-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OHJ+KN9LDI8fZhkfS15pXb5Kaas2llUAybDSj8ST01ZuapWrb3Ej7bxVRJs6VPkK cuRwVKiiIZJQPEJnU8hhog== 0000936753-09-000123.txt : 20091113 0000936753-09-000123.hdr.sgml : 20091113 20091113102956 ACCESSION NUMBER: 0000936753-09-000123 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 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: 091179581 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 hr13f3q09.txt HR13F093009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/09 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 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 11/13/09 - ----------------------------------- ---------------- -------------------- Report Type (Check only one.): | | 13F HOLDINGS REPORT. |_| 13F NOTICE. |X| 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-06386 GW Capital Management, LLC FORM 13F SUMMARY PAGE AS OF DATE:09/30/2009 REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 1 FORM 13F INFORMATION TABLE ENTRY TOTAL: 121 FORM 13F INFORMATION TABLE VALUE TOTAL: $4,513,902,314 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME 1 28-10561 AIC Investment Services, Inc.
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ----------------------- -------- --------- -------- ------- --- ---- ------- --------- ----- ------ ------ 21st Century Holding Company COMMON 90136Q100 189168 46825 SH SOLE 0 46825 0 0 Accenture plc COMMON G1151C101 71789101 1926190 SH SOLE 0 1825217 0 100973 Accenture plc COMMON G1151C101 11918946 319800 SH OTHER 1 319800 0 0 Adaptec, Inc. COMMON 00651F108 185754 55615 SH SOLE 0 55615 0 0 Advanced Photonix, Inc. COMMON 00754E107 14104 16400 SH SOLE 0 16400 0 0 Aflac Incorporated COMMON 001055102 55092287 1289010 SH SOLE 0 1208115 0 80895 Aflac Incorporated COMMON 001055102 9142086 213900 SH OTHER 1 213900 0 0 American Electric Technologies, Inc. COMMON 025576109 259332 110354 SH SOLE 0 110354 0 0 American Reprographics Company COMMON 029263100 140563 14765 SH SOLE 0 14765 0 0 Anixter International Inc. COMMON 035290105 122992422 3066378 SH SOLE 0 2940998 0 125380 Anixter International Inc. COMMON 035290105 363798 9070 SH OTHER 1 9070 0 0 Apollo Group, Inc. COMMON 037604105 1816702 24660 SH SOLE 0 16360 0 8300 Apollo Group, Inc. COMMON 037604105 5702058 77400 SH OTHER 1 77400 0 0 ATS Medical, Inc. COMMON 002083103 436079 162716 SH SOLE 0 162716 0 0 AuthenTec, Inc. COMMON 052660107 217322 77615 SH SOLE 0 77615 0 0 Ballantyne Strong, Inc. COMMON 058516105 455535 131278 SH SOLE 0 131278 0 0 Baxter International Inc. COMMON 071813109 37138537 651439 SH SOLE 0 628811 0 22628 Berkshire Hathaway Inc. COMMON 084670207 4326546 1302 SH SOLE 0 860 0 442 Berkshire Hathaway Inc. COMMON 084670207 12574232 3784 SH OTHER 1 3784 0 0 Bio-Rad Laboratories, Inc. COMMON 090572207 132670126 1443950 SH SOLE 0 1385094 0 58856 Bio-Rad Laboratories, Inc. COMMON 090572207 450212 4900 SH OTHER 1 4900 0 0 Black & Decker Corporation COMMON 091797100 116284229 2512081 SH SOLE 0 2416766 0 95315 Black & Decker Corporation COMMON 091797100 332825 7190 SH OTHER 1 7190 0 0 Blount International, Inc. COMMON 095180105 16094360 1699510 SH SOLE 0 1413760 0 297955 Blount International, Inc. COMMON 095180105 115581 12205 SH OTHER 0 0 12205 Bob Evans Farms, Inc. COMMON 096761101 15714892 540774 SH SOLE 0 452699 0 88075 Brady Corporation COMMON 104674106 79338943 2762498 SH SOLE 0 2635198 0 131605 Brady Corporation COMMON 104674106 423476 14745 SH OTHER 1 14745 0 0 Brady Corporation COMMON 104674106 123640 4305 SH OTHER 0 0 4305 Carnival Corporation & plc COMMON 143658300 59687414 1793492 SH SOLE 0 1694834 0 98658 Carnival Corporation & plc COMMON 143658300 9641216 289700 SH OTHER 1 289700 0 0 CB Richard Ellis Group, Inc. COMMON 12497T101 151467649 12901844 SH SOLE 0 12376164 0 525680 CB Richard Ellis Group, Inc. COMMON 12497T101 478992 40800 SH OTHER 1 40800 0 0 CBS Corporation COMMON 124857202 146412103 12150382 SH SOLE 0 11929095 0 221287 CBS Corporation COMMON 124857202 526585 43700 SH OTHER 1 43700 0 0 City National Corporation COMMON 178566105 106695646 2740705 SH SOLE 0 2623769 0 119806 City National Corporation COMMON 178566105 323314 8305 SH OTHER 1 8305 0 0 City National Corporation COMMON 178566105 111729 2870 SH OTHER 0 0 2870 Clorox Company COMMON 189054109 17507479 297645 SH SOLE 0 285412 0 12233 Constellation Brands, Inc. COMMON 21036P108 109251362 7211311 SH SOLE 0 7094375 0 123646 Constellation Brands, Inc. COMMON 21036P108 368145 24300 SH OTHER 1 24300 0 0 Constellation Brands, Inc. COMMON 21036P108 101657 6710 SH OTHER 0 0 6710 Covidien plc COMMON G2554F105 2630251 60801 SH SOLE 0 40301 0 20500 Covidien plc COMMON G2554F105 8522220 197000 SH OTHER 1 197000 0 0 CSP Inc. COMMON 126389105 84900 23404 SH SOLE 0 23404 0 0 Dell Inc. COMMON 24702R101 46303723 3034320 SH SOLE 0 2838155 0 196165 Dell Inc. COMMON 24702R101 10881906 713100 SH OTHER 1 713100 0 0 Dun & Bradstreet Corporation COMMON 26483E100 25959942 344662 SH SOLE 0 334458 0 11444 Dun & Bradstreet Corporation COMMON 26483E100 143108 1900 SH OTHER 1 1900 0 0 Dun & Bradstreet Corporation COMMON 26483E100 93397 1240 SH OTHER 0 0 1240 eBay Inc. COMMON 278642103 2126360 90100 SH SOLE 0 59700 0 30400 eBay Inc. COMMON 278642103 6615080 280300 SH OTHER 1 280300 0 0 Edgewater Technology, Inc. COMMON 280358102 132309 45003 SH SOLE 0 45003 0 0 Energizer Holdings, Inc. COMMON 29266R108 72097383 1086786 SH SOLE 0 1071960 0 16466 Energizer Holdings, Inc. COMMON 29266R108 300189 4525 SH OTHER 1 4525 0 0 Energizer Holdings, Inc. COMMON 29266R108 108798 1640 SH OTHER 0 0 1640 Equifax Inc. COMMON 294429105 106667932 3660533 SH SOLE 0 3606977 0 53556 Equifax Inc. COMMON 294429105 357111 12255 SH OTHER 1 12255 0 0 Exxon Mobil Corporation COMMON 30231G102 3208890 46770 SH SOLE 0 30970 0 15800 Exxon Mobil Corporation COMMON 30231G102 9972464 145350 SH OTHER 1 145350 0 0 Forward Industries, Inc. COMMON 349862300 68246 39910 SH SOLE 0 39910 0 0 Franklin Resources, Inc. COMMON 354613101 45468987 451978 SH SOLE 0 434217 0 17761 Gannett Co., Inc. COMMON 364730101 233453901 18661383 SH SOLE 0 17952367 0 709016 Gannett Co., Inc. COMMON 364730101 728082 58200 SH OTHER 1 58200 0 0 Green Plains Renewable Energy, Inc. COMMON 393222104 110859 15614 SH SOLE 0 15614 0 0 HCC Insurance Holdings, Inc. COMMON 404132102 66704708 2438929 SH SOLE 0 2337944 0 105217 HCC Insurance Holdings, Inc. COMMON 404132102 249022 9105 SH OTHER 1 9105 0 0 HCC Insurance Holdings, Inc. COMMON 404132102 115745 4232 SH OTHER 0 0 4232 Herman Miller, Inc. COMMON 600544100 11214966 663215 SH SOLE 0 554320 0 108895 Hess Corporation COMMON 42809H107 2272852 42515 SH SOLE 0 28215 0 14300 Hess Corporation COMMON 42809H107 7064739 132150 SH OTHER 1 132150 0 0 Hewitt Associates, Inc. COMMON 42822Q100 199408202 5473736 SH SOLE 0 5270964 0 202772 Hewitt Associates, Inc. COMMON 42822Q100 589984 16195 SH OTHER 1 16195 0 0 Horace Mann Educators Corporation COMMON 440327104 20698371 1481630 SH SOLE 0 1233215 0 259835 Horace Mann Educators Corporation COMMON 440327104 159537 11420 SH OTHER 0 0 11420 Hospira, Inc. COMMON 441060100 84351980 1891300 SH SOLE 0 1891300 0 2150 Hospira, Inc. COMMON 441060100 535200 12000 SH OTHER 1 12000 0 0 Hospira, Inc. COMMON 441060100 95890 2150 SH OTHER 0 0 2150 IDEX Corporation COMMON 45167R104 65076181 2328307 SH SOLE 0 2204727 0 128193 IDEX Corporation COMMON 45167R104 293475 10500 SH OTHER 1 10500 0 0 IDEX Corporation COMMON 45167R104 128933 4613 SH OTHER 0 0 4613 Illinois Tool Works Inc. COMMON 452308109 18555231 434447 SH SOLE 0 404922 0 29525 Illinois Tool Works Inc. COMMON 452308109 5180723 121300 SH OTHER 1 121300 0 0 IMS Health Incorporated COMMON 449934108 190475187 12408807 SH SOLE 0 11867477 0 550085 IMS Health Incorporated COMMON 449934108 12849101 837075 SH OTHER 1 837075 0 0 IMS Health Incorporated COMMON 449934108 134389 8755 SH OTHER 0 0 8755 Interface, Inc. COMMON 458665106 54184849 6528295 SH SOLE 0 6171370 0 373010 Interface, Inc. COMMON 458665106 190070 22900 SH OTHER 1 22900 0 0 Interface, Inc. COMMON 458665106 133506 16085 SH OTHER 0 0 16085 International Business Machines Corp. COMMON 459200101 2233119 18670 SH SOLE 0 12270 0 6400 International Business Machines Corp. COMMON 459200101 7212483 60300 SH OTHER 1 60300 0 0 International Game Technology COMMON 459902102 117420850 5466520 SH SOLE 0 5359975 0 111885 International Game Technology COMMON 459902102 461820 21500 SH OTHER 1 21500 0 0 International Game Technology COMMON 459902102 114703 5340 SH OTHER 0 0 5340 Interpublic Group of Companies, Inc. COMMON 460690100 169477661 22536923 SH SOLE 0 21622396 0 935167 Interpublic Group of Companies, Inc. COMMON 460690100 519181 69040 SH OTHER 1 69040 0 0 Interpublic Group of Companies, Inc. COMMON 460690100 155213 20640 SH OTHER 0 0 20640 J.M. Smucker Company COMMON 832696405 87090871 1642914 SH SOLE 0 1626894 0 16020 J.M. Smucker Company COMMON 832696405 382467 7215 SH OTHER 1 7215 0 0 Janus Capital Group Inc. COMMON 47102X105 164746431 11618225 SH SOLE 0 11125455 0 492770 Janus Capital Group Inc. COMMON 47102X105 531254 37465 SH OTHER 1 37465 0 0 Johnson & Johnson COMMON 478160104 4293354 70510 SH SOLE 0 46710 0 23800 Johnson & Johnson COMMON 478160104 12561607 206300 SH OTHER 1 206300 0 0 Jones Lang LaSalle Incorporated COMMON 48020Q107 178839040 3775365 SH SOLE 0 3629295 0 146070 Jones Lang LaSalle Incorporated COMMON 48020Q107 549492 11600 SH OTHER 1 11600 0 0 JPMorgan Chase & Co. COMMON 46625H100 2534549 57840 SH SOLE 0 38340 0 19500 JPMorgan Chase & Co. COMMON 46625H100 8315721 189770 SH OTHER 1 189770 0 0 Laboratory Corp. of America Holdings COMMON 50540R409 35882843 546162 SH SOLE 0 528037 0 18965 Laboratory Corp. of America Holdings COMMON 50540R409 55188 840 SH OTHER 0 0 840 Lazard Ltd COMMON G54050102 37582186 909760 SH SOLE 0 909760 0 0 Lazard Ltd COMMON G54050102 256122 6200 SH OTHER 1 6200 0 0 Lee Enterprises, Incorporated COMMON 523768109 8872476 3226355 SH SOLE 0 2596300 0 630055 Littelfuse, Inc. COMMON 537008104 18933078 721535 SH SOLE 0 599160 0 122375 Markel Corporation COMMON 570535104 96452231 292439 SH SOLE 0 279731 0 13053 Markel Corporation COMMON 570535104 226586 687 SH OTHER 1 687 0 0 Markel Corporation COMMON 570535104 113788 345 SH OTHER 0 0 345 Matthews International Corporation COMMON 577128101 17695802 500164 SH SOLE 0 416959 0 86375 Matthews International Corporation COMMON 577128101 112155 3170 SH OTHER 0 0 3170 MB Financial, Inc. COMMON 55264U108 398535 19005 SH SOLE 0 19005 0 0 McClatchy Company COMMON 579489105 9243935 3610912 SH SOLE 0 2879487 0 731425 Merck & Co., Inc. COMMON 589331107 2714487 85820 SH SOLE 0 57120 0 28700 Merck & Co., Inc. COMMON 589331107 8704576 275200 SH OTHER 1 275200 0 0 Meredith Corporation COMMON 589433101 59934940 2001835 SH SOLE 0 1896435 0 109235 Meredith Corporation COMMON 589433101 252245 8425 SH OTHER 1 8425 0 0 Meredith Corporation COMMON 589433101 114820 3835 SH OTHER 0 0 3835 Mitcham Industries, Inc. COMMON 606501104 263667 42527 SH SOLE 0 42527 0 0 Mohawk Industries, Inc. COMMON 608190104 36538647 766170 SH SOLE 0 766170 0 1785 Mohawk Industries, Inc. COMMON 608190104 196244 4115 SH OTHER 1 4115 0 0 Mohawk Industries, Inc. COMMON 608190104 85127 1785 SH OTHER 0 0 1785 Morgan Stanley COMMON 617446448 3419960 110750 SH SOLE 0 73250 0 37500 Morgan Stanley COMMON 617446448 10690656 346200 SH OTHER 1 346200 0 0 Myriad Pharmaceuticals, Inc. COMMON 62856H107 130766 22315 SH SOLE 0 22315 0 0 Newell Rubbermaid Inc. COMMON 651229106 64182455 4090660 SH SOLE 0 4090660 0 0 Newell Rubbermaid Inc. COMMON 651229106 453441 28900 SH OTHER 1 28900 0 0 Nordstrom, Inc. COMMON 655664100 91006299 2979905 SH SOLE 0 2933140 0 51420 Nordstrom, Inc. COMMON 655664100 355791 11650 SH OTHER 1 11650 0 0 Nordstrom, Inc. COMMON 655664100 142164 4655 SH OTHER 0 0 4655 Northern Trust Corporation COMMON 665859104 38308247 658670 SH SOLE 0 641735 0 16935 Omnicom Group Inc. COMMON 681919106 48512120 1313268 SH SOLE 0 1235812 0 77456 Omnicom Group Inc. COMMON 681919106 10860360 294000 SH OTHER 1 294000 0 0 Orion Energy Systems, Inc. COMMON 686275108 316049 100974 SH SOLE 0 100974 0 0 Peerless Systems Corporation COMMON 705536100 205287 90435 SH SOLE 0 90435 0 0 Perceptron, Inc. COMMON 71361F100 303896 69701 SH SOLE 0 69701 0 0 PrivateBancorp, Inc. COMMON 742962103 76169663 3114050 SH SOLE 0 2976175 0 137875 PrivateBancorp, Inc. COMMON 742962103 365677 14950 SH OTHER 1 14950 0 0 Radio One, Inc. COMMON 75040P405 5093526 5197475 SH SOLE 0 4207175 0 990300 Red Lion Hotels Corporation COMMON 756764106 246071 42795 SH SOLE 0 42795 0 0 Royal Caribbean Cruises Ltd. COMMON V7780T103 69287672 2877395 SH SOLE 0 2877395 0 6790 Royal Caribbean Cruises Ltd. COMMON V7780T103 498456 20700 SH OTHER 1 20700 0 0 Royal Caribbean Cruises Ltd. COMMON V7780T103 163503 6790 SH OTHER 0 0 6790 Shoe Carnival, Inc. COMMON 824889109 228602 14825 SH SOLE 0 14825 0 0 Sotheby's COMMON 835898107 53240321 3089978 SH SOLE 0 2960728 0 134580 Sotheby's COMMON 835898107 186084 10800 SH OTHER 1 10800 0 0 Sotheby's COMMON 835898107 91836 5330 SH OTHER 0 0 5330 Steak n Shake Company COMMON 857873103 185201 15735 SH SOLE 0 15735 0 0 Steelcase Inc. COMMON 858155203 5536606 891563 SH SOLE 0 737938 0 153625 T. Rowe Price Group, Inc. COMMON 74144T108 31775621 695309 SH SOLE 0 665210 0 30099 Thermo Fisher Scientific Inc. COMMON 883556102 41850970 958346 SH SOLE 0 921146 0 37200 Tiffany & Co. COMMON 886547108 110879515 2877745 SH SOLE 0 2811780 0 69570 Tiffany & Co. COMMON 886547108 6754309 175300 SH OTHER 1 175300 0 0 Tiffany & Co. COMMON 886547108 138901 3605 SH OTHER 0 0 3605 TomoTherapy Incorporated COMMON 890088107 217604 50255 SH SOLE 0 50255 0 0 Toyota Motor Corporation COMMON 892331307 1857395 23640 SH SOLE 0 15640 0 8000 Toyota Motor Corporation COMMON 892331307 6049890 77000 SH OTHER 1 77000 0 0 Tyco International Ltd. COMMON H89128104 3450276 100066 SH SOLE 0 66266 0 33800 Tyco International Ltd. COMMON H89128104 10226768 296600 SH OTHER 1 296600 0 0 Versar, Inc. COMMON 925297103 209466 43100 SH SOLE 0 43100 0 0 Viacom Inc. COMMON 92553P201 41283853 1472320 SH SOLE 0 1418145 0 54175 Vical Incorporated COMMON 925602104 474215 111318 SH SOLE 0 111318 0 0 Walt Disney Company COMMON 254687106 2755474 100345 SH SOLE 0 66445 0 33900 Walt Disney Company COMMON 254687106 8534568 310800 SH OTHER 1 310800 0 0 Waste Management, Inc. COMMON 94106L109 1990783 66760 SH SOLE 0 44160 0 22600 Waste Management, Inc. COMMON 94106L109 6011712 201600 SH OTHER 1 201600 0 0 White Electronic Designs Corporation COMMON 963801105 347332 75180 SH SOLE 0 75180 0 0 Zimmer Holdings, Inc. COMMON 98956P102 51268438 959185 SH SOLE 0 926735 0 32450 4513902314
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