0000936753-12-000067.txt : 20120705
0000936753-12-000067.hdr.sgml : 20120704
20120705093142
ACCESSION NUMBER: 0000936753-12-000067
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
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: 12947117
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
HR13F1Q12.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: 03/31/12
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: 03/31/2012
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 1
FORM 13F INFORMATION TABLE ENTRY TOTAL: 157
FORM 13F INFORMATION TABLE VALUE TOTAL: $4,871,561
(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
------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ -------
Abbott Laboratories COMMON 002824100 2544 41505 SH SOLE 0 32305 0 9200
Accenture plc COMMON G1151C101 48681 754741 SH SOLE 0 726543 0 28198
AFLAC Inc. COMMON 001055102 79178 1721636 SH SOLE 0 1675646 0 45990
American Electric Technologies, Inc. COMMON 025576109 919 184538 SH SOLE 0 48250 0 136288
American Reprographics Co. COMMON 029263100 2722 504958 SH SOLE 0 150858 0 354100
Anixter Intl Inc. COMMON 035290105 21549 297099 SH SOLE 0 274124 0 22975
Anixter Intl Inc. COMMON 035290105 23 315 SH OTHER 1 315 0 0
Apollo Group, Inc. COMMON 037604105 3009 77880 SH SOLE 0 61980 0 15900
Astro-Med, Inc. COMMON 04638F108 1214 144527 SH SOLE 0 35834 0 108693
AuthenTec, Inc. COMMON 052660107 741 234608 SH SOLE 0 55629 0 178979
AV Homes, Inc. COMMON 00234P102 2967 243621 SH SOLE 0 72021 0 171600
Ballantyne Strong, Inc. COMMON 058516105 3221 605447 SH SOLE 0 181626 0 423821
Bank of New York Mellon Corp. COMMON 064058100 5622 232985 SH SOLE 0 179885 0 53100
Baxter Intl Inc. COMMON 071813109 22874 382639 SH SOLE 0 366986 0 15653
Berkshire Hathaway Inc. COMMON 084670702 4445 54770 SH SOLE 0 41840 0 12930
Bio-Rad Laboratories, Inc. COMMON 090572207 101633 980160 SH SOLE 0 953193 0 26967
Bio-Rad Laboratories, Inc. COMMON 090572207 43 412 SH OTHER 1 412 0 0
Blackstone Group L.P. COMMON 09253U108 43910 2754710 SH SOLE 0 2707950 0 46760
Blount Intl, Inc. COMMON 095180105 16091 964660 SH SOLE 0 862560 0 102100
Bob Evans Farms, Inc. COMMON 096761101 14185 376067 SH SOLE 0 339867 0 36200
Bolt Technology Corp. COMMON 097698104 790 50972 SH SOLE 0 12939 0 38033
Brady Corp. COMMON 104674106 74798 2312154 SH SOLE 0 2239324 0 72830
Brady Corp. COMMON 104674106 49 1505 SH OTHER 1 1505 0 0
Brink's Co. COMMON 109696104 25711 1077116 SH SOLE 0 1017381 0 59735
Brink's Co. COMMON 109696104 20 820 SH OTHER 1 820 0 0
Callaway Golf Co. COMMON 131193104 1468 217195 SH SOLE 0 65195 0 152000
Carnival Corp. COMMON 143658300 56888 1773312 SH SOLE 0 1743444 0 29868
CBRE Group, Inc. COMMON 12504L109 100719 5046037 SH SOLE 0 5016037 0 30000
CBRE Group, Inc. COMMON 12504L109 57 2845 SH OTHER 1 2845 0 0
CBS Corp. COMMON 124857202 75490 2226182 SH SOLE 0 2188120 0 38062
Charles River Laboratories Intl Inc. COMMON 159864107 108738 3012955 SH SOLE 0 2927095 0 85860
Charles River Laboratories Intl Inc. COMMON 159864107 63 1755 SH OTHER 1 1755 0 0
Chesapeake Energy Corp. COMMON 165167107 65466 2825478 SH SOLE 0 2724448 0 101030
Citigroup Inc. COMMON 172967424 3763 102957 SH SOLE 0 81467 0 21490
City National Corp. COMMON 178566105 89078 1697688 SH SOLE 0 1654412 0 43276
City National Corp. COMMON 178566105 30 570 SH OTHER 1 570 0 0
Contango Oil & Gas Co. COMMON 21075N204 84259 1430292 SH SOLE 0 1390652 0 39640
Contango Oil & Gas Co. COMMON 21075N204 47 790 SH OTHER 1 790 0 0
Cowen Group, Inc. COMMON 223622101 2289 844685 SH SOLE 0 254085 0 590600
Crown Crafts, Inc. COMMON 228309100 2239 418475 SH SOLE 0 108775 0 309700
CSP Inc. COMMON 126389105 934 232405 SH SOLE 0 62789 0 169616
Dell Inc. COMMON 24702R101 82498 4971260 SH SOLE 0 4784330 0 186930
DeVry Inc. COMMON 251893103 143712 4243058 SH SOLE 0 4111973 0 131085
DeVry Inc. COMMON 251893103 48 1425 SH OTHER 1 1425 0 0
Dun & Bradstreet Corp. COMMON 26483E100 64394 759990 SH SOLE 0 758405 0 1585
Dun & Bradstreet Corp. COMMON 26483E100 49 580 SH OTHER 1 580 0 0
Edgewater Technology Inc. COMMON 280358102 2842 725065 SH SOLE 0 190198 0 534867
Energizer Holdings, Inc. COMMON 29266R108 23280 313833 SH SOLE 0 313008 0 825
Energizer Holdings, Inc. COMMON 29266R108 22 290 SH OTHER 1 290 0 0
Exxon Mobil Corp. COMMON 30231G102 8054 92860 SH SOLE 0 73360 0 19500
Fair Isaac Corp. COMMON 303250104 111263 2534455 SH SOLE 0 2451085 0 83370
Fair Isaac Corp. COMMON 303250104 67 1520 SH OTHER 1 1520 0 0
First American Financial Corp. COMMON 31847R102 165777 9968564 SH SOLE 0 9741689 0 226875
First American Financial Corp. COMMON 31847R102 62 3755 SH OTHER 1 3755 0 0
Franklin Resources, Inc. COMMON 354613101 55979 451333 SH SOLE 0 443317 0 8016
Gaiam, Inc. COMMON 36268Q103 1325 333005 SH SOLE 0 98105 0 234900
Gannett Co., Inc. COMMON 364730101 160414 10464073 SH SOLE 0 10207487 0 256586
Gannett Co., Inc. COMMON 364730101 68 4465 SH OTHER 1 4465 0 0
Goldman, Sachs & Co. COMMON 38141G104 6676 53680 SH SOLE 0 42480 0 11200
HCC Insurance Holdings, Inc. COMMON 404132102 10372 332751 SH SOLE 0 297359 0 35392
Heelys, Inc. COMMON 42279M107 867 393986 SH SOLE 0 89810 0 304176
Herman Miller, Inc. COMMON 600544100 14789 644134 SH SOLE 0 595164 0 48970
Herman Miller, Inc. COMMON 600544100 16 690 SH OTHER 1 690 0 0
Horace Mann Educators Corp. COMMON 440327104 10897 618429 SH SOLE 0 551584 0 66845
Hospira, Inc. COMMON 441060100 99120 2650965 SH SOLE 0 2593600 0 57365
Hospira, Inc. COMMON 441060100 50 1339 SH OTHER 1 1339 0 0
IDEX Corp. COMMON 45167R104 71377 1694202 SH SOLE 0 1632454 0 61748
IDEX Corp. COMMON 45167R104 41 970 SH OTHER 1 970 0 0
Illinois Tool Works Inc. COMMON 452308109 40518 709352 SH SOLE 0 697137 0 12215
Imation Corp. COMMON 45245A107 2578 416440 SH SOLE 0 123440 0 293000
Interface, Inc. COMMON 458665106 63576 4557420 SH SOLE 0 4395010 0 162410
Interface, Inc. COMMON 458665106 35 2530 SH OTHER 1 2530 0 0
International Business Machines COMMON 459200101 6080 29142 SH SOLE 0 23042 0 6100
Corp.
International Game Technology COMMON 459902102 121481 7235290 SH SOLE 0 7175925 0 59365
International Game Technology COMMON 459902102 61 3640 SH OTHER 1 3640 0 0
International Speedway Corp. COMMON 460335201 12742 459155 SH SOLE 0 414930 0 44225
Interpublic Group of Cos., Inc. COMMON 460690100 168034 14726921 SH SOLE 0 14355889 0 371032
Interpublic Group of Cos., Inc. COMMON 460690100 63 5540 SH OTHER 1 5540 0 0
J.M. Smucker Co. COMMON 832696405 88199 1084058 SH SOLE 0 1075578 0 8480
J.M. Smucker Co. COMMON 832696405 43 527 SH OTHER 1 527 0 0
JAKKS Pacific, Inc. COMMON 47012E106 1420 81360 SH SOLE 0 22960 0 58400
Janus Capital Group Inc. COMMON 47102X105 166496 18686371 SH SOLE 0 18199246 0 487125
Janus Capital Group Inc. COMMON 47102X105 68 7640 SH OTHER 1 7640 0 0
Johnson & Johnson COMMON 478160104 6356 96361 SH SOLE 0 76561 0 19800
Jones Lang LaSalle Inc. COMMON 48020Q107 177484 2130408 SH SOLE 0 2071132 0 59276
Jones Lang LaSalle Inc. COMMON 48020Q107 61 730 SH OTHER 1 730 0 0
JPMorgan Chase & Co. COMMON 46625H100 4967 108016 SH SOLE 0 84116 0 23900
KKR & Co. L.P. COMMON 48248M102 103369 6970260 SH SOLE 0 6920770 0 49490
KKR & Co. L.P. COMMON 48248M102 46 3105 SH OTHER 1 3105 0 0
Knoll, Inc. COMMON 498904200 13298 799160 SH SOLE 0 722560 0 76600
Landec Corp. COMMON 514766104 2522 386260 SH SOLE 0 112985 0 273275
Lazard Ltd COMMON G54050102 174446 6108043 SH SOLE 0 5952853 0 155190
Lazard Ltd COMMON G54050102 65 2260 SH OTHER 1 2260 0 0
Littelfuse, Inc. COMMON 537008104 63568 1013839 SH SOLE 0 969239 0 44600
Lockheed Martin Corp. COMMON 539830109 7312 81370 SH SOLE 0 64470 0 16900
Madison Square Garden Co. COMMON 55826P100 106774 3122041 SH SOLE 0 3040211 0 81830
Madison Square Garden Co. COMMON 55826P100 36 1040 SH OTHER 1 1040 0 0
Markel Corp. COMMON 570535104 7454 16603 SH SOLE 0 14794 0 1809
Market Leader, Inc. COMMON 57056R103 6014 1643126 SH SOLE 0 479394 0 1163732
Matthews Intl Corp. COMMON 577128101 13817 436702 SH SOLE 0 392002 0 44700
McCormick & Co., Inc. COMMON 579780206 29689 545455 SH SOLE 0 545455 0 0
McCormick & Co., Inc. COMMON 579780206 25 455 SH OTHER 1 455 0 0
Meredith Corp. COMMON 589433101 64545 1988447 SH SOLE 0 1920737 0 67710
Meredith Corp. COMMON 589433101 32 1000 SH OTHER 1 1000 0 0
Microsoft Corp. COMMON 594918104 10621 329286 SH SOLE 0 261961 0 67325
Middleby Corp. COMMON 596278101 13338 131825 SH SOLE 0 117845 0 13980
Mitcham Industries, Inc. COMMON 606501104 4262 189764 SH SOLE 0 57167 0 132597
Mohawk Industries, Inc. COMMON 608190104 147193 2213097 SH SOLE 0 2159242 0 53855
Mohawk Industries, Inc. COMMON 608190104 57 855 SH OTHER 1 855 0 0
Morgan Stanley COMMON 617446448 6132 312240 SH SOLE 0 248440 0 63800
Multi-Fineline Electronix, Inc. COMMON 62541B101 1914 69720 SH SOLE 0 20820 0 48900
Myrexis, Inc. COMMON 62856H107 930 306990 SH SOLE 0 79590 0 227400
Newell Rubbermaid Inc. COMMON 651229106 88568 4972946 SH SOLE 0 4946991 0 25955
Newell Rubbermaid Inc. COMMON 651229106 55 3070 SH OTHER 1 3070 0 0
Nokia Corp. ADR ADR 654902204 110 20094 SH SOLE 0 18917 0 1177
Nordstrom, Inc. COMMON 655664100 62867 1128270 SH SOLE 0 1118225 0 10045
Nordstrom, Inc. COMMON 655664100 34 605 SH OTHER 1 605 0 0
Northern Trust Corp. COMMON 665859104 80915 1705269 SH SOLE 0 1679204 0 26065
Omnicom Group Inc. COMMON 681919106 64507 1273592 SH SOLE 0 1225396 0 48196
ORBCOMM Inc. COMMON 68555P100 1757 456426 SH SOLE 0 118926 0 337500
Orion Energy Systems, Inc. COMMON 686275108 2965 1245628 SH SOLE 0 369179 0 876449
PCTEL, Inc. COMMON 69325Q105 3169 476535 SH SOLE 0 142535 0 334000
Perceptron, Inc. COMMON 71361F100 3258 557807 SH SOLE 0 139103 0 418704
Pervasive Software Inc. COMMON 715710109 4213 703375 SH SOLE 0 208295 0 495080
PrivateBancorp, Inc. COMMON 742962103 11438 753978 SH SOLE 0 678953 0 75025
Red Lion Hotels Corp. COMMON 756764106 1836 223640 SH SOLE 0 58440 0 165200
Rentech, Inc. COMMON 760112102 2319 1114848 SH SOLE 0 333889 0 780959
Rosetta Stone Inc. COMMON 777780107 1298 125788 SH SOLE 0 37588 0 88200
Royal Caribbean Cruises Ltd. COMMON V7780T103 65738 2233700 SH SOLE 0 2228175 0 5525
Royal Caribbean Cruises Ltd. COMMON V7780T103 58 1955 SH OTHER 1 1955 0 0
Shoe Carnival, Inc. COMMON 824889109 1181 54952 SH SOLE 0 16252 0 38700
Sigma Designs, Inc. COMMON 826565103 1379 266155 SH SOLE 0 79555 0 186600
Simpson Manufacturing Co., Inc. COMMON 829073105 70032 2171538 SH SOLE 0 2105503 0 66035
Simpson Manufacturing Co., Inc. COMMON 829073105 42 1310 SH OTHER 1 1310 0 0
Snap-On Inc. COMMON 833034101 1639 26880 SH SOLE 0 21380 0 5500
Sotheby's COMMON 835898107 75482 1918713 SH SOLE 0 1869648 0 49065
Sotheby's COMMON 835898107 19 490 SH OTHER 1 490 0 0
St. Jude Medical, Inc. COMMON 790849103 57410 1295650 SH SOLE 0 1272235 0 23415
Stanley Black & Decker, Inc. COMMON 854502101 95983 1247175 SH SOLE 0 1237431 0 9744
Stanley Black & Decker, Inc. COMMON 854502101 47 607 SH OTHER 1 607 0 0
Symmetry Medical Inc. COMMON 871546206 40280 5697260 SH SOLE 0 5295235 0 402025
Symmetry Medical Inc. COMMON 871546206 16 2295 SH OTHER 1 2295 0 0
T. Rowe Price Group, Inc. COMMON 74144T108 23942 366650 SH SOLE 0 360526 0 6124
Target Corp. COMMON 87612E106 9323 160000 SH SOLE 0 127300 0 32700
Team, Inc. COMMON 878155100 32273 1042742 SH SOLE 0 861022 0 181720
Tecumseh Products Co. COMMON 878895200 385 95710 SH SOLE 0 29310 0 66400
Thermo Fisher Scientific Inc. COMMON 883556102 61808 1096279 SH SOLE 0 1077713 0 18566
Tyco Intl Ltd. COMMON H89128104 7032 125171 SH SOLE 0 100071 0 25100
Versar Inc. COMMON 925297103 1734 642191 SH SOLE 0 166191 0 476000
Viacom, Inc. COMMON 92553P201 70213 1479405 SH SOLE 0 1454255 0 25150
Vical Inc. COMMON 925602104 2982 877193 SH SOLE 0 263593 0 613600
Walgreen Co. COMMON 931422109 5321 158890 SH SOLE 0 126390 0 32500
Washington Post Co. COMMON 939640108 40207 107628 SH SOLE 0 107413 0 215
Washington Post Co. COMMON 939640108 34 91 SH OTHER 1 91 0 0
XO Group Inc. COMMON 983772104 2603 277170 SH SOLE 0 83570 0 193600
Zimmer Holdings, Inc. COMMON 98956P102 134786 2096852 SH SOLE 0 2054277 0 42575
Zimmer Holdings, Inc. COMMON 98956P102 58 900 SH OTHER 1 900 0 0