0000902584-11-000007.txt : 20111115
0000902584-11-000007.hdr.sgml : 20111115
20111115142506
ACCESSION NUMBER: 0000902584-11-000007
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111115
DATE AS OF CHANGE: 20111115
EFFECTIVENESS DATE: 20111115
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: 111206804
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
ari3q11hr.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, 2011
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 14, 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: 239
Form 13F Information Table Total Value ('000): 4249528
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, 2011
ADVISORY RESEARCH, INC. FORM 13F INFOMRATION TABLE
NAME OF ISSUER TITLE CUSIP VALUE SH/P PUTINV OTR VOTE AUTHTY
OF CL AMT('000) CALDSC MGR SOLE SHRD NONE
3M COMPANY COM 88579Y101 406 5650 SOLE 5650
A T & T INC (NEW) COM 00206R102 2002 70209 SOLE 70209
ACCENTURE PLC CL A G1151C101 1652 31366 SOLE 31366
ADAMS RES & ENERGY COM 006351308 1772 88139 SOLE 88139
AGREE REALTY CORP CO COM 008492100 523 24000 SOLE 24000
ALAMO GROUP INC COM 011311107 452 21720 SOLE 21720
ALCOA INC COM 013817101 1305 136386 SOLE 136386
ALTRIA GROUP INC COM 02209S103 1291 48140 SOLE 48140
AMERCO INC COM 023586100 17602 281865 SOLE 281865
AMERICAN EXPRESS CO COM 025816109 16109 358781 SOLE 358781
AMERICAN RAILCAR COM 02916P103 33641 2187329 SOLE 2187329
AMERICAN SAFETY INS COM G02995101 2163 117549 SOLE 117549
AMERON INC COM 030710107 922 10860 SOLE 10860
ANALOGIC CORP COM 032657207 40197 885207 SOLE 885207
ANNALY MTG MGMT INC COM 035710409 14687 883165 SOLE 883165
APACHE CORP COM 037411105 305 3796 SOLE 3796
APARTMENT INVT & MGM CL A 03748R101 530 23960 SOLE 23960
APPLE INC COM 037833100 803 2107 SOLE 2107
ASSISTED LIVING CONC CL A 04544X300 32944 2600136 SOLE 2600136
ASTRAZENECA PLC COM 046353108 688 15500 SOLE 15500
ATLAS AIR WORLDWIDE COM 049164205 33010 991599 SOLE 991599
AVALON HLDGS CORP CL A 05343P109 842 375703 SOLE 375703
AVATAR HOLDINGS INC COM 053494100 574 70110 SOLE 70110
AVNET INC COM 053807103 117266 4496395 SOLE 4496395
BANCO LATINOAMERICAN COM P16994132 5169 339383 SOLE 339383
BANCO SANTANDER BRAS COM 05967A107 107 14658 SOLE 14658
BARNWELL INDS INC COM 068221100 287 82149 SOLE 82149
BECTON DICKINSON COM 075887109 13313 181568 SOLE 181568
BERKLEY W R CORP COM 084423102 41525 1398618 SOLE 1398618
BERKSHIRE HATHAWAY COM 084670108 7903 74 SOLE 74
BERKSHIRE HATHAWAY CL B 084670702 15241 214542 SOLE 214542
BERKSHIRE HILLS BANC COM 084680107 1402 75901 SOLE 75901
BEXIL CORP COM 088577101 1435 88200 SOLE 88200
BOSS HLDGS INC COM 10011B200 1091 138150 SOLE 138150
BOSWELL J G CO COM 101205102 1000 1481 SOLE 1481
CABOT OIL & GAS CORP COM 127097103 167710 2708926 SOLE 2708926
CAGLES INC CL A CL A 127703106 1200 316649 SOLE 316649
CAPITALSOURCE INC CO COM 14055X102 15021 2446393 SOLE 2446393
CAPITOL FEDERAL FIN COM 14057J101 866 81982 SOLE 81982
CAPSTEAD MTG CORP CO COM 14067E506 1916 166000 SOLE 166000
CARRIZO OIL & GAS COM 144577103 47852 2219995 SOLE 2219995
CASEYS GEN STORES COM 147528103 81243 1861247 SOLE 1861247
CATERPILLAR INC COM 149123101 15056 203897 SOLE 203897
CENTER FINL CORP COM 15146E102 1199 255666 SOLE 255666
CENTERPOINT ENERGY COM 15189T107 2389 121777 SOLE 121777
CENTURYLINK INC. COM 156700106 953 28768 SOLE 28768
CHESAPEAKE ENERGY CO COM 165167107 12929 506046 SOLE 506046
CHEVIOT FINL CORP COM 166774109 1948 227005 SOLE 227005
CHEVRON CORPORATION COM 166764100 19364 209138 SOLE 209138
CHICAGO RIVET & MACH COM 168088102 1035 65700 SOLE 65700
CHICOS FAS INC COM 168615102 37999 3324490 SOLE 3324490
CHINA YUCHAI INTL LT COM G21082105 1016 69666 SOLE 69666
CHUBB CORP COM 171232101 1648 27471 SOLE 27471
CIMAREX ENERGY CO COM 171798101 512 9200 SOLE 9200
CINCINNATI FINL CORP COM 172062101 1164 44214 SOLE 44214
CIT GROUP INC COM 125581801 67623 2226646 SOLE 2226646
COAST DISTRIBUTION COM 190345108 172 64956 SOLE 64956
COLGATE PALMOLIVE CO COM 194162103 299 3371 SOLE 3371
COMCAST CORP CL A CL A 20030N101 16675 797069 SOLE 797069
COMMONWEALTH REIT COM 203233101 40716 2146350 SOLE 2146350
COMMUNICATIONS SYS COM 203900105 2709 208422 SOLE 208422
CORE MARK HOLDING CO COM 218681104 43279 1415274 SOLE 1415274
CSR PLC COM 12640Y205 459 35340 SOLE 35340
CVB FINL CORP COM 126600105 809 105150 SOLE 105150
DELTIC TIMBER CORP COM 247850100 66063 1106961 SOLE 1106961
DENBURY RESOURCES COM 247916208 88429 7689486 SOLE 7689486
DISCOVER FINANCIAL COM 254709108 66025 2878175 SOLE 2878175
EASTERN INS HLDGS COM 276534104 5982 454877 SOLE 454877
EL PASO ELEC CO COM 283677854 446 13910 SOLE 13910
EMERSON ELEC CO COM 291011104 331 8005 SOLE 8005
ENCANA CORP COM 292505104 1917 99801 SOLE 99801
ENCORE WIRE CORP COM 292562105 73712 3581726 SOLE 3581726
ENDEAVOUR INTL COM 29259G200 23294 2918990 SOLE 2918990
ENSTAR GROUP LIMITED COM G3075P101 71531 751139 SOLE 751139
EOG RESOURCES INC COM 26875P101 380 5356 SOLE 5356
ESPEY MFG & ELECTRS COM 296650104 3582 154450 SOLE 154450
EV ENERGY PARTNERS COM 26926V107 36320 506700 SOLE 506700
EVOLUTION PETROLEUM COM 30049A107 10745 1522002 SOLE 1522002
EXXON MOBIL CORP COM 30231G102 252 3464 SOLE 3464
FAMILY DLR STORES COM 307000109 62079 1220585 SOLE 1220585
FAR EAST ENERGY CORP COM 307325100 1781 9373247 SOLE 9373247
FIFTH THIRD BANCORP COM 316773100 32299 3197932 SOLE 3197932
FIRSTCITY FINANCIAL COM 33761X107 797 119997 SOLE 119997
FOOT LOCKER INC COM 344849104 121528 6049171 SOLE 6049171
FOSTER L B CO COM 350060109 1139 51254 SOLE 51254
FRANCE TELECOM COM 35177Q105 561 34300 SOLE 34300
FROZEN FOOD EXPRESS COM 359360104 42 20998 SOLE 20998
FUELCELL ENERGY INC COM 35952H106 31 37000 SOLE 37000
GASTAR EXPL LTD COM 367299203 123 41000 SOLE 41000
GATX CORP COM 361448103 58566 1889826 SOLE 1889826
GENERAL DYNAMICS COM 369550108 273 4794 SOLE 4794
GLAXOSMITHKLINE PLC COM 37733W105 793 19200 SOLE 19200
GMX RES INC COM COM 38011M108 74 32750 SOLE 32750
GOODRICH PETE CORP COM 382410405 853 72125 SOLE 72125
GOVERNMENT PPTYS INC COM 38376A103 1051 48860 SOLE 48860
GREENE CNTY BANCORP COM 394357107 893 47626 SOLE 47626
HALLWOOD GROUP INC COM 406364406 367 41555 SOLE 41555
HARRIS CORP COM 413875105 5236 153227 SOLE 153227
HASBRO INC COM 418056107 922 28261 SOLE 28261
HATTERAS FINL CORP COM 41902R103 2936 116700 SOLE 116700
HEALTHCARE SERVICES COM 421906108 50271 3114709 SOLE 3114709
HERITAGE FINANCIAL COM 42726X102 2812 270604 SOLE 270604
HEWLETT PACKARD CO COM 428236103 10372 462011 SOLE 462011
HF FINL CORP COM 404172108 803 95608 SOLE 95608
HOME FEDERAL BANCORP COM 43710G105 3296 421449 SOLE 421449
HOME PPTYS INC COM 437306103 965 17000 SOLE 17000
HYATT HOTELS CORP CL A 448579102 45478 1449744 SOLE 1449744
I B M COM 459200101 916 5238 SOLE 5238
IMATION CORP COM 45245A107 6361 870202 SOLE 870202
INTERNATIONAL SPEEDW CL A 460335201 29932 1310495 SOLE 1310495
INVESTORS BANCORP COM 46146P102 83564 6616271 SOLE 6616271
IVANHOE ENERGY INC COM 465790103 807 754637 SOLE 754637
J ALEXANDER CORP COM 466096104 3330 532815 SOLE 532815
J.P. MORGAN CHASE COM 46625H100 20680 686578 SOLE 686578
JEFFERIES GROUP INC COM 472319102 35271 2842144 SOLE 2842144
JOHNSON & JOHNSON COM 478160104 23764 373118 SOLE 373118
KAISER ALUMINUM CORP COM 483007704 120579 2723114 SOLE 2723114
KEYCORP COM 493267108 29456 4967321 SOLE 4967321
KINDER MORGAN EGY PT COM 494550106 4391 64220 SOLE 64220
KOHLS CORP COM 500255104 15346 312539 SOLE 312539
LEE ENTERPRISES INC COM 523768109 250 320900 SOLE 320900
LEUCADIA NATIONAL CO COM 527288104 104694 4616123 SOLE 4616123
LILLY, ELI AND COMPA COM 532457108 1027 27783 SOLE 27783
LIMONEIRA CO COM 532746104 1215 85050 SOLE 85050
MAGELLAN PETE CORP COM 559091301 1845 1550103 SOLE 1550103
MARCUS CORP COM 566330106 24110 2423162 SOLE 2423162
MARINEMAX INC COM 567908108 420 64942 SOLE 64942
MCCORMICK & CO INC COM 579780206 1553 33639 SOLE 33639
MCDONALDS CORP COM 580135101 18018 205167 SOLE 205167
MCRAE INDS INC CL A CL A 582757209 1689 130161 SOLE 130161
MEDTRONIC INC COM 585055106 13356 401819 SOLE 401819
MENS WEARHOUSE INC COM 587118100 83375 3196886 SOLE 3196886
MERCK & COMPANY COM 58933Y105 15972 488442 SOLE 488442
MERIDIAN INTERSTAT COM 58964Q104 4161 381354 SOLE 381354
MF GLOBAL HLDGS LTD COM 55277J108 38547 9333409 SOLE 9333409
MICROSOFT CORP COM 594918104 21546 865667 SOLE 865667
MID-AMER APT CMNTYS COM 59522J103 1144 19000 SOLE 19000
MOLEX INC CL A CL A 608554200 79592 4715170 SOLE 4715170
MOTORCAR PTS & ACCES COM 620071100 749 90958 SOLE 90958
MOTOROLA SOLUTIONS COM 620076307 11797 281543 SOLE 281543
NAVIGATORS GROUP INC COM 638904102 16556 383161 SOLE 383161
NEW ULM TELECOM INC COM 649060100 891 143640 SOLE 143640
NORTHERN OIL & GAS COM 665531109 1357 69989 SOLE 69989
NORTHERN TR CORP COM 665859104 422 12059 SOLE 12059
NORTHROP GRUMMAN COM 666807102 13325 255422 SOLE 255422
OLYMPIC STEEL INC COM 68162K106 15851 935702 SOLE 935702
ONEBEACON INSURANCE CL A G67742109 46399 3401678 SOLE 3401678
ONEOK INC COM 682680103 52405 793540 SOLE 793540
ORAMED PHARM INC COM 68403P104 3 10000 SOLE 10000
ORIENTAL FINL GROUP COM 68618W100 28701 2968010 SOLE 2968010
ORITANI FINL CORP COM 68633D103 5305 412550 SOLE 412550
PACIFIC PREMIER BANC COM 69478X105 477 80906 SOLE 80906
PANHANDLE OIL CL A 698477106 820 28910 SOLE 28910
PENN VIRGINIA CORP COM 707882106 68 12250 SOLE 12250
PENNEY J C INC COM 708160106 54446 2033094 SOLE 2033094
PEPSICO INC COM 713448108 14295 230935 SOLE 230935
PETROQUEST ENERGY COM 716748108 139 25250 SOLE 25250
PIMCO CORPORATE INC COM 72200U100 6388 453050 SOLE 453050
PIMCO CORPORATE COM 72201B101 6125 370285 SOLE 370285
PIONEER NATURAL RES COM 723787107 11393 173232 SOLE 173232
PIPER JAFFRAY COMP COM 724078100 1682 93823 SOLE 93823
PLAINS ALL AMERN COM 726503105 23784 403659 SOLE 403659
PLAINS EXPLORATION COM 726505100 5223 230000 SOLE 230000
PLUM CREEK TIMBER CO COM 729251108 82019 2362967 SOLE 2362967
PROCTER & GAMBLE COM 742718109 2190 34667 SOLE 34667
RANGE RES CORP COM 75281A109 70919 1213119 SOLE 1213119
RAYMOND JAMES FINAN COM 754730109 74883 2884560 SOLE 2884560
RAYTHEON CO COM 755111507 12134 296893 SOLE 296893
REGENCY AFFILIATES COM 758847404 634 114215 SOLE 114215
RESOLUTE ENERGY CORP COM 76116A108 47566 4187120 SOLE 4187120
REX ENERGY CORP COM 761565100 252 19950 SOLE 19950
RICHARDSON ELECTRS COM 763165107 5287 388478 SOLE 388478
RUBY TUESDAY INC COM 781182100 279 39000 SOLE 39000
SABRA HEALTH CARE COM 78573L106 17722 1857676 SOLE 1857676
SCHEID VINEYARDS INC CL A 806403200 266 33210 SOLE 33210
SCHNITZER STL INDS CL A 806882106 53619 1457027 SOLE 1457027
SENECA FOODS CORP CL A 817070501 8596 434139 SOLE 434139
SHENANDOAH TELECOMM COM 82312B106 2723 244456 SOLE 244456
SHOE CARNIVAL INC COM 824889109 2234 94653 SOLE 94653
SL GREEN RLTY CORP COM 78440X101 91275 1569640 SOLE 1569640
SLM CORPORATION COM 78442P106 3545 284709 SOLE 284709
SM ENERGY CO COM 78454L100 6065 100000 SOLE 100000
SMUCKER J M CO COM 832696405 21315 292426 SOLE 292426
SOUTHERN CO COM 842587107 870 20535 SOLE 20535
SPIRIT AEROSYSTEMS CL A 848574109 87620 5493416 SOLE 5493416
ST JUDE MED INC COM 790849103 13411 370569 SOLE 370569
STAGE STORES INC COM 85254C305 31482 2269783 SOLE 2269783
SUN BANCORP INC COM 86663B102 1328 501113 SOLE 501113
SUPERIOR UNIFORM INC COM 868358102 3845 346403 SOLE 346403
SUPREME INDS INC CL A 868607102 193 93631 SOLE 93631
SYMETRA FINL CORP COM 87151Q106 41091 5041877 SOLE 5041877
SYNNEX CORP COM 87162W100 892 34060 SOLE 34060
SYSCO CORP COM 871829107 16183 624837 SOLE 624837
SYSTEMAX INC COM 871851101 406 31927 SOLE 31927
TANDY BRANDS ACCESS COM 875378101 817 703998 SOLE 703998
TARGET CORP COM 87612E106 15947 325180 SOLE 325180
TECH DATA CORP COM 878237106 104591 2419409 SOLE 2419409
TERRITORIAL BANCORP COM 88145X108 2643 138000 SOLE 138000
TESSCO TECHNOLOGIES COM 872386107 4564 343432 SOLE 343432
TEXAS INDS INC COM 882491103 1476 46500 SOLE 46500
THIRD CENTY BANCORP COM 884120106 124 72797 SOLE 72797
TRIANGLE PETE CORP COM 89600B201 90 25000 SOLE 25000
TRINITY INDS INC COM 896522109 92750 4332083 SOLE 4332083
TUESDAY MORNING CORP COM 899035505 270 76812 SOLE 76812
ULTRA PETE CORP COM 903914109 25569 922414 SOLE 922414
UMB FINANCIAL CORP COM 902788108 6012 187400 SOLE 187400
UNILEVER PLC COM 904767704 16735 536560 SOLE 536560
UNITED FINANCIAL BAN COM 91030T109 3555 259687 SOLE 259687
UNITED FIRE & CAS CO COM 910331107 19494 1102002 SOLE 1102002
UNITED TECHNOLOGIES COM 913017109 15239 216581 SOLE 216581
UNITEDHEALTH GROUP COM 91324P102 16247 352280 SOLE 352280
UNIVERSAL AMERICAN COM 91338E101 891 88575 SOLE 88575
UNIVERSAL SEC INSTRS COM 913821302 150 27351 SOLE 27351
VAIL RESORTS INC COM 91879Q109 106049 2806279 SOLE 2806279
VALERO ENERGY CORP COM 91913Y100 282 15843 SOLE 15843
VENOCO INC COM 92275P307 1999 226859 SOLE 226859
VERIZON COMM COM 92343V104 3888 105639 SOLE 105639
VIEWPOINT FINL GROUP COM 92672A101 3635 317500 SOLE 317500
VODAFONE GROUP COM 92857W209 14121 550293 SOLE 550293
VULCAN INTL CORP COM 929136109 1712 50738 SOLE 50738
WAL MART STORES INC COM 931142103 22774 438804 SOLE 438804
WALGREEN COMPANY COM 931422109 14943 454341 SOLE 454341
WARWICK VALLEY TEL COM 936750108 3187 250758 SOLE 250758
WELLS FARGO & CO COM 949746101 535 22167 SOLE 22167
WESTERN UNION CO COM 959802109 8853 579018 SOLE 579018
WESTFIELD FINANCIAL COM 96008P104 3362 510180 SOLE 510180
WHITE MOUNTAINS INS COM G9618E107 70917 174781 SOLE 174781
WINDSTREAM CORP COM 97381W104 1123 96363 SOLE 96363
WINN DIXIE STORES COM 974280307 59 10000 SOLE 10000
COMMONWEALTH REIT 6 PFD 203233408 1306 64000 SOLE 64000
BANK OF AMERICA CORP CNV PFD 060505682 1511 1975 SOLE 1975
FIFTH THIRD BANCORP CNV PFD 316773209 384 3000 SOLE 3000
RYDEX ETF TRUST RUSS RUSL 78355W585 215 8295 SOLE 8295
MFS INTERMARKET INCO SH BEN 59318R103 242 29986 SOLE 29986
MFS MULTIMARKET INCO SH BEN 552737108 985 156380 SOLE 156380
BLACKROCK CORE BD TR SH BEN 09249E101 1045 80600 SOLE 80600
ISHARES TR US PFD ST US PFD 464288687 1251 35140 SOLE 35140
HARTFORD FINL SVCS *W EXP 416515120 144 15000 SOLE 15000
JPMORGAN CHASE & CO *W EXP 46634E114 214 23000 SOLE 23000
4249528 239