-----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, TgtPsOZEnvg/yG95GMt4Izx8YGjoS1dFpGlrE1zJV0ZWoRvNRdQQwXpKynAfb68e Gt2M7WRyMdbWXb+zbS4ctw== 0000902584-11-000002.txt : 20110211 0000902584-11-000002.hdr.sgml : 20110211 20110210173337 ACCESSION NUMBER: 0000902584-11-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110210 EFFECTIVENESS DATE: 20110211 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: 11593867 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 ari4q13fhr.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, 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 February 10, 2011 - ------------------------------------ ----------- ----------------- 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: 232 Form 13F Information Table Total Value ('000): 5494170 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, 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 230 2664 SOLE 2664 A T & T INC COM 00206R102 2515 85604 SOLE 85604 ACCENTURE PLC CL A G1151C101 1380 28465 SOLE 28465 ALBANY MOLECULAR COM 012423109 18362 3267274 SOLE 3267274 ALCOA INC COM 013817101 2289 148732 SOLE 148732 ALTRIA GROUP INC COM 02209S103 1089 44217 SOLE 44217 AMERCO INC COM 023586100 21451 223360 SOLE 223360 AMERICAN EXPRESS CO COM 025816109 15191 353937 SOLE 353937 AMERICAN RAILCAR COM 02916P103 58011 2621364 SOLE 2621364 AMERON INC COM 030710107 44284 579855 SOLE 579855 ANALOGIC CORP COM 032657207 51850 1047258 SOLE 1047258 ANDERSONS INC COM 034164103 993 27320 SOLE 27320 APACHE CORP COM 037411105 451 3786 SOLE 3786 APARTMENT INVST CL A 03748R101 624 24131 SOLE 24131 APPLE INC COM 037833100 689 2135 SOLE 2135 ARMSTRONG WORLD IND COM 04247X102 1505 35000 SOLE 35000 ASSISTED LIVING CON CL A 04544X300 43771 1345557 SOLE 1345557 AVALON HLDGS CORP CL A 05343P109 1026 375703 SOLE 375703 AVATAR HOLDINGS INC COM 053494100 1368 69032 SOLE 69032 AVNET INC COM 053807103 163766 4958106 SOLE 4958106 BANCO LATINOAMERICA SHS E P16994132 6933 375564 SOLE 375564 BANK AMER CORP COM 060505104 281 21073 SOLE 21073 BARNWELL INDS INC COM 068221100 297 82149 SOLE 82149 BECTON DICKINSON COM 075887109 14828 175436 SOLE 175436 BERKLEY W R CORP COM 084423102 41657 1521438 SOLE 1521438 BERKSHIRE HATHAWAY CL A 084670108 9154 76 SOLE 76 BERKSHIRE HATHAWAY CL B 084670702 16718 208689 SOLE 208689 BEXIL CORP COM 088577101 2778 88200 SOLE 88200 BIGBAND NETWORKS COM 089750509 448 160000 SOLE 160000 BOSS HLDGS INC COM 10011B200 1008 138150 SOLE 138150 BOSWELL J G CO COM 101205102 1111 1481 SOLE 1481 CABOT OIL & GAS COM 127097103 184973 4887001 SOLE 4887001 CAGLES INC CL A CL A 127703106 2755 316649 SOLE 316649 CARRIZO OIL & GAS COM 144577103 104157 3019923 SOLE 3019923 CASEYS GEN STORES COM 147528103 83911 1973901 SOLE 1973901 CATERPILLAR INC COM 149123101 19417 207315 SOLE 207315 CENTER FINL CORP COM 15146E102 2885 380666 SOLE 380666 CENTERPOINT ENERGY COM 15189T107 2550 162209 SOLE 162209 CENTURYLINK INC COM 156700106 2159 46766 SOLE 46766 CEPHALON INC COM 156708109 1077 17454 SOLE 17454 CHESAPEAKE ENERGY COM 165167107 11694 451320 SOLE 451320 CHEVIOT FINL CORP COM 166774109 2020 227005 SOLE 227005 CHEVRON CORPORATION COM 166764100 19321 211737 SOLE 211737 CHICAGO RIVET COM 168088102 1147 65700 SOLE 65700 CHICOS FAS INC COM 168615102 47794 3972934 SOLE 3972934 CHUBB CORP COM 171232101 1524 25560 SOLE 25560 CINCINNATI FINL COM 172062101 1298 40954 SOLE 40954 CIT GROUP INC COM 125581801 103761 2203004 SOLE 2203004 COAST DISTRIBUTION COM 190345108 251 64956 SOLE 64956 COMCAST CORP CL A 20030N101 17787 809583 SOLE 809583 COMMERCIAL METALS COM 201723103 1657 99900 SOLE 99900 COMMUNICATIONS SYS COM 203900105 3842 273422 SOLE 273422 CORE MARK HOLDING COM 218681104 25099 705217 SOLE 705217 CVB FINL CORP COM 126600105 1345 155150 SOLE 155150 DELTIC TIMBER CORP COM 247850100 73048 1296548 SOLE 1296548 DENBURY RESOURCES COM 247916208 150536 7885620 SOLE 7885620 DISCOVER FINANCIAL COM 254709108 62268 3360370 SOLE 3360370 EASTERN INS HLDGS COM 276534104 6407 538377 SOLE 538377 EATON CORP COM 278058102 1720 16948 SOLE 16948 EL PASO ELEC CO COM 283677854 1527 55470 SOLE 55470 ENCORE WIRE CORP COM 292562105 102007 4067279 SOLE 4067279 ENDEAVOUR INTL COM 29259G200 2312 167514 SOLE 167514 ENSTAR GROUP LTD COM G3075P101 76105 899795 SOLE 899795 EOG RESOURCES INC COM 26875P101 2182 23873 SOLE 23873 EQUITY RESIDENTIAL COM 29476L107 554 10658 SOLE 10658 ESPEY MFG & ELECTRS COM 296650104 4177 179482 SOLE 179482 EVOLUTION PETROLEUM COM 30049A107 8002 1227291 SOLE 1227291 FAMILY DLR STORES COM 307000109 67976 1367458 SOLE 1367458 FIFTH THIRD BANCORP COM 316773100 49971 3404002 SOLE 3404002 FIRSTCITY FINANCIAL COM 33761X107 972 119997 SOLE 119997 FOOT LOCKER INC COM 344849104 91271 4651917 SOLE 4651917 FOSTER L B CO COM 350060109 2968 72498 SOLE 72498 FROZEN FOOD EXPRESS COM 359360104 93 20998 SOLE 20998 GATX CORP COM 361448103 78496 2224955 SOLE 2224955 GOLDMAN SACHS GROUP COM 38141G104 18194 108195 SOLE 108195 GOVERNMENT PPTYS COM 38376A103 41663 1555169 SOLE 1555169 GREENE CNTY BANCORP COM 394357107 927 47626 SOLE 47626 HALLWOOD GROUP INC COM 406364406 1098 41555 SOLE 41555 HANCOCK JOHN PFD COM 41013X106 1417 76200 SOLE 76200 HASBRO INC COM 418056107 1330 28199 SOLE 28199 HEALTHCARE SERVICES COM 421906108 60428 3714049 SOLE 3714049 HERITAGE FINANCIAL COM 42726X102 3353 270000 SOLE 270000 HEWLETT PACKARD CO COM 428236103 18844 447604 SOLE 447604 HF FINL CORP COM 404172108 1033 95608 SOLE 95608 HOME FEDERAL BANC COM 43710G105 5176 421824 SOLE 421824 HOME PPTYS INC COM 437306103 444 8000 SOLE 8000 HUDSON CITY BANCORP COM 443683107 61581 4833691 SOLE 4833691 HUMANA INC COM 444859102 1290 23569 SOLE 23569 HYATT HOTELS CORP CL A 448579102 63055 1377947 SOLE 1377947 I B M COM 459200101 425 2894 SOLE 2894 IMATION CORP COM 45245A107 8919 865087 SOLE 865087 INTERNATIONAL SPEED CL A 460335201 6911 264075 SOLE 264075 INVESTORS BANCORP COM 46146P102 108920 8301812 SOLE 8301812 J ALEXANDER CORP COM 466096104 2797 532815 SOLE 532815 J.P. MORGAN CHASE COM 46625H100 25776 607640 SOLE 607640 JEFFERIES GROUP INC COM 472319102 52216 1960811 SOLE 1960811 JOHNSON & JOHNSON COM 478160104 22204 359005 SOLE 359005 KAISER ALUMINUM COM 483007704 134783 2690821 SOLE 2690821 KEARNY FINL CORP COM 487169104 1095 127297 SOLE 127297 KEYCORP COM 493267108 41264 4662572 SOLE 4662572 KINDER MORGAN EGY UT LTD 494550106 4653 66220 SOLE 66220 KOHLS CORP COM 500255104 16628 305994 SOLE 305994 KROGER CO COM 501044101 705 31536 SOLE 31536 LADISH INC COM 505754200 1932 39740 SOLE 39740 LEUCADIA NATIONAL COM 527288104 180792 6195743 SOLE 6195743 LILLY, ELI AND COMP COM 532457108 895 25552 SOLE 25552 LIMONEIRA CO COM 532746104 2441 85050 SOLE 85050 MAGELLAN PETE CORP COM 559091301 4518 1574203 SOLE 1574203 MARCUS CORP COM 566330106 41522 3128990 SOLE 3128990 MARINEMAX INC COM 567908108 473 50592 SOLE 50592 MCCORMICK & CO INC COM 579780206 1588 34122 SOLE 34122 MCDONALDS CORP COM 580135101 15410 200757 SOLE 200757 MCRAE INDS INC CL A 582757209 1697 130161 SOLE 130161 MEDTRONIC INC COM 585055106 14463 389930 SOLE 389930 MENS WEARHOUSE INC COM 587118100 95851 3837111 SOLE 3837111 MERCK & COMPANY COM 58933Y105 16758 464970 SOLE 464970 MERIDIAN INTERSTAT COM 58964Q104 2388 202539 SOLE 202539 MF GLOBAL HLDGS LTD COM 55277J108 87297 10442188 SOLE 10442188 MICROSOFT CORP COM 594918104 23480 841285 SOLE 841285 MID-AMER APT CMNTYS COM 59522J103 508 8000 SOLE 8000 MOLEX INC CL A CL A 608554200 89268 4730694 SOLE 4730694 MOTORCAR PARTS COM 620071100 6008 460698 SOLE 460698 NATIONAL FUEL & GAS COM 636180101 11268 171723 SOLE 171723 NAVIGATORS GROUP COM 638904102 616 12225 SOLE 12225 NEW ULM TELECOM INC COM 649060100 754 143640 SOLE 143640 NOBLE ENERGY INC COM 655044105 7351 85397 SOLE 85397 NORTHERN OIL & GAS COM 665531109 3480 127900 SOLE 127900 NORTHERN TR CORP COM 665859104 659 11889 SOLE 11889 NORTHROP GRUMMAN COM 666807102 18054 278704 SOLE 278704 OLYMPIC STEEL INC COM 68162K106 28363 988956 SOLE 988956 ONEBEACON INSURANCE CL A G67742109 62532 4124826 SOLE 4124826 ONEOK INC COM 682680103 67864 1223433 SOLE 1223433 ORAMED PHARM INC COM 68403P104 3 10000 SOLE 10000 ORIENTAL FINL GROUP COM 68618W100 40110 3211406 SOLE 3211406 ORITANI FINL CORP COM 68633D103 6144 502000 SOLE 502000 PACIFIC PREMIER COM 69478X105 524 80906 SOLE 80906 PANHANDLE OIL & GAS CL A 698477106 1094 39885 SOLE 39885 PENNEY J C INC COM 708160106 2102 65064 SOLE 65064 PETROHAWK ENERGY COM 716495106 47872 2623134 SOLE 2623134 PIMCO CORPORATE INC COM 72200U100 2660 171700 SOLE 171700 PIMCO CORPORATE OPP COM 72201B101 2730 160900 SOLE 160900 PIONEER NATURAL RES COM 723787107 15940 183594 SOLE 183594 PIPER JAFFRAY CO COM 724078100 366 10459 SOLE 10459 PLAINS ALL AMERICAN UNIT 726503105 27543 438650 SOLE 438650 PLUM CREEK TIMBER COM 729251108 86248 2303007 SOLE 2303007 PRICESMART INC COM 741511109 8699 228742 SOLE 228742 PROCTER & GAMBLE COM 742718109 2149 33404 SOLE 33404 RANGE RES CORP COM 75281A109 67316 1496582 SOLE 1496582 RAYMOND JAMES FINAN COM 754730109 102893 3146584 SOLE 3146584 RAYTHEON CO COM 755111507 14918 321925 SOLE 321925 RESOLUTE ENERGY COM 76116A108 75486 5114253 SOLE 5114253 ROCK OF AGES CORP COM 772632105 1184 226354 SOLE 226354 ROME BANCORP INC COM 77587P103 1693 140870 SOLE 140870 SABRA HEALTH CARE COM 78573L106 37508 2038469 SOLE 2038469 SCHEID VINEYARDS CL A 806403200 286 33210 SOLE 33210 SCHNITZER STL INDS CL A 806882106 118670 1787466 SOLE 1787466 SHENANDOAH TELECOMM COM 82312B106 4206 224580 SOLE 224580 SHOE CARNIVAL INC COM 824889109 3366 124653 SOLE 124653 SL GREEN RLTY CORP COM 78440X101 123797 1833762 SOLE 1833762 SLM CORPORATION COM 78442P106 10281 816625 SOLE 816625 SMUCKER J M CO COM 832696405 18739 285443 SOLE 285443 SOTHEBYS COM 835898107 364 8097 SOLE 8097 SOUTHWESTERN ENERGY COM 845467109 10926 291915 SOLE 291915 SPECTRA ENERGY CORP COM 847560109 2236 89484 SOLE 89484 SPIRIT AEROSYSTEMS COM 848574109 77777 3737495 SOLE 3737495 ST JUDE MED INC COM 790849103 17899 418692 SOLE 418692 STAGE STORES INC COM 85254C305 24920 1437118 SOLE 1437118 STIFEL FINANCIAL COM 860630102 267 4300 SOLE 4300 SUN BANCORP INC COM 86663B102 2562 552140 SOLE 552140 SUN HEALTHCARE GRP COM 86677E100 25285 1997222 SOLE 1997222 SUPERIOR UNIFORM COM 868358102 3810 346403 SOLE 346403 SUPREME INDS INC CL A 868607102 287 93631 SOLE 93631 SYMETRA FINL CORP COM 87151Q106 78393 5722149 SOLE 5722149 SYNNEX CORP COM COM 87162W100 1033 33107 SOLE 33107 SYNOVUS FINL CORP COM 87161C105 540 204585 SOLE 204585 SYSCO CORP COM 871829107 19439 661192 SOLE 661192 TANDY BRANDS ACCESS COM 875378101 1999 703998 SOLE 703998 TECH DATA CORP COM 878237106 119629 2717606 SOLE 2717606 TELLABS INC COM 879664100 85223 12569695 SOLE 12569695 TERRITORIAL BANCORP COM 88145X108 2748 138000 SOLE 138000 TESSCO TECHNOLOGIES COM 872386107 5165 323834 SOLE 323834 TEXAS INDS INC COM 882491103 3273 71500 SOLE 71500 THIRD CENTY BANCORP COM 884120106 200 72797 SOLE 72797 TRINITY INDS INC COM 896522109 137040 5149960 SOLE 5149960 TUESDAY MORNING COM 899035505 406 76812 SOLE 76812 ULTRA PETE CORP COM 903914109 48211 1009227 SOLE 1009227 UMB FINANCIAL CORP COM 902788108 96137 2319910 SOLE 2319910 UNITED FINANCIAL COM 91030T109 4347 284687 SOLE 284687 UNITED FIRE & CAS COM 910331107 26824 1201779 SOLE 1201779 UNITED TECHNOLOGIES COM 913017109 16911 214831 SOLE 214831 UNITEDHEALTH GROUP COM 91324P102 18773 519875 SOLE 519875 UNIVERSAL SEC INSTR COM 913821302 203 27351 SOLE 27351 VAIL RESORTS INC COM 91879Q109 162205 3116927 SOLE 3116927 VALERO ENERGY CORP COM 91913Y100 1641 70977 SOLE 70977 VERIZON COMMUNICAT COM 92343V104 3455 96556 SOLE 96556 VIEWPOINT FINL GRP COM 92672A101 3712 317500 SOLE 317500 VODAFONE GROUP PLC ADR 92857W209 14199 537043 SOLE 537043 VULCAN INTL CORP COM 929136109 1852 50738 SOLE 50738 WAL MART STORES INC COM 931142103 22550 418135 SOLE 418135 WALGREEN COMPANY COM 931422109 18752 481326 SOLE 481326 WARWICK VALLEY TEL COM 936750108 3498 250758 SOLE 250758 WELLS FARGO & CO COM 949746101 933 30110 SOLE 30110 WESTERN UNION CO COM 959802109 12167 655175 SOLE 655175 WESTFIELD FINANCIAL COM 96008P104 4858 525180 SOLE 525180 WHITE MOUNTAINS INS COM G9618E107 76160 226938 SOLE 226938 WHITING PETE CORP COM 966387102 12891 110000 SOLE 110000 WINDSTREAM CORP COM 97381W104 1247 89424 SOLE 89424 WINN DIXIE STORES COM 974280307 6507 906238 SOLE 906238 ZORAN CORP COM 98975F101 3516 399600 SOLE 399600 PROLOGIS 1.875% NOTE 743410AR3 1187 1200000 SOLE 1200000 PROLOGIS 2.250% NOTE 743410AQ5 2084 2100000 SOLE 2100000 WHITING PETROLEUM PFD 966387201 3156 11400 SOLE 11400 BANK OF AMERICA PFD 060505682 1890 1975 SOLE 1975 ISHARES TR RUSSL RUSL 464287630 4987 70147 SOLE 70147 JOHN HANCOCK PFD SH BEN 41013W108 1423 76200 SOLE 76200 MFS INTERMARKET INC SH BEN 59318R103 253 29986 SOLE 29986 LEGG MASON INC UNIT 524901303 4407 130000 SOLE 130000 ISHARES TR US PFD US PFD 464288687 679 17500 SOLE 17500 PENN WEST ENERGY US PFD 707885109 377 15801 SOLE 15801 BANK OF AMERICA *W EXP 060505153 2474 926700 SOLE 926700 COMERICA INC WT *W EXP 200340115 644 39000 SOLE 39000 FIRST FINL BANCORP *W EXP 320209117 392 49000 SOLE 49000 HARTFORD FINL SVCS *W EXP 416515120 3411 189000 SOLE 189000 JPMORGAN CHASE *W EXP 46634E114 564 39000 SOLE 39000 PNC FINL SVCS GRP *W EXP 693475121 1068 74000 SOLE 74000 RESOLUTE ENERGY *W EXP 76116A116 8409 2611466 SOLE 2611466 STERLING BANCSHARES *W EXP 858907116 897 353000 SOLE 353000 TCF FINL CORP WT *W EXP 872275128 199 37000 SOLE 37000 TEXAS CAPITAL BANC *W EXP 88224Q115 125 10900 SOLE 10900 VALLEY NATL BANCORP *W EXP 919794131 671 263231 SOLE 263231 WASHINGTON FED INC *W EXP 938824117 110 20000 SOLE 20000 WELLS FARGO & CO *W EXP 949746119 831 75000 SOLE 75000 5494170 232 -----END PRIVACY-ENHANCED MESSAGE-----