0000936753-12-000066.txt : 20120705
0000936753-12-000066.hdr.sgml : 20120704
20120705092905
ACCESSION NUMBER: 0000936753-12-000066
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
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: 12947113
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
HR13F4Q11.txt
HR13F4Q11
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 12/31/11
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.):
|X| 13F HOLDINGS REPORT.
| | 13F NOTICE.
| | 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
Form 13F File Number Name
FORM 13F SUMMARY PAGE
AS OF DATE: 12/31/2011
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 1
FORM 13F INFORMATION TABLE ENTRY TOTAL: 191
FORM 13F INFORMATION TABLE VALUE TOTAL: $4,340,589
(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 796 268802 SH SOLE 0 68502 0 200300
Abbott Laboratories COMMON 002824100 2334 41505 SH SOLE 0 32305 0 9200
Accenture plc COMMON G1151C101 43080 809316 SH SOLE 0 781118 0 28198
AFLAC Inc. COMMON 001055102 75692 1749691 SH SOLE 0 1700901 0 48790
American Electric Technologies, Inc. COMMON 025576109 845 166414 SH SOLE 0 42915 0 123499
American Reprographics Co. COMMON 029263100 2428 529078 SH SOLE 0 157378 0 371700
Anixter Intl Inc. COMMON 035290105 18292 306704 SH SOLE 0 282129 0 24575
Anixter Intl Inc. COMMON 035290105 10 170 SH OTHER 1 170 0 0
Apollo Group, Inc. COMMON 037604105 3507 65095 SH SOLE 0 51795 0 13300
Astro-Med, Inc. COMMON 04638F108 1100 144527 SH SOLE 0 35834 0 108693
AuthenTec, Inc. COMMON 052660107 753 234608 SH SOLE 0 55629 0 178979
Avatar Holdings Inc. COMMON 053494100 2005 279269 SH SOLE 0 82569 0 196700
Ballantyne Strong, Inc. COMMON 058516105 3754 917752 SH SOLE 0 269731 0 648021
Bank of New York Mellon Corp. COMMON 064058100 4541 228085 SH SOLE 0 179885 0 48200
Baxter Intl Inc. COMMON 071813109 19013 384249 SH SOLE 0 368596 0 15653
Berkshire Hathaway Inc. COMMON 084670702 4004 52480 SH SOLE 0 41680 0 10800
Bio-Rad Laboratories, Inc. COMMON 090572207 94119 980001 SH SOLE 0 951534 0 28467
Bio-Rad Laboratories, Inc. COMMON 090572207 19 195 SH OTHER 1 195 0 0
Blackstone Group L.P. COMMON 09253U108 38766 2767000 SH SOLE 0 2720240 0 46760
Blount Intl, Inc. COMMON 095180105 13723 945085 SH SOLE 0 846535 0 98550
Blount Intl, Inc. COMMON 095180105 143 9850 SH OTHER 0 0 9850
Bob Evans Farms, Inc. COMMON 096761101 12466 371672 SH SOLE 0 332972 0 38700
Brady Corp. COMMON 104674106 79552 2519869 SH SOLE 0 2446994 0 72875
Brady Corp. COMMON 104674106 22 690 SH OTHER 1 690 0 0
Brady Corp. COMMON 104674106 150 4755 SH OTHER 0 0 4755
Brink's Co. COMMON 109696104 41860 1557281 SH SOLE 0 1496856 0 60425
Brink's Co. COMMON 109696104 11 410 SH OTHER 1 410 0 0
Brink's Co. COMMON 109696104 86 3210 SH OTHER 0 0 3210
Callaway Golf Co. COMMON 131193104 938 169535 SH SOLE 0 53035 0 116500
Carnival Corp. COMMON 143658300 58908 1804792 SH SOLE 0 1747049 0 57743
CBRE Group, Inc. COMMON 12504L109 94357 6199532 SH SOLE 0 6161167 0 38365
CBRE Group, Inc. COMMON 12504L109 23 1495 SH OTHER 1 1495 0 0
CBRE Group, Inc. COMMON 12504L109 144 9430 SH OTHER 0 0 9430
CBS Corp. COMMON 124857202 74377 2740477 SH SOLE 0 2694940 0 45537
Charles River Laboratories Intl Inc. COMMON 159864107 79295 2901405 SH SOLE 0 2814230 0 87175
Charles River Laboratories Intl Inc. COMMON 159864107 19 690 SH OTHER 1 690 0 0
Charles River Laboratories Intl Inc. COMMON 159864107 100 3650 SH OTHER 0 0 3650
Chesapeake Energy Corp. COMMON 165167107 51732 2320840 SH SOLE 0 2244490 0 76350
Citigroup Inc. COMMON 172967424 3487 132547 SH SOLE 0 105357 0 27190
City National Corp. COMMON 178566105 71641 1621573 SH SOLE 0 1579222 0 42351
City National Corp. COMMON 178566105 9 210 SH OTHER 1 210 0 0
City National Corp. COMMON 178566105 57 1300 SH OTHER 0 0 1300
Contango Oil & Gas Co. COMMON 21075N204 59180 1017191 SH SOLE 0 990616 0 26575
Contango Oil & Gas Co. COMMON 21075N204 15 260 SH OTHER 1 260 0 0
Contango Oil & Gas Co. COMMON 21075N204 100 1720 SH OTHER 0 0 1720
Cowen Group, Inc. COMMON 223622101 1720 664105 SH SOLE 0 199505 0 464600
Crown Crafts, Inc. COMMON 228309100 1377 418475 SH SOLE 0 108775 0 309700
CSP Inc. COMMON 126389105 761 236405 SH SOLE 0 62789 0 173616
Dell Inc. COMMON 24702R101 73253 5007010 SH SOLE 0 4820080 0 186930
DeVry Inc. COMMON 251893103 127542 3316236 SH SOLE 0 3212131 0 104105
DeVry Inc. COMMON 251893103 23 605 SH OTHER 1 605 0 0
DeVry Inc. COMMON 251893103 113 2935 SH OTHER 0 0 2935
Dun & Bradstreet Corp. COMMON 26483E100 56085 749499 SH SOLE 0 749499 0 0
Dun & Bradstreet Corp. COMMON 26483E100 19 255 SH OTHER 1 255 0 0
Dun & Bradstreet Corp. COMMON 26483E100 107 1425 SH OTHER 0 0 1425
Edgewater Technology Inc. COMMON 280358102 2001 725065 SH SOLE 0 190198 0 534867
Energizer Holdings, Inc. COMMON 29266R108 24277 313338 SH SOLE 0 313338 0 0
Energizer Holdings, Inc. COMMON 29266R108 11 140 SH OTHER 1 140 0 0
Energizer Holdings, Inc. COMMON 29266R108 64 825 SH OTHER 0 0 825
Exxon Mobil Corp. COMMON 30231G102 8151 96160 SH SOLE 0 76660 0 19500
Fair Isaac Corp. COMMON 303250104 96631 2696190 SH SOLE 0 2608390 0 87800
Fair Isaac Corp. COMMON 303250104 28 785 SH OTHER 1 785 0 0
Fair Isaac Corp. COMMON 303250104 167 4670 SH OTHER 0 0 4670
First American Financial Corp. COMMON 31847R102 113028 8920879 SH SOLE 0 8704839 0 216040
First American Financial Corp. COMMON 31847R102 17 1305 SH OTHER 1 1305 0 0
First American Financial Corp. COMMON 31847R102 128 10125 SH OTHER 0 0 10125
Franklin Resources, Inc. COMMON 354613101 51627 537446 SH SOLE 0 528622 0 8824
Gaiam, Inc. COMMON 36268Q103 1079 333005 SH SOLE 0 98105 0 234900
Gannett Co., Inc. COMMON 364730101 153987 11517333 SH SOLE 0 11212307 0 305026
Gannett Co., Inc. COMMON 364730101 30 2220 SH OTHER 1 2220 0 0
Goldman Sachs Group, Inc. COMMON 38141G104 5299 58595 SH SOLE 0 46095 0 12500
HCC Insurance Holdings, Inc. COMMON 404132102 8965 325986 SH SOLE 0 291426 0 34560
HCC Insurance Holdings, Inc. COMMON 404132102 116 4232 SH OTHER 0 0 4232
Heelys, Inc. COMMON 42279M107 906 489830 SH SOLE 0 127330 0 362500
Herman Miller, Inc. COMMON 600544100 34544 1872294 SH SOLE 0 1798449 0 73845
Herman Miller, Inc. COMMON 600544100 11 575 SH OTHER 1 575 0 0
Horace Mann Educators Corp. COMMON 440327104 10059 733699 SH SOLE 0 656034 0 77665
Horace Mann Educators Corp. COMMON 440327104 117 8505 SH OTHER 0 0 8505
Hospira, Inc. COMMON 441060100 91725 3020240 SH SOLE 0 2966505 0 53735
Hospira, Inc. COMMON 441060100 23 749 SH OTHER 1 749 0 0
Hospira, Inc. COMMON 441060100 116 3820 SH OTHER 0 0 3820
IDEX Corp. COMMON 45167R104 64647 1742044 SH SOLE 0 1678814 0 63230
IDEX Corp. COMMON 45167R104 19 500 SH OTHER 1 500 0 0
IDEX Corp. COMMON 45167R104 119 3218 SH OTHER 0 0 3218
Illinois Tool Works Inc. COMMON 452308109 33356 714107 SH SOLE 0 701892 0 12215
Imation Corp. COMMON 45245A107 1187 207230 SH SOLE 0 61930 0 145300
InfoSpace, Inc. COMMON 45678T300 1148 104430 SH SOLE 0 31830 0 72600
Interface, Inc. COMMON 458665106 56568 4901940 SH SOLE 0 4723915 0 178025
Interface, Inc. COMMON 458665106 14 1245 SH OTHER 1 1245 0 0
Interface, Inc. COMMON 458665106 85 7385 SH OTHER 0 0 7385
International Business Machines COMMON 459200101 5634 30642 SH SOLE 0 24542 0 6100
Corp.
International Game Technology COMMON 459902102 109608 6372555 SH SOLE 0 6328315 0 44240
International Game Technology COMMON 459902102 25 1435 SH OTHER 1 1435 0 0
International Game Technology COMMON 459902102 145 8420 SH OTHER 0 0 8420
Interpublic Group of Cos., Inc. COMMON 460690100 170221 17494461 SH SOLE 0 17094449 0 400012
Interpublic Group of Cos., Inc. COMMON 460690100 30 3040 SH OTHER 1 3040 0 0
Interpublic Group of Cos., Inc. COMMON 460690100 173 17760 SH OTHER 0 0 17760
IShares Russell 2000 Value COMMON 464287630 810 12336 SH SOLE 0 12336 0 0
J.M. Smucker Co. COMMON 832696405 85323 1091503 SH SOLE 0 1083023 0 8480
J.M. Smucker Co. COMMON 832696405 19 242 SH OTHER 1 242 0 0
JAKKS Pacific, Inc. COMMON 47012E106 1148 81360 SH SOLE 0 22960 0 58400
Janus Capital Group Inc. COMMON 47102X105 139841 22161884 SH SOLE 0 21600454 0 561430
Janus Capital Group Inc. COMMON 47102X105 25 4040 SH OTHER 1 4040 0 0
Johnson & Johnson COMMON 478160104 6195 94461 SH SOLE 0 75761 0 18700
Jones Lang LaSalle Inc. COMMON 48020Q107 148568 2425200 SH SOLE 0 2360314 0 64886
Jones Lang LaSalle Inc. COMMON 48020Q107 23 380 SH OTHER 1 380 0 0
JPMorgan Chase & Co. COMMON 46625H100 3665 110236 SH SOLE 0 88436 0 21800
KKR & Co. L.P. COMMON 48248M102 82794 6453177 SH SOLE 0 6403687 0 49490
KKR & Co. L.P. COMMON 48248M102 15 1190 SH OTHER 1 1190 0 0
Knoll, Inc. COMMON 498904200 15082 1015645 SH SOLE 0 910720 0 104925
Landec Corp. COMMON 514766104 1817 329095 SH SOLE 0 96995 0 232100
Lazard Ltd COMMON G54050102 164449 6298319 SH SOLE 0 6145624 0 152695
Lazard Ltd COMMON G54050102 29 1095 SH OTHER 1 1095 0 0
Lazard Ltd COMMON G54050102 149 5720 SH OTHER 0 0 5720
Littelfuse, Inc. COMMON 537008104 45120 1049779 SH SOLE 0 997829 0 51950
Lockheed Martin Corp. COMMON 539830109 5873 72600 SH SOLE 0 57700 0 14900
Madison Square Garden Co. COMMON 55826P100 65185 2276011 SH SOLE 0 2206266 0 69745
Madison Square Garden Co. COMMON 55826P100 9 300 SH OTHER 1 300 0 0
Madison Square Garden Co. COMMON 55826P100 124 4335 SH OTHER 0 0 4335
Markel Corp. COMMON 570535104 7127 17188 SH SOLE 0 15394 0 1794
Markel Corp. COMMON 570535104 48 115 SH OTHER 0 0 115
Market Leader, Inc. COMMON 57056R103 4485 1630926 SH SOLE 0 468894 0 1162032
Mattel, Inc. COMMON 577081102 11685 420940 SH SOLE 0 413670 0 7270
Mattel, Inc. COMMON 577081102 120 4330 SH OTHER 0 0 4330
Matthews Intl Corp. COMMON 577128101 13477 428792 SH SOLE 0 384362 0 44430
Matthews Intl Corp. COMMON 577128101 100 3170 SH OTHER 0 0 3170
McCormick & Co., Inc. COMMON 579780206 27529 545990 SH SOLE 0 545990 0 0
McCormick & Co., Inc. COMMON 579780206 11 215 SH OTHER 1 215 0 0
MEDTOX Scientific, Inc. COMMON 584977201 772 54935 SH SOLE 0 14435 0 40500
Meredith Corp. COMMON 589433101 68530 2098917 SH SOLE 0 2031742 0 67175
Meredith Corp. COMMON 589433101 16 485 SH OTHER 1 485 0 0
Meredith Corp. COMMON 589433101 125 3835 SH OTHER 0 0 3835
Microsoft Corp. COMMON 594918104 9087 350057 SH SOLE 0 279157 0 70900
Middleby Corp. COMMON 596278101 20454 217500 SH SOLE 0 195300 0 22200
Middleby Corp. COMMON 596278101 152 1615 SH OTHER 0 0 1615
Mitcham Industries, Inc. COMMON 606501104 4615 211309 SH SOLE 0 61112 0 150197
Mohawk Industries, Inc. COMMON 608190104 140712 2351072 SH SOLE 0 2292537 0 58535
Mohawk Industries, Inc. COMMON 608190104 26 435 SH OTHER 1 435 0 0
Mohawk Industries, Inc. COMMON 608190104 163 2720 SH OTHER 0 0 2720
Morgan Stanley COMMON 617446448 5183 342580 SH SOLE 0 274280 0 68300
Multi-Fineline Electronix, Inc. COMMON 62541B101 1784 86825 SH SOLE 0 26525 0 60300
Myrexis, Inc. COMMON 62856H107 823 306990 SH SOLE 0 79590 0 227400
Newell Rubbermaid Inc. COMMON 651229106 83453 5167366 SH SOLE 0 5141411 0 25955
Newell Rubbermaid Inc. COMMON 651229106 23 1395 SH OTHER 1 1395 0 0
Nordstrom, Inc. COMMON 655664100 61475 1236680 SH SOLE 0 1228300 0 8380
Nordstrom, Inc. COMMON 655664100 15 300 SH OTHER 1 300 0 0
Nordstrom, Inc. COMMON 655664100 83 1665 SH OTHER 0 0 1665
Northern Trust Corp. COMMON 665859104 65884 1661211 SH SOLE 0 1645146 0 16065
Omnicom Group Inc. COMMON 681919106 60728 1362221 SH SOLE 0 1311225 0 50996
ORBCOMM Inc. COMMON 68555P100 1365 456426 SH SOLE 0 118926 0 337500
Orion Energy Systems, Inc. COMMON 686275108 3645 1235583 SH SOLE 0 359134 0 876449
PCTEL, Inc. COMMON 69325Q105 3231 472435 SH SOLE 0 138435 0 334000
Perceptron, Inc. COMMON 71361F100 2655 557807 SH SOLE 0 139103 0 418704
Pervasive Software Inc. COMMON 715710109 3589 616735 SH SOLE 0 182780 0 433955
PrivateBancorp, Inc. COMMON 742962103 8035 731758 SH SOLE 0 653933 0 77825
Red Lion Hotels Corp. COMMON 756764106 1550 223640 SH SOLE 0 58440 0 165200
Rosetta Stone Inc. COMMON 777780107 360 47190 SH SOLE 0 22670 0 24520
Royal Caribbean Cruises Ltd. COMMON V7780T103 61248 2472685 SH SOLE 0 2472685 0 0
Royal Caribbean Cruises Ltd. COMMON V7780T103 23 910 SH OTHER 1 910 0 0
Royal Caribbean Cruises Ltd. COMMON V7780T103 137 5525 SH OTHER 0 0 5525
Shoe Carnival, Inc. COMMON 824889109 1751 68140 SH SOLE 0 20240 0 47900
Sigma Designs, Inc. COMMON 826565103 1410 235055 SH SOLE 0 70055 0 165000
Simpson Manufacturing Co., Inc. COMMON 829073105 61038 1813365 SH SOLE 0 1762540 0 50825
Simpson Manufacturing Co., Inc. COMMON 829073105 14 425 SH OTHER 1 425 0 0
Simpson Manufacturing Co., Inc. COMMON 829073105 76 2255 SH OTHER 0 0 2255
Sotheby's COMMON 835898107 53898 1889173 SH SOLE 0 1839658 0 49515
Sotheby's COMMON 835898107 7 235 SH OTHER 1 235 0 0
Sotheby's COMMON 835898107 53 1850 SH OTHER 0 0 1850
St. Jude Medical, Inc. COMMON 790849103 44393 1294250 SH SOLE 0 1272735 0 21515
Stanley Black & Decker, Inc. COMMON 854502101 86913 1285697 SH SOLE 0 1275953 0 9744
Stanley Black & Decker, Inc. COMMON 854502101 21 307 SH OTHER 1 307 0 0
Symmetry Medical Inc. COMMON 871546206 48608 6083580 SH SOLE 0 5627155 0 456425
Symmetry Medical Inc. COMMON 871546206 9 1085 SH OTHER 1 1085 0 0
T. Rowe Price Group, Inc. COMMON 74144T108 26943 473105 SH SOLE 0 465466 0 7639
Target Corp. COMMON 87612E106 6816 133070 SH SOLE 0 106970 0 26100
Team, Inc. COMMON 878155100 32468 1091372 SH SOLE 0 894872 0 196500
Team, Inc. COMMON 878155100 202 6795 SH OTHER 0 0 6795
Tecumseh Products Co. COMMON 878895200 450 95710 SH SOLE 0 29310 0 66400
Thermo Fisher Scientific Inc. COMMON 883556102 46340 1030475 SH SOLE 0 1013224 0 17251
Tyco Intl Ltd. COMMON H89128104 5847 125171 SH SOLE 0 100071 0 25100
Versar Inc. COMMON 925297103 1254 393218 SH SOLE 0 101117 0 292101
Viacom, Inc. COMMON 92553P201 73062 1608930 SH SOLE 0 1583075 0 25855
Vical Inc. COMMON 925602104 3062 694303 SH SOLE 0 204003 0 490300
Walgreen Co. COMMON 931422109 4644 140475 SH SOLE 0 111375 0 29100
Washington Post Co. COMMON 939640108 35404 93956 SH SOLE 0 93956 0 0
Washington Post Co. COMMON 939640108 11 29 SH OTHER 1 29 0 0
Washington Post Co. COMMON 939640108 55 145 SH OTHER 0 0 145
XO Group Inc. COMMON 983772104 2268 271970 SH SOLE 0 78370 0 193600
Zimmer Holdings, Inc. COMMON 98956P102 98108 1836542 SH SOLE 0 1797487 0 39055
Zimmer Holdings, Inc. COMMON 98956P102 19 355 SH OTHER 1 355 0 0
Zimmer Holdings, Inc. COMMON 98956P102 123 2305 SH OTHER 0 0 2305