0001047469-12-001033.txt : 20120214 0001047469-12-001033.hdr.sgml : 20120214 20120214170236 ACCESSION NUMBER: 0001047469-12-001033 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RELATIONAL INVESTORS LLC CENTRAL INDEX KEY: 0001047644 IRS NUMBER: 330694767 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06854 FILM NUMBER: 12612200 BUSINESS ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 858.704.3333 MAIL ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 13F-HR/A 1 a2207322z13f-hra.txt 13F-HR/A THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED FOR THE QUARTER ENDING September 30, 2011 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT HAS EXPIRED, IS NO LONGER WARRANTED, OR HAS BEEN DENIED. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 ----------------------- Check Here if Amendment /X/; Amendment Number: 4 --------- This Amendment (Check only one.): / / is a restatement. /X/ adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Relational Investors LLC --------------------------------- Address: 12400 High Bluff Drive, Suite 600 --------------------------------- San Diego, CA 92130 --------------------------------- Form 13F File Number: 028-06854 --------------------- 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: Jay N. Sitlani ------------------------------- Title: Director of Operations ------------------------------- Phone: 858-704-3336 ------------------------------- Signature, Place, and Date of Signing: /s/ J. SITLANI San Diego, California 02/14/12 ----------------------------- --------------------- ------------- [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: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 4 -------------------- Form 13F Information Table Value Total: $788,206 -------------------- (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------------ -------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ---- Medtronic, Inc. COM 585055106 $199,447 6,000,200 SH SOLE 6,000,200 Caterpillar Inc. COM 149123101 $262,139 3,550,100 SH SOLE 3,550,100 Quest Diagnostics Incorporated COM 74834L100 $281,357 5,700,100 SH SOLE 5,700,100 Carter's, Inc. COM 146229109 $ 45,263 1,482,078 SH SOLE 1,482,078