0000909012-11-000544.txt : 20111103 0000909012-11-000544.hdr.sgml : 20111103 20111103160026 ACCESSION NUMBER: 0000909012-11-000544 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111103 DATE AS OF CHANGE: 20111103 EFFECTIVENESS DATE: 20111103 FILER: COMPANY DATA: COMPANY CONFORMED NAME: River Road Asset Management, LLC CENTRAL INDEX KEY: 0001341401 IRS NUMBER: 432076925 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11487 FILM NUMBER: 111177770 BUSINESS ADDRESS: STREET 1: 462 SOUTH FOURTH STREET, SUITE 1600 CITY: LOUISVILLE STATE: KY ZIP: 40207 BUSINESS PHONE: 5023714100 MAIL ADDRESS: STREET 1: 462 SOUTH FOURTH STREET, SUITE 1600 CITY: LOUISVILLE STATE: KY ZIP: 40207 13F-HR 1 t306534.txt RRAM 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 [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: RIVER ROAD ASSET MANAGEMENT, LLC Address: 462 South Fourth Street Suite 1600 Louisville, Kentucky 40202 13F File Number: 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: Thomas D. Mueller, CPA, CFA Title: Chief Operating Officer/Chief Compliance Officer Phone: 502-371-4104 Signature, Place, and Date of Signing: Thomas D. Mueller Louisville, Kentucky Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. 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: 184 Form 13F Information Table Value Total: 4,132,397 (thousands) List of Other Included Managers:
Title Voting Authority of Value Shares/ Sh/ Put/ Invstmt Other ---------------- Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ---- 3M Company COM 88579Y101 19469 271,189.00 SH Sole 102,115.00 169,074.00 Aaron's Inc. COM 002535201 509 20,162.00 SH Sole 20,162.00 ABM Industries, Inc. COM 000957100 30565 1,603,637.00 SH Sole 1,189,352.00 414,285.00 Aircastle Limited COM G0129K104 13754 1,444,710.00 SH Sole 1,188,020.00 256,690.00 Alamo Group, Inc. COM 011311107 4424 212,800.00 SH Sole 212,800.00 Alleghany Corporation COM 017175100 14920 51,716.00 SH Sole 51,716.00 Allegiant Travel Company COM 01748X102 16696 354,245.00 SH Sole 292,545.00 61,700.00 Alterra Capital Holdings, Ltd. COM G0229R108 33935 1,788,894.00 SH Sole 1,477,866.00 311,028.00 Ambassadors Group, Inc. COM 023177108 1729 301,695.00 SH Sole 301,695.00 American Greetings Corporation COM 026375105 7548 407,995.00 SH Sole 407,995.00 Amerisafe, Inc. COM 03071H100 4767 258,959.00 SH Sole 258,959.00 Apollo Investment Corporation COM 03761U106 6389 850,172.00 SH Sole 394,995.00 455,177.00 AptarGroup, Inc. COM 038336103 26636 596,289.00 SH Sole 492,224.00 104,065.00 Arden Group, Inc. Class A COM 039762109 1815 22,828.00 SH Sole 22,828.00 Artesian Resources Corporation COM 043113208 4798 274,014.00 SH Sole 274,014.00 Ascena Retail Group COM 04351G101 39878 1,473,143.00 SH Sole 1,215,764.00 257,379.00 Ascent Capital Group, Inc. Ser COM 043632108 12907 328,266.00 SH Sole 270,586.00 57,680.00 AstraZeneca PLC COM 046353108 10879 245,245.00 SH Sole 240,195.00 5,050.00 Atlantic Tele-Network COM 049079205 21153 643,337.00 SH Sole 552,302.00 91,035.00 Automatic Data Processing, Inc COM 053015103 60301 1,278,909.00 SH Sole 451,935.00 826,974.00 Avatar Holdings, Inc. COM 053494100 2261 276,400.00 SH Sole 188,410.00 87,990.00 Avista Corporation COM 05379B107 63984 2,682,757.00 SH Sole 1,677,410.00 1,005,347.00 Baldwin & Lyons, Inc. Class B COM 057755209 2434 113,895.00 SH Sole 113,895.00 Becton, Dickinson and Company COM 075887109 13422 183,060.00 SH Sole 110,410.00 72,650.00 Bemis Company, Inc. COM 081437105 22168 756,315.00 SH Sole 287,440.00 468,875.00 Big Lots, Inc. COM 089302103 87561 2,513,951.00 SH Sole 2,094,011.00 419,940.00 Bill Barrett Corporation COM 06846N104 5795 159,910.00 SH Sole 159,910.00 Bio-Rad Laboratories, Inc. Cla COM 090572207 6073 66,905.00 SH Sole 66,905.00 BlackRock, Inc. COM 09247X101 22298 150,655.00 SH Sole 57,875.00 92,780.00 Bob Evans Farms, Inc. COM 096761101 40588 1,423,134.00 SH Sole 1,220,744.00 202,390.00 BreitBurn Energy Partners L.P. COM 106776107 15202 873,660.00 SH Sole 859,760.00 13,900.00 Brinks Company COM 109696104 55168 2,366,690.00 SH Sole 1,948,928.00 417,762.00 Bristol Myers Squibb Company COM 110122108 11853 377,709.00 SH Sole 377,709.00 Brown & Brown, Inc. COM 115236101 11472 644,516.00 SH Sole 644,516.00 California Water Service Group COM 130788102 4372 246,861.00 SH Sole 246,861.00 Capital Southwest Corporation COM 140501107 11565 156,290.00 SH Sole 127,000.00 29,290.00 Central Garden & Pet Company COM 153527106 3064 444,014.00 SH Sole 444,014.00 Chemed Corporation COM 16359R103 15330 278,925.00 SH Sole 231,595.00 47,330.00 Chevron Corporation COM 166764100 72981 788,221.00 SH Sole 185,143.00 603,078.00 Chubb Corporation COM 171232101 45182 753,160.00 SH Sole 288,510.00 464,650.00 Cincinnati Financial Corporati COM 172062101 23193 880,860.00 SH Sole 348,670.00 532,190.00 Citi Trends, Inc. COM 17306X102 2361 200,740.00 SH Sole 136,650.00 64,090.00 Cloud Peak Energy, Inc. COM 18911Q102 25630 1,512,083.00 SH Sole 1,246,073.00 266,010.00 Commerce Bancshares COM 200525103 30712 883,786.00 SH Sole 497,196.00 386,590.00 Compania Cervecerias Unidas S. COM 204429104 14706 284,725.00 SH Sole 218,375.00 66,350.00 Compass Diversified Holdings COM 20451Q104 11544 947,780.00 SH Sole 447,935.00 499,845.00 Computer Services, Inc. COM 20539A105 3677 133,721.00 SH Sole 85,361.00 48,360.00 ConocoPhillips COM 20825C104 49345 779,295.00 SH Sole 224,080.00 555,215.00 Constellation Brands COM 21036P108 7013 389,597.00 SH Sole 389,597.00 Contango Oil & Gas Company COM 21075N204 6090 111,317.00 SH Sole 111,317.00 Convergys Corporation COM 212485106 12831 1,367,900.00 SH Sole 1,124,920.00 242,980.00 Copart, Inc. COM 217204106 6457 165,063.00 SH Sole 165,063.00 Core-Mark Holding Company, Inc COM 218681104 9924 324,533.00 SH Sole 324,533.00 Cott Corporation COM 22163N106 25559 3,753,196.00 SH Sole 3,217,366.00 535,830.00 Cracker Barrel Old Country Sto COM 22410J106 55178 1,378,407.00 SH Sole 907,303.00 471,104.00 CSG Systems International COM 126349109 20632 1,632,249.00 SH Sole 1,437,659.00 194,590.00 Cubic Corporation COM 229669106 10802 276,476.00 SH Sole 225,906.00 50,570.00 Cullen/Frost Bankers, Inc. COM 229899109 23092 503,535.00 SH Sole 172,890.00 330,645.00 Daktronics, Inc. COM 234264109 6250 728,400.00 SH Sole 598,970.00 129,430.00 Darden Restaurants, Inc. COM 237194105 25273 591,172.00 SH Sole 208,882.00 382,290.00 Diageo PLC ADS COM 25243Q205 8158 107,440.00 SH Sole 104,355.00 3,085.00 Dime Community Bancshares COM 253922108 8989 887,372.00 SH Sole 604,372.00 283,000.00 DreamWorks Animation SKG, Inc. COM 26153C103 15226 837,490.00 SH Sole 688,180.00 149,310.00 DST Systems, Inc. COM 233326107 47817 1,090,974.00 SH Sole 899,094.00 191,880.00 Duke Energy Corporation COM 26441C105 44114 2,206,812.00 SH Sole 875,120.00 1,331,692.00 Electro Rent Corporation COM 285218103 10991 795,854.00 SH Sole 541,934.00 253,920.00 Endeavour International Corpor COM 29259G200 7982 1,000,198.00 SH Sole 823,498.00 176,700.00 Energen Corporation COM 29265N108 9782 239,230.00 SH Sole 239,230.00 Ensign Group, Inc. COM 29358P101 20277 877,403.00 SH Sole 722,813.00 154,590.00 Entergy Corporation COM 29364G103 24573 370,690.00 SH Sole 137,685.00 233,005.00 EPIQ Systems, Inc. COM 26882D109 7179 572,933.00 SH Sole 572,933.00 Equifax, Inc. COM 294429105 24946 811,500.00 SH Sole 811,500.00 Evolution Petroleum Corporatio COM 30049A107 14255 2,019,051.00 SH Sole 1,383,586.00 635,465.00 Federated Investors, Inc. COM 314211103 5339 304,570.00 SH Sole 304,570.00 First Citizens Bancshares COM 31946M103 13989 97,460.00 SH Sole 66,435.00 31,025.00 First Niagara Financial Group COM 33582V108 15749 1,721,210.00 SH Sole 650,550.00 1,070,660.00 Fred's, Inc. Class A COM 356108100 15454 1,449,763.00 SH Sole 1,191,453.00 258,310.00 Frischs Restaurants COM 358748101 3440 177,294.00 SH Sole 121,129.00 56,165.00 G&K Services, Inc. Class A COM 361268105 25582 1,001,654.00 SH Sole 826,174.00 175,480.00 General Dynamics Corporation COM 369550108 11546 202,955.00 SH Sole 123,150.00 79,805.00 General Electric Company COM 369604103 25295 1,661,969.00 SH Sole 1,661,969.00 General Mills, Inc. COM 370334104 54346 1,411,952.00 SH Sole 621,785.00 790,167.00 Genuine Parts Company COM 372460105 47676 938,507.00 SH Sole 373,600.00 564,907.00 Geo Group, Inc. COM 36159R103 49656 2,675,414.00 SH Sole 2,208,834.00 466,580.00 Grupo Aeroportuario del Surest COM 40051E202 8979 180,595.00 SH Sole 75,945.00 104,650.00 Gyrodyne Company of America COM 403820103 3321 59,845.00 SH Sole 41,617.00 18,228.00 Harbinger Group, Inc. COM 41146A106 7564 1,491,844.00 SH Sole 1,020,574.00 471,270.00 Hillenbrand, Inc. COM 431571108 31953 1,736,595.00 SH Sole 661,300.00 1,075,295.00 Hilltop Holdings Corporation COM 432748101 9086 1,260,260.00 SH Sole 1,035,960.00 224,300.00 ICU Medical, Inc. COM 44930G107 50897 1,383,072.00 SH Sole 1,187,252.00 195,820.00 Industrias Bachoco S.A.B. de C COM 456463108 18400 818,874.00 SH Sole 643,506.00 175,368.00 Ingram Micro, Inc. COM 457153104 40488 2,510,116.00 SH Sole 2,090,257.00 419,859.00 Insperity, Inc. COM 45778Q107 18784 844,229.00 SH Sole 694,009.00 150,220.00 Intel Corporation COM 458140100 60179 2,820,688.00 SH Sole 1,047,645.00 1,773,043.00 Iron Mountain, Inc. COM 462846106 25379 802,638.00 SH Sole 306,590.00 496,048.00 Ituran Location and Control, L COM M6158M104 8170 701,283.00 SH Sole 572,153.00 129,130.00 J&J Snack Foods Corporation COM 466032109 26509 551,695.00 SH Sole 452,067.00 99,628.00 J.M. Smucker Company COM 832696405 25521 350,135.00 SH Sole 129,960.00 220,175.00 J2 Global Communications, Inc. COM 46626E205 8872 329,800.00 SH Sole 275,870.00 53,930.00 Johnson & Johnson COM 478160104 53897 846,232.00 SH Sole 231,625.00 614,607.00 Kimberly-Clark Corporation COM 494368103 47658 671,139.00 SH Sole 291,890.00 379,249.00 Landauer, Inc. COM 51476K103 7552 152,450.00 SH Sole 148,225.00 4,225.00 Lockheed Martin Corporation COM 539830109 15055 207,250.00 SH Sole 127,345.00 79,905.00 Mac-Gray Corporation COM 554153106 19081 1,478,028.00 SH Sole 1,023,278.00 454,750.00 Madison Square Garden Company COM 55826P100 51330 2,251,318.00 SH Sole 1,858,448.00 392,870.00 ManTech International Corporat COM 564563104 32109 1,023,236.00 SH Sole 881,176.00 142,060.00 McCormick & Company, Inc. COM 579780206 25126 544,321.00 SH Sole 209,940.00 334,381.00 McDonald's Corporation COM 580135101 39020 444,320.00 SH Sole 156,285.00 288,035.00 Medallion Financial Corporatio COM 583928106 10016 1,077,040.00 SH Sole 740,022.00 337,018.00 Medtronic, Inc. COM 585055106 20108 604,936.00 SH Sole 232,681.00 372,255.00 Merck & Company, Inc. COM 58933Y105 5664 173,216.00 SH Sole 173,216.00 Microsoft Corporation COM 594918104 23327 937,213.00 SH Sole 353,578.00 583,635.00 Miller Energy Resources, Inc. COM 600527105 7719 2,923,757.00 SH Sole 2,268,077.00 655,680.00 Monarch Casino & Resort, Inc. COM 609027107 6777 692,989.00 SH Sole 473,829.00 219,160.00 Motorcar Parts of America, Inc COM 620071100 2543 309,030.00 SH Sole 209,810.00 99,220.00 National CineMedia, Inc. COM 635309107 9778 673,865.00 SH Sole 350,750.00 323,115.00 National Healthcare Corporatio COM 635906100 8190 253,562.00 SH Sole 205,982.00 47,580.00 Navigators Group, Inc. COM 638904102 14597 337,807.00 SH Sole 275,901.00 61,906.00 NeuStar, Inc. COM 64126X201 53996 2,147,829.00 SH Sole 1,793,839.00 353,990.00 Nordic American Tankers, Ltd. COM G65773106 15894 1,127,243.00 SH Sole 497,098.00 630,145.00 Norfolk Southern Corporation COM 655844108 51105 837,520.00 SH Sole 317,030.00 520,490.00 Nucor Corporation COM 670346105 28218 891,860.00 SH Sole 342,915.00 548,945.00 Oil-Dri Corporation of America COM 677864100 2474 133,147.00 SH Sole 133,147.00 Old National Bancorp COM 680033107 5415 581,048.00 SH Sole 477,578.00 103,470.00 OneBeacon Insurance Group COM G67742109 15147 1,110,460.00 SH Sole 514,885.00 595,575.00 Oppenheimer Holdings, Inc. COM 683797104 9755 608,195.00 SH Sole 479,941.00 128,254.00 Owens & Minor, Inc. COM 690732102 26384 926,414.00 SH Sole 335,551.00 590,863.00 Papa Johns International COM 698813102 11352 373,428.00 SH Sole 373,428.00 PartnerRe Limited COM G6852T105 33920 648,933.00 SH Sole 422,976.00 225,957.00 Paychex, Inc. COM 704326107 11543 437,742.00 SH Sole 167,860.00 269,882.00 Pep Boys COM 713278109 29428 2,981,564.00 SH Sole 2,455,074.00 526,490.00 Pepsico, Inc. COM 713448108 58580 946,371.00 SH Sole 335,310.00 611,061.00 Petsmart COM 716768106 23343 547,325.00 SH Sole 424,550.00 122,775.00 Pfizer, Inc. COM 717081103 40552 2,293,677.00 SH Sole 703,040.00 1,590,637.00 Philip Morris International, I COM 718172109 30569 490,052.00 SH Sole 490,052.00 PNC Financial Services Group, COM 693475105 17490 362,940.00 SH Sole 136,925.00 226,015.00 Potlatch Corporation COM 737630103 6406 203,232.00 SH Sole 203,232.00 Procter & Gamble Company COM 742718109 60133 951,767.00 SH Sole 207,634.00 744,133.00 Raytheon Company COM 755111507 16616 406,550.00 SH Sole 246,950.00 159,600.00 Regal Entertainment Group COM 758766109 24057 2,049,175.00 SH Sole 781,555.00 1,267,620.00 Rent-A-Center, Inc. COM 76009N100 52978 1,929,969.00 SH Sole 1,621,318.00 308,651.00 Republic Services, Inc. COM 760759100 238 8,479.00 SH Sole 8,479.00 Rex Energy Corporation COM 761565100 12904 1,020,110.00 SH Sole 846,690.00 173,420.00 Ruddick Corporation COM 781258108 84842 2,175,992.00 SH Sole 1,790,709.00 385,283.00 Sabra Healthcare REIT, Inc. COM 78573L106 3896 408,415.00 SH Sole 397,055.00 11,360.00 Safety Insurance Group, Inc. COM 78648T100 16823 444,704.00 SH Sole 226,950.00 217,754.00 Sara Lee Corporation COM 803111103 23786 1,454,774.00 SH Sole 798,754.00 656,020.00 Scholastic Corp. COM 807066105 448 16,000.00 SH Sole 16,000.00 SeaDrill, Ltd. COM G7945E105 22670 823,460.00 SH Sole 515,115.00 308,345.00 Seneca Foods Corporation COM 817070501 4908 247,880.00 SH Sole 168,640.00 79,240.00 Ship Finance International, Lt COM G81075106 10685 821,960.00 SH Sole 508,950.00 313,010.00 Southern Company COM 842587107 36565 862,996.00 SH Sole 289,840.00 573,156.00 Spectra Energy Corporation COM 847560109 34740 1,416,235.00 SH Sole 535,875.00 880,360.00 Standard Parking Corporation COM 853790103 12114 774,579.00 SH Sole 529,969.00 244,610.00 Stepan Company COM 858586100 27442 408,480.00 SH Sole 334,950.00 73,530.00 Steris Corporation COM 859152100 32989 1,127,057.00 SH Sole 927,567.00 199,490.00 SWS Group, Inc. COM 78503N107 5689 1,213,000.00 SH Sole 824,940.00 388,060.00 Sysco Corporation COM 871829107 46235 1,785,123.00 SH Sole 671,028.00 1,114,095.00 Target Corporation COM 87612E106 39767 810,909.00 SH Sole 312,374.00 498,535.00 Telefonica Brasil S.A. ADR COM 87936R106 36425 1,377,121.00 SH Sole 555,287.00 821,834.00 Tellabs, Inc. COM 879664100 2673 623,110.00 SH Sole 623,110.00 Tetra Technologies, Inc. COM 88162F105 12909 1,672,119.00 SH Sole 1,376,499.00 295,620.00 The Dolan Company COM 25659P402 14431 1,605,272.00 SH Sole 1,319,622.00 285,650.00 Tompkins Financial Corporation COM 890110109 5475 153,028.00 SH Sole 104,798.00 48,230.00 Total System Services, Inc. COM 891906109 30101 1,777,991.00 SH Sole 1,777,991.00 Tower Group, Inc. COM 891777104 17873 781,830.00 SH Sole 606,340.00 175,490.00 True Religion Apparel, Inc. COM 89784N104 16741 620,950.00 SH Sole 510,830.00 110,120.00 U.S. Bancorp COM 902973304 18573 789,006.00 SH Sole 218,815.00 570,191.00 Unifirst Corporation COM 904708104 50405 1,112,947.00 SH Sole 965,626.00 147,321.00 Unisource Energy Corporation COM 909205106 38819 1,075,610.00 SH Sole 497,230.00 578,380.00 Unit Corp. COM 909218109 3879 105,055.00 SH Sole 105,055.00 United Parcel Service, Inc. Cl COM 911312106 45486 720,278.00 SH Sole 282,678.00 437,600.00 United Technologies Corporatio COM 913017109 25624 364,185.00 SH Sole 153,650.00 210,535.00 Verizon Communications, Inc. COM 92343V104 48314 1,312,884.00 SH Sole 430,641.00 882,243.00 Village Super Market COM 927107409 23691 989,597.00 SH Sole 809,285.00 180,312.00 Vodafone Group COM 92857W209 20956 816,670.00 SH Sole 793,995.00 22,675.00 W.R. Berkley Corp. COM 084423102 15162 510,675.00 SH Sole 510,675.00 Wal-Mart Stores, Inc. COM 931142103 27837 536,349.00 SH Sole 202,654.00 333,695.00 Waste Management, Inc. COM 94106L109 48490 1,489,236.00 SH Sole 578,480.00 910,756.00 Weis Markets, Inc. COM 948849104 8684 234,311.00 SH Sole 234,311.00 Western Union COM 959802109 201 13,123.00 SH Sole 13,123.00 White Mountains Insurance Grou COM G9618E107 64683 159,415.00 SH Sole 131,205.00 28,210.00 Winn-Dixie Stores, Inc. COM 974280307 21956 3,708,750.00 SH Sole 3,059,500.00 649,250.00 WMS Industries, Inc. COM 929297109 18788 1,068,106.00 SH Sole 880,846.00 187,260.00 REPORT SUMMARY 184 DATA RECORDS 4132397 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED Do not save this screen as a text file. This report automatically creates the text file inftable.txt, which meets all SEC filing requirements. For details on the location of this text file, see your Form 13F Report documentation.