-----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, WpuJOB9p5oNp+YuCg+CPgGDFi8JSCAbveHae0ZjbELewCq0HKH8yfciv2Y6Lp435 NMkoFsmJLFGR8Ur2nznVVQ== 0000936753-10-000047.txt : 20100514 0000936753-10-000047.hdr.sgml : 20100514 20100514110727 ACCESSION NUMBER: 0000936753-10-000047 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100514 DATE AS OF CHANGE: 20100514 EFFECTIVENESS DATE: 20100514 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: 10831296 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 hr13f1q2010.txt HR13F1Q2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03/31/2010 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 May 14, 2010 - ----------------------------------- ---------------- -------------------- 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: 3/31/2010 REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 1 FORM 13F INFORMATION TABLE ENTRY TOTAL: 168 FORM 13F INFORMATION TABLE VALUE TOTAL: $5,240,443,173 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME 1 28-05955 PAX WORLD MANAGEMENT CORP
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- -------- ------ ------ 21st Century Holding Co. COMMON 90136Q100 138895 34042 SH SOLE 0 34042 0 0 Accenture plc COMMON G1151C101 77619036 1850275 SH SOLE 0 1747192 0 103083 Adaptec, Inc. COMMON 00651F108 185049 56590 SH SOLE 0 56590 0 0 Advanced Photonix, Inc. COMMON 00754E107 98637 176138 SH SOLE 0 176138 0 0 Aflac Inc. COMMON 001055102 73620009 1356051 SH SOLE 0 1279526 0 76525 American Electric Technologies, Inc. COMMON 025576109 200213 72279 SH SOLE 0 72279 0 0 American Reprographics Co. COMMON 029263100 270715 30180 SH SOLE 0 30180 0 0 Anixter Intl Inc. COMMON 035290105 104848895 2237970 SH SOLE 0 2159745 0 78225 Anixter Intl Inc. COMMON 035290105 11010 235 SH OTHER 1 235 0 0 Apollo Group, Inc. COMMON 037604105 4696959 76635 SH SOLE 0 40235 0 36400 ATS Medical, Inc. COMMON 002083103 410933 158051 SH SOLE 0 158051 0 0 AuthenTec, Inc. COMMON 052660107 190200 88465 SH SOLE 0 88465 0 0 Ballantyne Strong, Inc. COMMON 058516105 453940 84063 SH SOLE 0 84063 0 0 Bank of New York Mellon Corp. COMMON 064058100 4298959 139215 SH SOLE 0 73315 0 65900 Baxter Intl Inc. COMMON 071813109 48768050 837939 SH SOLE 0 795141 0 42798 Berkshire Hathaway Inc. COMMON 084670702 2781466 34225 SH SOLE 0 18075 0 16150 Bio-Rad Laboratories, Inc. COMMON 090572207 144751291 1398293 SH SOLE 0 1356518 0 41775 Bio-Rad Laboratories, Inc. COMMON 090572207 18634 180 SH OTHER 1 180 0 0 Blount Intl, Inc. COMMON 095180105 16721527 1614047 SH SOLE 0 1425147 0 188900 Blount Intl, Inc. COMMON 095180105 126444 12205 SH OTHER 0 0 12205 Bob Evans Farms, Inc. COMMON 096761101 19131404 618939 SH SOLE 0 546439 0 72500 Brady Corp. COMMON 104674106 79850279 2565883 SH SOLE 0 2494733 0 71150 Brady Corp. COMMON 104674106 16649 535 SH OTHER 1 535 0 0 Brady Corp. COMMON 104674106 133972 4305 SH OTHER 0 0 4305 Brink's Co. COMMON 109696104 70812019 2508396 SH SOLE 0 2431796 0 76600 Brink's Co. COMMON 109696104 12562 445 SH OTHER 1 445 0 0 Brink's Co. COMMON 109696104 115461 4090 SH OTHER 0 0 4090 Carnival Corp. & plc COMMON 143658300 63385947 1630297 SH SOLE 0 1541029 0 89268 CB Richard Ellis Group, Inc. COMMON 12497T101 177514278 11199639 SH SOLE 0 10982339 0 217300 CB Richard Ellis Group, Inc. COMMON 12497T101 24171 1525 SH OTHER 1 1525 0 0 CBS Corp. COMMON 124857202 150508396 10796872 SH SOLE 0 10653890 0 142982 CBS Corp. COMMON 124857202 21189 1520 SH OTHER 1 1520 0 0 City National Corp. COMMON 178566105 128273413 2376754 SH SOLE 0 2302598 0 74156 City National Corp. COMMON 178566105 14572 270 SH OTHER 1 270 0 0 Clorox Co. COMMON 189054109 26685768 416055 SH SOLE 0 404537 0 11518 Constellation Brands, Inc. COMMON 21036P108 77152361 4692966 SH SOLE 0 4639790 0 53176 Constellation Brands, Inc. COMMON 21036P108 10111 615 SH OTHER 1 615 0 0 Constellation Brands, Inc. COMMON 21036P108 77761 4730 SH OTHER 0 0 4730 Covidien plc COMMON G2554F105 3804235 75661 SH SOLE 0 39761 0 35900 Crown Crafts, Inc. COMMON 228309100 162965 51735 SH SOLE 0 51735 0 0 CSP Inc. COMMON 126389105 97196 26999 SH SOLE 0 26999 0 0 Dell Inc. COMMON 24702R101 50086894 3334680 SH SOLE 0 3099480 0 235200 DeVry Inc. COMMON 251893103 23048200 353500 SH SOLE 0 353500 0 0 DeVry Inc. COMMON 251893103 5542 85 SH OTHER 1 85 0 0 Dun & Bradstreet Corp. COMMON 26483E100 100436116 1349585 SH SOLE 0 1337796 0 11789 Dun & Bradstreet Corp. COMMON 26483E100 15628 210 SH OTHER 1 210 0 0 Dun & Bradstreet Corp. COMMON 26483E100 106049 1425 SH OTHER 0 0 1425 Edgewater Technology Inc. COMMON 280358102 146698 45843 SH SOLE 0 45843 0 0 Energizer Holdings, Inc. COMMON 29266R108 83992147 1338307 SH SOLE 0 1323876 0 14431 Energizer Holdings, Inc. COMMON 29266R108 11611 185 SH OTHER 1 185 0 0 Energizer Holdings, Inc. COMMON 29266R108 110771 1765 SH OTHER 0 0 1765 Equifax Inc. COMMON 294429105 87668007 2448827 SH SOLE 0 2428546 0 20281 Equifax Inc. COMMON 294429105 11098 310 SH OTHER 1 310 0 0 Exxon Mobil Corp. COMMON 30231G102 4251221 63470 SH SOLE 0 33270 0 30200 Fair Isaac Corp. COMMON 303250104 41860160 1651940 SH SOLE 0 1593440 0 58500 Fair Isaac Corp. COMMON 303250104 6969 275 SH OTHER 1 275 0 0 Fair Isaac Corp. COMMON 303250104 111749 4410 SH OTHER 0 0 4410 Franklin Resources, Inc. COMMON 354613101 47896712 431891 SH SOLE 0 419455 0 12436 Gannett Co., Inc. COMMON 364730101 217282819 13152713 SH SOLE 0 12779982 0 372731 Gannett Co., Inc. COMMON 364730101 24037 1455 SH OTHER 1 1455 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- -------- ------ ------ Guaranty Bancorp COMMON 40075T102 114257 71860 SH SOLE 0 71860 0 0 HCC Insurance Holdings, Inc. COMMON 404132102 78915852 2859270 SH SOLE 0 2772110 0 87160 HCC Insurance Holdings, Inc. COMMON 404132102 14490 525 SH OTHER 1 525 0 0 HCC Insurance Holdings, Inc. COMMON 404132102 116803 4232 SH OTHER 0 0 4232 Herman Miller, Inc. COMMON 600544100 59098009 3272315 SH SOLE 0 3157395 0 114920 Herman Miller, Inc. COMMON 600544100 9933 550 SH OTHER 1 550 0 0 Hess Corp. COMMON 42809H107 3859648 61705 SH SOLE 0 32405 0 29300 Hewitt Associates, Inc. COMMON 42822Q100 204824992 5148944 SH SOLE 0 4983227 0 165717 Hewitt Associates, Inc. COMMON 42822Q100 24465 615 SH OTHER 1 615 0 0 Horace Mann Educators Corp. COMMON 440327104 22337278 1483219 SH SOLE 0 1311454 0 171765 Horace Mann Educators Corp. COMMON 440327104 155720 10340 SH OTHER 0 0 10340 Hospira, Inc. COMMON 441060100 96729592 1707495 SH SOLE 0 1707495 0 0 Hospira, Inc. COMMON 441060100 23510 415 SH OTHER 1 415 0 0 Hospira, Inc. COMMON 441060100 121798 2150 SH OTHER 0 0 2150 IDEX Corp. COMMON 45167R104 76078066 2298431 SH SOLE 0 2212226 0 86205 IDEX Corp. COMMON 45167R104 13571 410 SH OTHER 1 410 0 0 IDEX Corp. COMMON 45167R104 152690 4613 SH OTHER 0 0 4613 Illinois Tool Works Inc. COMMON 452308109 27712562 585147 SH SOLE 0 568647 0 16500 Interface, Inc. COMMON 458665106 83968398 7251157 SH SOLE 0 6968257 0 282900 Interface, Inc. COMMON 458665106 11638 1005 SH OTHER 1 1005 0 0 Interface, Inc. COMMON 458665106 186264 16085 SH OTHER 0 0 16085 International Business Machines COMMON 459200101 4565315 35597 SH SOLE 0 18697 0 16900 Corp. International Game Technology COMMON 459902102 118083782 6400205 SH SOLE 0 6337505 0 62700 International Game Technology COMMON 459902102 16974 920 SH OTHER 1 920 0 0 International Game Technology COMMON 459902102 98523 5340 SH OTHER 0 0 5340 Interpublic Group of Cos., Inc. COMMON 460690100 200054500 24045012 SH SOLE 0 23215080 0 829932 Interpublic Group of Cos., Inc. COMMON 460690100 25168 3025 SH OTHER 1 3025 0 0 Interpublic Group of Cos., Inc. COMMON 460690100 171725 20640 SH OTHER 0 0 20640 J.M. Smucker Co. COMMON 832696405 113617157 1885449 SH SOLE 0 1867449 0 18000 J.M. Smucker Co. COMMON 832696405 16873 280 SH OTHER 1 280 0 0 Janus Capital Group Inc. COMMON 47102X105 174782162 12231082 SH SOLE 0 11882322 0 348760 Janus Capital Group Inc. COMMON 47102X105 20935 1465 SH OTHER 1 1465 0 0 Johnson & Johnson COMMON 478160104 5649841 86654 SH SOLE 0 44654 0 42000 Jones Lang LaSalle Inc. COMMON 48020Q107 218084329 2991965 SH SOLE 0 2906720 0 85245 Jones Lang LaSalle Inc. COMMON 48020Q107 25147 345 SH OTHER 1 345 0 0 JPMorgan Chase & Co. COMMON 46625H100 3227370 72120 SH SOLE 0 37820 0 34300 Knoll, Inc. COMMON 498904200 15479775 1375980 SH SOLE 0 1216180 0 159800 Laboratory Corp. of America COMMON 50540R409 46106709 608991 SH SOLE 0 591991 0 17000 Laboratory Corp. of America COMMON 50540R409 107887 1425 SH OTHER 0 0 1425 Lazard Ltd COMMON G54050102 107137128 3001040 SH SOLE 0 2977740 0 23300 Lazard Ltd COMMON G54050102 17315 485 SH OTHER 1 485 0 0 Lazard Ltd COMMON G54050102 106565 2985 SH OTHER 0 0 2985 Lee Enterprises, Inc. COMMON 523768109 11339953 3345119 SH SOLE 0 2939264 0 405855 Littelfuse, Inc. COMMON 537008104 25803659 678865 SH SOLE 0 596515 0 82350 Lockheed Martin Corp. COMMON 539830109 3885958 46695 SH SOLE 0 23695 0 23000 Markel Corp. COMMON 570535104 111546398 297727 SH SOLE 0 288984 0 8743 Markel Corp. COMMON 570535104 14237 38 SH OTHER 1 38 0 0 Markel Corp. COMMON 570535104 129258 345 SH OTHER 0 0 345 Matthews Intl Corp. COMMON 577128101 19071985 537239 SH SOLE 0 473884 0 63355 Matthews Intl Corp. COMMON 577128101 112535 3170 SH OTHER 0 0 3170 MB Financial, Inc. COMMON 55264U108 204122 9060 SH SOLE 0 9060 0 0 McClatchy Co. COMMON 579489105 11941051 2431986 SH SOLE 0 2131586 0 300400 McCormick & Co., Inc. COMMON 579780206 92600656 2413990 SH SOLE 0 2389390 0 24600 McCormick & Co., Inc. COMMON 579780206 13426 350 SH OTHER 1 350 0 0 Merck & Co., Inc. COMMON 58933Y105 3984685 106685 SH SOLE 0 56585 0 50100 Meredith Corp. COMMON 589433101 67981772 1975640 SH SOLE 0 1903540 0 72100 Meredith Corp. COMMON 589433101 11355 330 SH OTHER 1 330 0 0 Meredith Corp. COMMON 589433101 131962 3835 SH OTHER 0 0 3835 Middleby Corp. COMMON 596278101 3932245 68280 SH SOLE 0 59780 0 8500
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- -------- ------ ------ Middleby Corp. COMMON 596278101 46072 800 SH OTHER 0 0 800 Mitcham Industries, Inc. COMMON 606501104 276128 38192 SH SOLE 0 38192 0 0 Mohawk Industries, Inc. COMMON 608190104 149641253 2751770 SH SOLE 0 2679170 0 72600 Mohawk Industries, Inc. COMMON 608190104 16042 295 SH OTHER 1 295 0 0 Mohawk Industries, Inc. COMMON 608190104 147914 2720 SH OTHER 0 0 2720 Morgan Stanley COMMON 617446448 4495283 153475 SH SOLE 0 80075 0 73400 Myriad Pharmaceuticals, Inc. COMMON 62856H107 130131 28790 SH SOLE 0 28790 0 0 Newell Rubbermaid Inc. COMMON 651229106 77716460 5112925 SH SOLE 0 5112925 0 0 Newell Rubbermaid Inc. COMMON 651229106 18848 1240 SH OTHER 1 1240 0 0 Nordstrom, Inc. COMMON 655664100 105826010 2590600 SH SOLE 0 2557500 0 33100 Nordstrom, Inc. COMMON 655664100 14298 350 SH OTHER 1 350 0 0 Nordstrom, Inc. COMMON 655664100 138890 3400 SH OTHER 0 0 3400 Northern Trust Corp. COMMON 665859104 73193970 1324538 SH SOLE 0 1297838 0 26700 Omnicom Group Inc. COMMON 681919106 63508684 1636400 SH SOLE 0 1537504 0 98896 Orion Energy Systems, Inc. COMMON 686275108 534708 109124 SH SOLE 0 109124 0 0 PCTEL, Inc. COMMON 69325Q105 185740 30055 SH SOLE 0 30055 0 0 Peerless Systems Corp. COMMON 705536100 250512 92100 SH SOLE 0 92100 0 0 Perceptron, Inc. COMMON 71361F100 387024 88971 SH SOLE 0 88971 0 0 PrivateBancorp, Inc. COMMON 742962103 75578859 5516705 SH SOLE 0 5368105 0 148600 PrivateBancorp, Inc. COMMON 742962103 13358 975 SH OTHER 1 975 0 0 Red Lion Hotels Corp. COMMON 756764106 301904 41815 SH SOLE 0 41815 0 0 Royal Caribbean Cruises Ltd. COMMON V7780T103 78683789 2385080 SH SOLE 0 2385080 0 0 Royal Caribbean Cruises Ltd. COMMON V7780T103 20289 615 SH OTHER 1 615 0 0 Royal Caribbean Cruises Ltd. COMMON V7780T103 124867 3785 SH OTHER 0 0 3785 Shoe Carnival, Inc. COMMON 824889109 259004 11330 SH SOLE 0 11330 0 0 Sigma Designs, Inc. COMMON 826565103 156947 13380 SH SOLE 0 13380 0 0 Sotheby's COMMON 835898107 87393990 2811000 SH SOLE 0 2713000 0 98000 Sotheby's COMMON 835898107 10571 340 SH OTHER 1 340 0 0 Sotheby's COMMON 835898107 165710 5330 SH OTHER 0 0 5330 St. Jude Medical, Inc. COMMON 790849103 48755906 1187720 SH SOLE 0 1159020 0 28700 Stanley Black & Decker, Inc. COMMON 854502101 119708139 2085144 SH SOLE 0 2066305 0 18839 Stanley Black & Decker, Inc. COMMON 854502101 14180 247 SH OTHER 1 247 0 0 Steelcase Inc. COMMON 858155203 5533810 855303 SH SOLE 0 746503 0 108800 Symmetry Medical Inc. COMMON 871546206 19481666 1940405 SH SOLE 0 1722105 0 218300 T. Rowe Price Group, Inc. COMMON 74144T108 41391530 752984 SH SOLE 0 731825 0 21159 Team, Inc. COMMON 878155100 15229885 918016 SH SOLE 0 816216 0 101800 Team, Inc. COMMON 878155100 80959 4880 SH OTHER 0 0 4880 Thermo Fisher Scientific Inc. COMMON 883556102 56250000 1093507 SH SOLE 0 1063657 0 29850 Tiffany & Co. COMMON 886547108 118256749 2490140 SH SOLE 0 2462240 0 27900 Tiffany & Co. COMMON 886547108 14247 300 SH OTHER 1 300 0 0 Tiffany & Co. COMMON 886547108 155055 3265 SH OTHER 0 0 3265 TomoTherapy Inc. COMMON 890088107 266635 78192 SH SOLE 0 78192 0 0 Toyota Motor Corp. COMMON 892331307 3015750 37500 SH SOLE 0 18900 0 18600 Tyco Intl Ltd. COMMON H89128104 4622551 120851 SH SOLE 0 64651 0 56200 Versar Inc. COMMON 925297103 177922 58720 SH SOLE 0 58720 0 0 Viacom, Inc. COMMON 92553P201 72439176 2107015 SH SOLE 0 2054915 0 52100 Vical Inc. COMMON 925602104 371438 111543 SH SOLE 0 111543 0 0 Walt Disney Co. COMMON 254687106 4345248 124470 SH SOLE 0 65370 0 59100 Zimmer Holdings, Inc. COMMON 98956P102 61437109 1037789 SH SOLE 0 1009389 0 28400
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