0000936753-12-000064.txt : 20120705
0000936753-12-000064.hdr.sgml : 20120704
20120705092300
ACCESSION NUMBER: 0000936753-12-000064
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20120705
DATE AS OF CHANGE: 20120705
EFFECTIVENESS DATE: 20120705
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ARIEL INVESTMENTS, LLC
CENTRAL INDEX KEY: 0000936753
IRS NUMBER: 020712418
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04003
FILM NUMBER: 12947103
BUSINESS ADDRESS:
STREET 1: 200 EAST RANDOLPH DRIVE
STREET 2: SUITE 2900
CITY: CHICAGO
STATE: IL
ZIP: 60601
BUSINESS PHONE: (312) 726-0140
MAIL ADDRESS:
STREET 1: 200 EAST RANDOLPH DRIVE
STREET 2: SUITE 2900
CITY: CHICAGO
STATE: IL
ZIP: 60601
FORMER COMPANY:
FORMER CONFORMED NAME: ARIEL CAPITAL MANAGEMENT LLC
DATE OF NAME CHANGE: 20040218
FORMER COMPANY:
FORMER CONFORMED NAME: ARIEL CAPITAL MANAGEMENT INC
DATE OF NAME CHANGE: 19950202
13F-HR/A
1
HR13F2Q11.txt
HR13F2Q11
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 06/30/11
Check here if Amendment |X|; Amendment Number: 1
This Amendment (Check only one.): |X| is a restatement.
| | adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Ariel Investments, LLC
Address: 200 E. Randolph Drive
Suite 2900
Chicago, IL 60601
13F File Number: 28-04003
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 Reporting Manager:
Name: Wendy D. Fox
Title: Vice President/Chief Compliance Officer
Phone: 312-726-0140
Signature, Place, and Date of Signing:
/s/ Wendy D. Fox Chicago, IL July 5, 2012
----------------------------------- ---------------- --------------------
Report Type (Check only one.):
| | 13F HOLDINGS REPORT.
|_| 13F NOTICE.
|X| 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
Form 13F File Number Name
28-06386 GW Capital Management, LLC
FORM 13F SUMMARY PAGE
AS OF DATE: 6/30/2011
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 1
FORM 13F INFORMATION TABLE ENTRY TOTAL: 184
FORM 13F INFORMATION TABLE VALUE TOTAL: $5,384,515
(In Thousands)
LIST OF OTHER INCLUDED MANAGERS:
NO. 13F FILE NUMBER NAME
1 28-05955 PAX WORLD MANAGEMENT LLC
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------------ -------------- --------- -------- ----------------- ---------- -------- -----------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ -------
21st Century Holding Co. COMMON 90136Q100 661 242865 SH SOLE 0 42565 0 200300
Abbott Laboratories COMMON 002824100 3437 65310 SH SOLE 0 41310 0 24000
Accenture plc COMMON G1151C101 79171 1310336 SH SOLE 0 1282173 0 28163
AFLAC Inc. COMMON 001055102 60562 1297376 SH SOLE 0 1273356 0 24020
American Electric Technologies, Inc. COMMON 025576109 444 127974 SH SOLE 0 44375 0 83599
American Reprographics Co. COMMON 029263100 1666 235645 SH SOLE 0 47245 0 188400
Anixter Intl Inc. COMMON 035290105 60934 932574 SH SOLE 0 907174 0 25400
Anixter Intl Inc. COMMON 035290105 16 245 SH OTHER 1 245 0 0
Apollo Group, Inc. COMMON 037604105 52248 1196150 SH SOLE 0 1160680 0 35470
Astro-Med, Inc. COMMON 04638F108 811 99065 SH SOLE 0 17823 0 81242
AuthenTec, Inc. COMMON 052660107 935 338935 SH SOLE 0 59455 0 279480
Avatar Holdings Inc. COMMON 053494100 2452 161189 SH SOLE 0 35489 0 125700
Ballantyne Strong, Inc. COMMON 058516105 3148 671122 SH SOLE 0 145101 0 526021
Bank of New York Mellon Corp. COMMON 064058100 3344 130530 SH SOLE 0 82330 0 48200
Baxter Intl Inc. COMMON 071813109 66847 1119904 SH SOLE 0 1084946 0 34958
Bio-Rad Laboratories, Inc. COMMON 090572207 147241 1233585 SH SOLE 0 1204748 0 28837
Bio-Rad Laboratories, Inc. COMMON 090572207 33 275 SH OTHER 1 275 0 0
Blount Intl, Inc. COMMON 095180105 20681 1183795 SH SOLE 0 1060395 0 123400
Blount Intl, Inc. COMMON 095180105 172 9850 SH OTHER 0 0 9850
Bob Evans Farms, Inc. COMMON 096761101 20047 573257 SH SOLE 0 514057 0 59200
Brady Corp. COMMON 104674106 94350 2942919 SH SOLE 0 2876169 0 66750
Brady Corp. COMMON 104674106 26 815 SH OTHER 1 815 0 0
Brady Corp. COMMON 104674106 152 4755 SH OTHER 0 0 4755
Brink's Co. COMMON 109696104 102865 3448386 SH SOLE 0 3363086 0 85300
Brink's Co. COMMON 109696104 27 900 SH OTHER 1 900 0 0
Brink's Co. COMMON 109696104 140 4695 SH OTHER 0 0 4695
Callaway Golf Co. COMMON 131193104 75 12000 SH SOLE 0 12000 0 0
Carnival Corp. COMMON 143658300 53066 1410197 SH SOLE 0 1370429 0 39768
CB Richard Ellis Group, Inc. COMMON 12497T101 139126 5540681 SH SOLE 0 5528616 0 12065
CB Richard Ellis Group, Inc. COMMON 12497T101 29 1145 SH OTHER 1 1145 0 0
CBS Corp. COMMON 124857202 89736 3149732 SH SOLE 0 3127675 0 22057
Chesapeake Energy Corp. COMMON 165167107 47583 1602670 SH SOLE 0 1551045 0 51625
Citigroup Inc. COMMON 172967424 2052 49287 SH SOLE 0 30097 0 19190
City National Corp. COMMON 178566105 89052 1641512 SH SOLE 0 1610046 0 31466
City National Corp. COMMON 178566105 13 245 SH OTHER 1 245 0 0
Clorox Co. COMMON 189054109 16557 245505 SH SOLE 0 243747 0 1758
Contango Oil & Gas Co. COMMON 21075N204 16437 281265 SH SOLE 0 281265 0 0
Contango Oil & Gas Co. COMMON 21075N204 15 255 SH OTHER 1 255 0 0
Crown Crafts, Inc. COMMON 228309100 1824 376100 SH SOLE 0 66400 0 309700
CSP Inc. COMMON 126389105 930 212915 SH SOLE 0 38649 0 174266
Dell Inc. COMMON 24702R101 73940 4435525 SH SOLE 0 4307000 0 128525
DeVry Inc. COMMON 251893103 169580 2867923 SH SOLE 0 2794393 0 73530
DeVry Inc. COMMON 251893103 32 545 SH OTHER 1 545 0 0
DeVry Inc. COMMON 251893103 142 2400 SH OTHER 0 0 2400
Dun & Bradstreet Corp. COMMON 26483E100 102074 1351254 SH SOLE 0 1348500 0 2754
Dun & Bradstreet Corp. COMMON 26483E100 24 320 SH OTHER 1 320 0 0
Dun & Bradstreet Corp. COMMON 26483E100 108 1425 SH OTHER 0 0 1425
Edgewater Technology Inc. COMMON 280358102 1735 642285 SH SOLE 0 114418 0 527867
Energizer Holdings, Inc. COMMON 29266R108 36526 504783 SH SOLE 0 504783 0 0
Energizer Holdings, Inc. COMMON 29266R108 14 195 SH OTHER 1 195 0 0
Energizer Holdings, Inc. COMMON 29266R108 128 1765 SH OTHER 0 0 1765
Exxon Mobil Corp. COMMON 30231G102 4285 52660 SH SOLE 0 33160 0 19500
Fair Isaac Corp. COMMON 303250104 110633 3663350 SH SOLE 0 3583550 0 79800
Fair Isaac Corp. COMMON 303250104 32 1055 SH OTHER 1 1055 0 0
Fair Isaac Corp. COMMON 303250104 211 6975 SH OTHER 0 0 6975
First American Financial Corp. COMMON 31847R102 114380 7308634 SH SOLE 0 7194329 0 114305
First American Financial Corp. COMMON 31847R102 20 1285 SH OTHER 1 1285 0 0
First American Financial Corp. COMMON 31847R102 75 4780 SH OTHER 0 0 4780
Force Protection, Inc. COMMON 345203202 28378 5715689 SH SOLE 0 4594089 0 1121600
Force Protection, Inc. COMMON 345203202 134 26945 SH OTHER 0 0 26945
Franklin Resources, Inc. COMMON 354613101 60931 464098 SH SOLE 0 460992 0 3106
Gaiam, Inc. COMMON 36268Q103 1477 297265 SH SOLE 0 62365 0 234900
Gannett Co., Inc. COMMON 364730101 186819 13046018 SH SOLE 0 12805692 0 240326
Gannett Co., Inc. COMMON 364730101 35 2470 SH OTHER 1 2470 0 0
Goldman Sachs Group, Inc. COMMON 38141G104 3452 25940 SH SOLE 0 15840 0 10100
Guaranty Bancorp COMMON 40075T102 629 466283 SH SOLE 0 86483 0 379800
HCC Insurance Holdings, Inc. COMMON 404132102 70621 2241948 SH SOLE 0 2177288 0 64660
HCC Insurance Holdings, Inc. COMMON 404132102 18 585 SH OTHER 1 585 0 0
HCC Insurance Holdings, Inc. COMMON 404132102 133 4232 SH OTHER 0 0 4232
Herman Miller, Inc. COMMON 600544100 91896 3376059 SH SOLE 0 3282639 0 93420
Herman Miller, Inc. COMMON 600544100 25 910 SH OTHER 1 910 0 0
Horace Mann Educators Corp. COMMON 440327104 14423 923964 SH SOLE 0 828399 0 95565
Horace Mann Educators Corp. COMMON 440327104 133 8505 SH OTHER 0 0 8505
Hospira, Inc. COMMON 441060100 92746 1636880 SH SOLE 0 1636880 0 0
Hospira, Inc. COMMON 441060100 31 539 SH OTHER 1 539 0 0
Hospira, Inc. COMMON 441060100 181 3190 SH OTHER 0 0 3190
IDEX Corp. COMMON 45167R104 114680 2501191 SH SOLE 0 2432586 0 68605
IDEX Corp. COMMON 45167R104 30 660 SH OTHER 1 660 0 0
IDEX Corp. COMMON 45167R104 189 4123 SH OTHER 0 0 4123
Illinois Tool Works Inc. COMMON 452308109 29844 528307 SH SOLE 0 524727 0 3580
Imation Corp. COMMON 45245A107 1399 148155 SH SOLE 0 33355 0 114800
InfoSpace, Inc. COMMON 45678T300 862 94475 SH SOLE 0 21875 0 72600
Interface, Inc. COMMON 458665106 117659 6074315 SH SOLE 0 5897615 0 176700
Interface, Inc. COMMON 458665106 30 1570 SH OTHER 1 1570 0 0
Interface, Inc. COMMON 458665106 201 10390 SH OTHER 0 0 10390
International Business Machines COMMON 459200101 5314 30977 SH SOLE 0 19477 0 11500
Corp.
International Game Technology COMMON 459902102 146046 8307520 SH SOLE 0 8288555 0 18965
International Game Technology COMMON 459902102 34 1925 SH OTHER 1 1925 0 0
International Game Technology COMMON 459902102 148 8420 SH OTHER 0 0 8420
Interpublic Group of Cos., Inc. COMMON 460690100 173308 13864611 SH SOLE 0 13827119 0 37492
Interpublic Group of Cos., Inc. COMMON 460690100 35 2825 SH OTHER 1 2825 0 0
Interpublic Group of Cos., Inc. COMMON 460690100 182 14545 SH OTHER 0 0 14545
J.M. Smucker Co. COMMON 832696405 131741 1723457 SH SOLE 0 1718462 0 4995
J.M. Smucker Co. COMMON 832696405 32 422 SH OTHER 1 422 0 0
JAKKS Pacific, Inc. COMMON 47012E106 1396 75845 SH SOLE 0 16445 0 59400
Janus Capital Group Inc. COMMON 47102X105 155775 16501634 SH SOLE 0 16212224 0 289410
Janus Capital Group Inc. COMMON 47102X105 32 3425 SH OTHER 1 3425 0 0
Johnson & Johnson COMMON 478160104 4625 69529 SH SOLE 0 43929 0 25600
Jones Lang LaSalle Inc. COMMON 48020Q107 196109 2079632 SH SOLE 0 2036436 0 43196
Jones Lang LaSalle Inc. COMMON 48020Q107 33 355 SH OTHER 1 355 0 0
JPMorgan Chase & Co. COMMON 46625H100 3258 79590 SH SOLE 0 50290 0 29300
Knoll, Inc. COMMON 498904200 24571 1224260 SH SOLE 0 1097060 0 127200
Landec Corp. COMMON 514766104 1956 296315 SH SOLE 0 64215 0 232100
Lazard Ltd COMMON G54050102 176617 4760575 SH SOLE 0 4689140 0 71435
Lazard Ltd COMMON G54050102 33 880 SH OTHER 1 880 0 0
Lazard Ltd COMMON G54050102 153 4115 SH OTHER 0 0 4115
Littelfuse, Inc. COMMON 537008104 33299 567084 SH SOLE 0 508134 0 58950
Lockheed Martin Corp. COMMON 539830109 3125 38600 SH SOLE 0 23700 0 14900
Madison Square Garden Co. COMMON 55826P100 33300 1209592 SH SOLE 0 1201397 0 8195
Madison Square Garden Co. COMMON 55826P100 75 2730 SH OTHER 0 0 2730
Markel Corp. COMMON 570535104 10426 26275 SH SOLE 0 23786 0 2489
Markel Corp. COMMON 570535104 46 115 SH OTHER 0 0 115
Market Leader, Inc. COMMON 57056R103 2915 1343425 SH SOLE 0 289990 0 1053435
Mattel, Inc. COMMON 577081102 25713 935365 SH SOLE 0 927210 0 8155
Mattel, Inc. COMMON 577081102 119 4330 SH OTHER 0 0 4330
Matthews Intl Corp. COMMON 577128101 18816 468401 SH SOLE 0 419746 0 48655
Matthews Intl Corp. COMMON 577128101 127 3170 SH OTHER 0 0 3170
McCormick & Co., Inc. COMMON 579780206 43267 872845 SH SOLE 0 872845 0 0
McCormick & Co., Inc. COMMON 579780206 16 320 SH OTHER 1 320 0 0
MEDTOX Scientific, Inc. COMMON 584977201 861 49300 SH SOLE 0 8800 0 40500
Meredith Corp. COMMON 589433101 69893 2245202 SH SOLE 0 2183802 0 61400
Meredith Corp. COMMON 589433101 18 570 SH OTHER 1 570 0 0
Meredith Corp. COMMON 589433101 119 3835 SH OTHER 0 0 3835
Microsoft Corp. COMMON 594918104 5318 204555 SH SOLE 0 128855 0 75700
Middleby Corp. COMMON 596278101 20604 219096 SH SOLE 0 197996 0 21100
Middleby Corp. COMMON 596278101 152 1615 SH OTHER 0 0 1615
Mitcham Industries, Inc. COMMON 606501104 2411 139387 SH SOLE 0 24887 0 114500
Mohawk Industries, Inc. COMMON 608190104 174159 2903137 SH SOLE 0 2856592 0 46545
Mohawk Industries, Inc. COMMON 608190104 31 510 SH OTHER 1 510 0 0
Mohawk Industries, Inc. COMMON 608190104 163 2720 SH OTHER 0 0 2720
Morgan Stanley COMMON 617446448 3458 150275 SH SOLE 0 94675 0 55600
Multi-Fineline Electronix, Inc. COMMON 62541B101 1684 77905 SH SOLE 0 17605 0 60300
Myrexis, Inc. COMMON 62856H107 729 203710 SH SOLE 0 36410 0 167300
Newell Rubbermaid Inc. COMMON 651229106 87674 5556030 SH SOLE 0 5547065 0 8965
Newell Rubbermaid Inc. COMMON 651229106 27 1690 SH OTHER 1 1690 0 0
Nordstrom, Inc. COMMON 655664100 119056 2536340 SH SOLE 0 2528780 0 7560
Nordstrom, Inc. COMMON 655664100 26 550 SH OTHER 1 550 0 0
Nordstrom, Inc. COMMON 655664100 141 3010 SH OTHER 0 0 3010
Northern Trust Corp. COMMON 665859104 56087 1220339 SH SOLE 0 1220154 0 185
Omnicom Group Inc. COMMON 681919106 62280 1293185 SH SOLE 0 1254309 0 38876
ORBCOMM Inc. COMMON 68555P100 952 304156 SH SOLE 0 54056 0 250100
Orion Energy Systems, Inc. COMMON 686275108 3793 965205 SH SOLE 0 182819 0 782386
PCTEL, Inc. COMMON 69325Q105 2615 403490 SH SOLE 0 83490 0 320000
Perceptron, Inc. COMMON 71361F100 3210 504682 SH SOLE 0 85978 0 418704
Pervasive Software Inc. COMMON 715710109 2591 403660 SH SOLE 0 87005 0 316655
PrivateBancorp, Inc. COMMON 742962103 33304 2413353 SH SOLE 0 2343653 0 69700
PrivateBancorp, Inc. COMMON 742962103 7 535 SH OTHER 1 535 0 0
Red Lion Hotels Corp. COMMON 756764106 1589 201150 SH SOLE 0 35950 0 165200
Richardson Electronics, Ltd. COMMON 763165107 936 68845 SH SOLE 0 17645 0 51200
Royal Caribbean Cruises Ltd. COMMON V7780T103 89045 2365700 SH SOLE 0 2365700 0 0
Royal Caribbean Cruises Ltd. COMMON V7780T103 32 845 SH OTHER 1 845 0 0
Royal Caribbean Cruises Ltd. COMMON V7780T103 106 2820 SH OTHER 0 0 2820
Shoe Carnival, Inc. COMMON 824889109 1446 47975 SH SOLE 0 9980 0 37995
Sigma Designs, Inc. COMMON 826565103 2087 273170 SH SOLE 0 58970 0 214200
Simpson Manufacturing Co., Inc. COMMON 829073105 30518 1021680 SH SOLE 0 996880 0 24800
Simpson Manufacturing Co., Inc. COMMON 829073105 18 610 SH OTHER 1 610 0 0
Sotheby's COMMON 835898107 58824 1352268 SH SOLE 0 1331998 0 20270
Sotheby's COMMON 835898107 10 240 SH OTHER 1 240 0 0
Sotheby's COMMON 835898107 102 2355 SH OTHER 0 0 2355
St. Jude Medical, Inc. COMMON 790849103 57979 1216010 SH SOLE 0 1207525 0 8485
Stanley Black & Decker, Inc. COMMON 854502101 123739 1717408 SH SOLE 0 1712854 0 4554
Stanley Black & Decker, Inc. COMMON 854502101 28 392 SH OTHER 1 392 0 0
Steelcase Inc. COMMON 858155203 10529 924412 SH SOLE 0 828312 0 96100
Symmetry Medical Inc. COMMON 871546206 24249 2703330 SH SOLE 0 2261830 0 441500
T. Rowe Price Group, Inc. COMMON 74144T108 37917 628390 SH SOLE 0 623936 0 4454
Target Corp. COMMON 87612E106 2204 46985 SH SOLE 0 29385 0 17600
Team, Inc. COMMON 878155100 31853 1320058 SH SOLE 0 1078558 0 241500
Team, Inc. COMMON 878155100 164 6795 SH OTHER 0 0 6795
Tecumseh Products Co. COMMON 878895200 877 86010 SH SOLE 0 19610 0 66400
Thermo Fisher Scientific Inc. COMMON 883556102 62978 978066 SH SOLE 0 970740 0 7326
Tiffany & Co. COMMON 886547108 84765 1079530 SH SOLE 0 1076980 0 2550
Tiffany & Co. COMMON 886547108 21 265 SH OTHER 1 265 0 0
Tiffany & Co. COMMON 886547108 193 2460 SH OTHER 0 0 2460
Tyco Intl Ltd. COMMON H89128104 3345 67671 SH SOLE 0 42571 0 25100
Versar Inc. COMMON 925297103 946 295012 SH SOLE 0 52612 0 242400
Viacom, Inc. COMMON 92553P201 78754 1544205 SH SOLE 0 1533470 0 10735
Vical Inc. COMMON 925602104 2380 577773 SH SOLE 0 124873 0 452900
Walgreen Co. COMMON 931422109 3895 91735 SH SOLE 0 58135 0 33600
Washington Post Co. COMMON 939640108 45185 107853 SH SOLE 0 107853 0 0
Washington Post Co. COMMON 939640108 16 37 SH OTHER 1 37 0 0
Washington Post Co. COMMON 939640108 61 145 SH OTHER 0 0 145
XO Group Inc. COMMON 983772104 2431 244335 SH SOLE 0 50735 0 193600
Zimmer Holdings, Inc. COMMON 98956P102 171446 2712757 SH SOLE 0 2676977 0 35780
Zimmer Holdings, Inc. COMMON 98956P102 34 540 SH OTHER 1 540 0 0