816 WINN DIXIE STORES COM 974280307 44451 6234352 SOLE 6234352 ZIMMER HLDGS INC COM 98956P102 864 16504 SOLE 16504 ZORAN CORP COM 98975F101 28334 3708670 SOLE 3708670 ISHARES TR US PFD UF PFD 464288687 418 10500 SOLE 10500 PENN VIRGINIA 4.50% NOTE 707882AA4 2925 3000000 SOLE 3000000 PROLOGIS 2.250% NOTE 743410AQ5 2225 2300000 SOLE 2300000 PROLOGIS 1.875% NOTE 743410AR3 1406 1500000 SOLE 1500000 BANK OF AMERICA PFDCON 060505682 1087 1105 SOLE 1105 WHITING PETROLEUM PFDCON 966387201 2635 11400 SOLE 11400 EQUITY RESIDENTIAL PFDCON 29476L883 455 8725 SOLE 8725 MFS INTERMARKET INC SH BEN 59318R103 253 29986 SOLE 29986 LEGG MASON INC 7.0 UNIT 524901303 3923 132100 SOLE 132100 PENN WEST ENERGY TR TRUNIT 707885109 326 15801 SOLE 15801 BANK OF AMERICA *W EXP 060505153 5180 2176300 SOLE 2176300 RESOLUTE ENERGY *W EXP 76116A116 4892 2811466 SOLE 2811466 PNC FINL SVCS GROUP *W EXP 693475121 647 61000 SOLE 61000 VALLEY NATL BANCORP *W EXP 919794131 480 218231 SOLE 218231 WELLS FARGO & CO *W EXP 949746119 473 60000 SOLE 60000 STERLING BANCSHARES *W EXP 858907116 425 310000 SOLE 310000 FIRST FINL BANCORP *W EXP 320209117 230 30000 SOLE 30000 4747289 235 -----END PRIVACY-ENHANCED MESSAGE-----