0000936753-12-000081.txt : 20121114
0000936753-12-000081.hdr.sgml : 20121114
20121114093634
ACCESSION NUMBER: 0000936753-12-000081
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121114
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04003
FILM NUMBER: 121201299
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
1
HR13F3Q12.txt
HR13F1Q12
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 9/30/2012
Check here if Amendment []; Amendment Number:
-------
This Amendment (Check only one.): [] 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
Form 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 submission.
Persons 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 11/14/2012
--------------------------------- --------------------------------- ----------
[Signature] [City, State] [Date]
Report Type (Check only one):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 126
Form 13F Information Table Value Total: $ 4,660,281
--------------
(In Thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
NONE
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
------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ -------
Accenture plc COMMON G1151C101 23913 341461 SH SOLE 0 325328 0 16133
AFLAC Inc. COMMON 001055102 63797 1332431 SH SOLE 0 1286901 0 45530
Albany Molecular Research, Inc. COMMON 012423109 1781 513128 SH SOLE 0 193843 0 319285
American Electric Technologies, Inc. COMMON 025576109 1168 250035 SH SOLE 0 94022 0 156013
American Reprographics Co. COMMON 029263100 3110 728274 SH SOLE 0 288471 0 439803
Anixter Intl Inc. COMMON 035290105 19423 338024 SH SOLE 0 304724 0 33300
Apollo Group, Inc. COMMON 037604105 34611 1191445 SH SOLE 0 1147360 0 44085
Astro-Med, Inc. COMMON 04638F108 1802 207357 SH SOLE 0 76864 0 130493
AV Homes, Inc. COMMON 00234P102 3608 243126 SH SOLE 0 98151 0 144975
Ballantyne Strong, Inc. COMMON 058516105 2932 703128 SH SOLE 0 280707 0 422421
Bank of New York Mellon Corp. COMMON 064058100 5279 233385 SH SOLE 0 180285 0 53100
Baxter Intl Inc. COMMON 071813109 3048 50576 SH SOLE 0 40476 0 10100
Berkshire Hathaway Inc. COMMON 084670702 3946 44735 SH SOLE 0 35335 0 9400
Bio-Rad Laboratories, Inc. COMMON 090572207 104731 981365 SH SOLE 0 945390 0 35975
Blackstone Group L.P. COMMON 09253U108 51860 3631645 SH SOLE 0 3604960 0 26685
Blount Intl, Inc. COMMON 095180105 15976 1213955 SH SOLE 0 1053725 0 160230
Bob Evans Farms, Inc. COMMON 096761101 8258 211037 SH SOLE 0 184837 0 26200
Bolt Technology Corp. COMMON 097698104 1746 121421 SH SOLE 0 45063 0 76358
Brady Corp. COMMON 104674106 58510 1998276 SH SOLE 0 1909871 0 88405
Brink's Co. COMMON 109696104 20463 796551 SH SOLE 0 695931 0 100620
Callaway Golf Co. COMMON 131193104 1570 255735 SH SOLE 0 103735 0 152000
Carnival Corp. COMMON 143658300 24956 685033 SH SOLE 0 672655 0 12378
CBRE Group, Inc. COMMON 12504L109 88372 4800199 SH SOLE 0 4771429 0 28770
CBS Corp. COMMON 124857202 41535 1143257 SH SOLE 0 1120770 0 22487
Charles River Laboratories Intl Inc. COMMON 159864107 113206 2858725 SH SOLE 0 2745110 0 113615
Chesapeake Energy Corp. COMMON 165167107 16777 889090 SH SOLE 0 785685 0 103405
China Mobile Ltd. ADR ADR 16941M109 312 5644 SH SOLE 0 5644 0 0
City National Corp. COMMON 178566105 83796 1626783 SH SOLE 0 1571767 0 55016
Contango Oil & Gas Co. COMMON 21075N204 76572 1558245 SH SOLE 0 1497610 0 60635
Cowen Group, Inc. COMMON 223622101 3580 1323330 SH SOLE 0 540230 0 783100
Crown Crafts, Inc. COMMON 228309100 2195 354560 SH SOLE 0 130960 0 223600
CSP Inc. COMMON 126389105 1232 274968 SH SOLE 0 105352 0 169616
Dell Inc. COMMON 24702R101 49804 5053640 SH SOLE 0 4839115 0 214525
DeVry Inc. COMMON 251893103 139208 6116339 SH SOLE 0 5934814 0 181525
Dun & Bradstreet Corp. COMMON 26483E100 76461 960323 SH SOLE 0 941938 0 18385
Edgewater Technology Inc. COMMON 280358102 3146 792385 SH SOLE 0 294618 0 497767
Exxon Mobil Corp. COMMON 30231G102 8142 89030 SH SOLE 0 70330 0 18700
Fair Isaac Corp. COMMON 303250104 78010 1762549 SH SOLE 0 1692579 0 69970
First American Financial Corp. COMMON 31847R102 189402 8740305 SH SOLE 0 8438210 0 302095
Franklin Resources, Inc. COMMON 354613101 50744 405725 SH SOLE 0 397524 0 8201
Gaiam, Inc. COMMON 36268Q103 1604 459640 SH SOLE 0 183740 0 275900
Gannett Co., Inc. COMMON 364730101 183431 10334123 SH SOLE 0 9978097 0 356026
Gilead Sciences, Inc. COMMON 375558103 400 6028 SH SOLE 0 6028 0 0
Goldman, Sachs & Co. COMMON 38141G104 5988 52670 SH SOLE 0 41670 0 11000
Hardinge Inc. COMMON 412324303 1828 178326 SH SOLE 0 62776 0 115550
HCC Insurance Holdings, Inc. COMMON 404132102 10107 298226 SH SOLE 0 257234 0 40992
Heelys, Inc. COMMON 42279M107 1562 853655 SH SOLE 0 299805 0 553850
Horace Mann Educators Corp. COMMON 440327104 7310 403644 SH SOLE 0 364769 0 38875
Hospira, Inc. COMMON 441060100 79976 2436793 SH SOLE 0 2396093 0 40700
IDEX Corp. COMMON 45167R104 61692 1476951 SH SOLE 0 1399628 0 77323
Illinois Tool Works Inc. COMMON 452308109 28072 472040 SH SOLE 0 463665 0 8375
Imation Corp. COMMON 45245A107 3768 673987 SH SOLE 0 273830 0 400157
Interface, Inc. COMMON 458665304 61594 4662715 SH SOLE 0 4449430 0 213285
International Business Machines COMMON 459200101 6056 29192 SH SOLE 0 23092 0 6100
Corp.
International Game Technology COMMON 459902102 126757 9683465 SH SOLE 0 9599300 0 84165
International Speedway Corp. COMMON 460335201 104734 3691715 SH SOLE 0 3555855 0 135860
Interpublic Group of Cos., Inc. COMMON 460690100 171682 15439069 SH SOLE 0 14914067 0 525002
J.M. Smucker Co. COMMON 832696405 56793 657855 SH SOLE 0 650385 0 7470
JAKKS Pacific, Inc. COMMON 47012E106 2004 137544 SH SOLE 0 55740 0 81804
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
------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ -------
Janus Capital Group Inc. COMMON 47102X105 171723 18191030 SH SOLE 0 17556870 0 634160
Johnson & Johnson COMMON 478160104 6894 100042 SH SOLE 0 80542 0 19500
Jones Lang LaSalle Inc. COMMON 48020Q107 159074 2083487 SH SOLE 0 2010966 0 72521
JPMorgan Chase & Co. COMMON 46625H100 5784 142896 SH SOLE 0 113296 0 29600
KKR & Co. L.P. COMMON 48248M102 117857 7799950 SH SOLE 0 7774300 0 25650
Landec Corp. COMMON 514766104 3676 321025 SH SOLE 0 122625 0 198400
Lazard Ltd COMMON G54050102 186058 6365319 SH SOLE 0 6193924 0 171395
Life Technologies Corp. COMMON 53217V109 72704 1488160 SH SOLE 0 1473535 0 14625
Littelfuse, Inc. COMMON 537008104 54958 972024 SH SOLE 0 912574 0 59450
Lockheed Martin Corp. COMMON 539830109 7449 79770 SH SOLE 0 62870 0 16900
Madison Square Garden Co. COMMON 55826P100 95316 2366911 SH SOLE 0 2273396 0 93515
Markel Corp. COMMON 570535104 8277 18053 SH SOLE 0 15579 0 2474
Market Leader, Inc. COMMON 57056R103 6069 905807 SH SOLE 0 358236 0 547571
Matthews Intl Corp. COMMON 577128101 9085 304668 SH SOLE 0 263843 0 40825
McCormick & Co., Inc. COMMON 579780206 17401 280485 SH SOLE 0 280485 0 0
Meredith Corp. COMMON 589433101 59781 1708016 SH SOLE 0 1629681 0 78335
Microsoft Corp. COMMON 594918104 9033 303514 SH SOLE 0 238414 0 65100
Middleby Corp. COMMON 596278101 7643 66089 SH SOLE 0 60589 0 5500
Mitcham Industries, Inc. COMMON 606501104 26618 1669867 SH SOLE 0 1278123 0 391744
Mohawk Industries, Inc. COMMON 608190104 98842 1235213 SH SOLE 0 1196633 0 38580
Morgan Stanley COMMON 617446448 7006 418500 SH SOLE 0 332100 0 86400
Multi-Fineline Electronix, Inc. COMMON 62541B101 2061 91382 SH SOLE 0 35482 0 55900
Myrexis, Inc. COMMON 62856H107 1225 503995 SH SOLE 0 186195 0 317800
Newell Rubbermaid Inc. COMMON 651229106 78038 4087888 SH SOLE 0 4052253 0 35635
Nokia Corp. ADR ADR 654902204 426 165610 SH SOLE 0 165610 0 0
Nordstrom, Inc. COMMON 655664100 38102 690510 SH SOLE 0 684060 0 6450
Northern Trust Corp. COMMON 665859104 70389 1516517 SH SOLE 0 1496482 0 20035
NVIDIA Corp. COMMON 67066G104 238 17843 SH SOLE 0 17843 0 0
Omnicom Group Inc. COMMON 681919106 38379 744356 SH SOLE 0 704965 0 39391
ORBCOMM Inc. COMMON 68555P100 2011 537716 SH SOLE 0 200216 0 337500
Orion Energy Systems, Inc. COMMON 686275108 3596 1816318 SH SOLE 0 752070 0 1064248
PCTEL, Inc. COMMON 69325Q105 4948 701840 SH SOLE 0 283540 0 418300
Perceptron, Inc. COMMON 71361F100 3938 630132 SH SOLE 0 233728 0 396404
Pervasive Software Inc. COMMON 715710109 5807 675207 SH SOLE 0 262500 0 412707
PrivateBancorp, Inc. COMMON 742962103 9063 566803 SH SOLE 0 496203 0 70600
QLogic Corp. COMMON 747277101 275 24097 SH SOLE 0 24097 0 0
Quest Diagnostics Inc. COMMON 74834L100 340 5359 SH SOLE 0 5359 0 0
Red Lion Hotels Corp. COMMON 756764106 1851 296236 SH SOLE 0 109368 0 186868
Rentech, Inc. COMMON 760112102 3595 1461436 SH SOLE 0 593177 0 868259
Rosetta Stone Inc. COMMON 777780107 3113 244180 SH SOLE 0 96240 0 147940
Royal Caribbean Cruises Ltd. COMMON V7780T103 66031 2185736 SH SOLE 0 2179881 0 5855
Royal Dutch Shell plc ADR ADR 780259206 215 3092 SH SOLE 0 3092 0 0
Ryanair Holdings plc ADR ADR 783513104 538 16696 SH SOLE 0 16696 0 0
Sigma Designs, Inc. COMMON 826565103 2243 339260 SH SOLE 0 131960 0 207300
Simpson Manufacturing Co., Inc. COMMON 829073105 63640 2223608 SH SOLE 0 2131273 0 92335
Snap-On Inc. COMMON 833034101 68383 951485 SH SOLE 0 922935 0 28550
Sotheby's COMMON 835898107 66733 2118511 SH SOLE 0 2036431 0 82080
St. Jude Medical, Inc. COMMON 790849103 60068 1425780 SH SOLE 0 1400645 0 25135
Stanley Black & Decker, Inc. COMMON 854502101 35144 460899 SH SOLE 0 452575 0 8324
Symmetry Medical Inc. COMMON 871546206 44655 4515204 SH SOLE 0 4304704 0 210500
T. Rowe Price Group, Inc. COMMON 74144T108 21156 334225 SH SOLE 0 328316 0 5909
Target Corp. COMMON 87612E106 8514 134135 SH SOLE 0 106135 0 28000
Team, Inc. COMMON 878155100 34364 1078922 SH SOLE 0 874217 0 204705
Thermo Fisher Scientific Inc. COMMON 883556102 62798 1067448 SH SOLE 0 1048492 0 18956
Tiffany & Co. COMMON 886547108 19928 322040 SH SOLE 0 313290 0 8750
Towers Watson COMMON 891894107 23722 447154 SH SOLE 0 436679 0 10475
Toyota Motor Corp. ADR ADR 892331307 241 3075 SH SOLE 0 3075 0 0
Versar Inc. COMMON 925297103 2868 853581 SH SOLE 0 327146 0 526435
Viacom, Inc. COMMON 92553P201 62392 1164245 SH SOLE 0 1142760 0 21485
Vical Inc. COMMON 925602104 4484 1035662 SH SOLE 0 422062 0 613600
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
------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ -------
Walgreen Co. COMMON 931422109 7676 210650 SH SOLE 0 167250 0 43400
Walt Disney Co. COMMON 254687106 3811 72905 SH SOLE 0 57705 0 15200
Washington Post Co. COMMON 939640108 36431 100353 SH SOLE 0 100138 0 215
Western Union Co. COMMON 959802109 52381 2874905 SH SOLE 0 2757180 0 117725
WMS Industries Inc. COMMON 929297109 21805 1331190 SH SOLE 0 1220990 0 110200
XO Group Inc. COMMON 983772104 3819 457395 SH SOLE 0 184995 0 272400
Zimmer Holdings, Inc. COMMON 98956P102 93262 1379212 SH SOLE 0 1338257 0 40955