VP, Compliance

0000936753-20-000063.txt : 20200514 0000936753-20-000063.hdr.sgml : 20200514 20200514132305 ACCESSION NUMBER: 0000936753-20-000063 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200514 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200514 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: 20876712 BUSINESS ADDRESS: STREET 1: 200 EAST RANDOLPH STREET STREET 2: SUITE 2900 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: (312) 726-0140 MAIL ADDRESS: STREET 1: 200 EAST RANDOLPH STREET 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 primary_doc.xml 13F-HR LIVE false true false 0000936753 XXXXXXXX 03-31-2020 03-31-2020 ARIEL INVESTMENTS, LLC

200 EAST RANDOLPH STREET SUITE 2900 CHICAGO IL 60601

13F HOLDINGS REPORT 028-04003 N Jim Prescott VP, Compliance 3126122759 Jim Prescott Naperville IL 05-14-2020 0 148 5700743 false INFORMATION TABLE 2 FORM13FTable03312020.xml 13F1Q20 180 Degree Capital Corp.COMMON68235B10940052948659SHSOLE0294865900Acacia Communications, Inc.COMMON00401C1086846101912SHSOLE048483053429Acacia Research Corp.COMMON00388130749172214854SHSOLE076608601448768Adtalem Global Education, Inc.COMMON00737L103757912829062SHSOLE026957620133300Affiliated Managers Group, Inc.COMMON00825210838982659154SHSOLE0638354020800Aflac, Inc.COMMON001055102544201589373SHSOLE0157972309650Alithya Group Inc.CL A SUB VTG01643B106776445779SHSOLE044577900Amdocs Ltd.COMMONG0260210353334970246SHSOLE04445610525685Apache Corp.COMMON037411105947226670SHSOLE022667000AstroNova, Inc.COMMON04638F1082886371866SHSOLE037186600AXT Inc.COMMON00246W10310231823SHSOLE03182300Baidu, Inc. ADRADR0567521082158292141373SHSOLE013262950815078Ballantyne Strong, Inc.COMMON05851610558523422031SHSOLE0342203100Banco Santander-Chile ADRADR05965X10911892786020SHSOLE04721760313844Bank of New York Mellon Corp.COMMON0640581003406101136SHSOLE010113600Berkshire Hathaway Inc.COMMON084670702109751600288SHSOLE02635630336725Bio-Rad Laboratories, Inc.COMMON09057220755674158814SHSOLE0141929016885Blackstone Group IncCOMMON09260D10712488274046SHSOLE027254601500BOK Financial Corp.COMMON05561Q201582811369393SHSOLE01309293060100Booking Holdings Inc.COMMON09857L10815131125SHSOLE05350590BorgWarner, Inc.COMMON099724106527642165104SHSOLE02153304011800Brady Corp.COMMON10467410620156446620SHSOLE0370565076055Brink's Co.COMMON10969610428538548273SHSOLE0453273095000Bristol-Myers Squibb Co.COMMON1101221087497134506SHSOLE061681072825Capital Southwest Corp.COMMON1405011071713149989SHSOLE014998900Cardinal Health, Inc.COMMON14149Y10834108711463SHSOLE070736304100CarMax Inc.COMMON14313010229553549013SHSOLE054571303300Carnival CorpCOMMON143658300137791046230SHSOLE0103993006300CBRE Group, Inc.COMMON12504L109651701728199SHSOLE01697099031100Century Casinos, Inc.COMMON15649210029911241271SHSOLE0124127100Charles River Laboratories Intl, Inc.COMMON15986410786527685583SHSOLE0627858057725Check Point Software Technologies Ltd.ORDM22465104667766412SHSOLE041218025194China Mobile Ltd. ADRADR16941M10931403833636SHSOLE05526380280998Cisco Systems, Inc.COMMON17275R102317180659SHSOLE038327042332Costco Wholesale Corp.COMMON22160K105372413061SHSOLE0620906852Cowen Inc.COMMON2236226067598786548SHSOLE078654800Crown Crafts, Inc.COMMON22830910013227524SHSOLE02752400Cumberland Pharmaceuticals, Inc.COMMON23077010939361084223SHSOLE0108422300Discover Financial ServicesCOMMON25470910810109283404SHSOLE01346120148792EMCORE CorporationCOMMON2908462032207985327SHSOLE098532700Envista Holdings CorpCOMMON29415F104520973487094SHSOLE033287940158300Enzo Biochem, Inc.COMMON2941001022201870079SHSOLE087007900EOG Resources Inc.COMMON26875P101498121386759SHSOLE07482600638499Equity CommonwealthCOMMON29462810213068412102SHSOLE02549840157118Evercore IncCOMMON29977A105252954900SHSOLE05490000Exxon Mobil Corp.COMMON30231G102285175098SHSOLE07509800FabrinetSHSG3323L10064211774SHSOLE0720404570Fair Isaac Corp.COMMON3032501041021733204SHSOLE02772905475First American Financial Corp.COMMON31847R1021368153226010SHSOLE030601100165900Foot Locker, Inc.COMMON344849104223881015346SHSOLE04813880533958Gaia, Inc.COMMON36269P1048066908327SHSOLE090832700Generac Holdings Inc.COMMON36873610430161323718SHSOLE0264418059300Gilead Sciences, Inc.COMMON3755581031993282666235SHSOLE0126445001401785GlaxoSmithKline plc ADRADR37733W105442451167730SHSOLE05688030598927Goldman Sachs Group, Inc.COMMON38141G10419862128480SHSOLE01279200560Green Brick Partners Inc.COMMON3927091013473431418SHSOLE043141800GSI Technology Inc.COMMON36241U1063441494400SHSOLE049440000Gulf Island Fabrication, Inc.COMMON402307102474157838SHSOLE015783800Hanger, Inc.COMMON41043F2084990320294SHSOLE032029400Horace Mann Educators Corp.COMMON4403271049183250965SHSOLE0208225042740Houlihan Lokey, Inc.COMMON44159310038770743857SHSOLE073895704900Illinois Tool Works, Inc.COMMON4523081091236887025SHSOLE0865250500IntercontinentalExchange, Inc.COMMON45866F104543267272SHSOLE031992035280InterDigital Inc.COMMON45867G101134430119SHSOLE014327015792Interpublic Group of Cos., Inc.COMMON4606901001499379261081SHSOLE089007990360282ISHARES MSCI ACWI EX US ETFETF4642882402195804SHSOLE0580400iShares Russell 2000V ETFETF4642876309007109800SHSOLE010980000J.M. Smucker Co.COMMON8326964051226181104669SHSOLE01086669018000Janus Henderson Group plcORD SHSG4474Y214311882035755SHSOLE018884850147270Jernigan Capital, Inc.COMMON4764051051631148796SHSOLE014879600JLLCOMMON48020Q10780996802095SHSOLE0760675041420Johnson & JohnsonCOMMON478160104113870868374SHSOLE04377110430663Kennametal, Inc.COMMON4891701001214826524284SHSOLE061997840324500Keysight Technologies, Inc.COMMON49338L1031006931203306SHSOLE01184881018425Kindred Biosciences, Inc.COMMON49457710971061776477SHSOLE0177647700KKR & Co Inc.COMMON48251W1041184985048925SHSOLE04955525093400Knowles CorporationCOMMON49926D109593564436195SHSOLE041727950263400Korn/Ferry InternationalCOMMON50064320016671685482SHSOLE05732820112200Laboratory Corp. of America HoldingsCOMMON50540R409106991846517SHSOLE0833267013250Lakeland Industries, Inc.COMMON5117951062163139544SHSOLE013954400Lazard Ltd.COMMONG540501021244595282628SHSOLE050285280254100Littelfuse, Inc.COMMON53700810452513393593SHSOLE0354718038875Lockheed Martin Corp.COMMON539830109803523706SHSOLE02370600Masco CorporationCOMMON574599106409521184624SHSOLE01147324037300Mattel, Inc.COMMON57708110215505217599495SHSOLE0168835950715900Matthews Intl Corp.COMMON5771281016013248556SHSOLE0205626042930Meredith Corp.COMMON589433101343382809966SHSOLE02712966097000Methode Electronics Inc.COMMON59152020024819939030SHSOLE07956300143400Microsoft Corp.COMMON5949181042835441797885SHSOLE08540850943800Mitcham Industries, Inc.COMMON60650110436362908648SHSOLE027466960161952Mohawk Industries, Inc.COMMON60819010459898785656SHSOLE0754456031200Molson Coors Beverage CoCOMMON60871R209579751486161SHSOLE01449961036200Mosaic Co.COMMON61945C1034475413608SHSOLE041360800Movado Group Inc.COMMON6245801061769149625SHSOLE014962500MSG Networks, Inc.COMMON553573106944039255161SHSOLE089076610347500MTS Systems Corp.COMMON55377710312050535552SHSOLE0444312091240National Oilwell VarcoCOMMON637071101180601837185SHSOLE01827085010100Nielsen Holdings plcCOMMONG6518L108908527244978SHSOLE068970780347900Nokia Corp. ADRADR6549022045530117838921SHSOLE01070085907138062Nordstrom, Inc.COMMON6556641007944517859SHSOLE051475903100Northern Trust Corp.COMMON6658591041457661931699SHSOLE01911899019800Norwegian Cruise Line Holdings LtdCOMMONG667211047321668008SHSOLE05515080116500Novartis AG ADRADR66987V109338941104SHSOLE03933701767Omnicom Group, Inc.COMMON68191910631347570989SHSOLE056739303596OneSpaWorld Holdings LimitedCOMP7368411370051725487SHSOLE014691150256372Oracle Corp.COMMON68389X1058639178755SHSOLE017875500ORBCOMM, Inc.COMMON68555P10066652731365SHSOLE0273136500Orion Energy Systems, Inc.COMMON686275108905244479SHSOLE024447900PCTEL, Inc.COMMON69325Q10562193427SHSOLE09342700Perceptron, Inc.COMMON71361F10034211187854SHSOLE0118785400Philip Morris Intl, Inc.COMMON7181721093054324186300SHSOLE0283213801354162Progressive Corp.COMMON74331510366577901632SHSOLE089613205500Pure Cycle Corp.COMMON7462283032448219556SHSOLE021955600QUALCOMM Inc.COMMON747525103581685972SHSOLE040884045088Quest Diagnostics Inc.COMMON74834L10047568592375SHSOLE02701200322255RealNetworks, Inc.COMMON75605L70844416083130SHSOLE0608313000Rosetta Stone Inc.COMMON7777801078361596337SHSOLE0504937091400Royal Caribbean Cruises Ltd.COMMONV7780T10330587950791SHSOLE0928691022100Rubicon Technology, Inc.COMMON78112T20651466568SHSOLE06656800Safeguard Scientifics Inc.COMMON7864492072440439615SHSOLE043961500Schlumberger Ltd.COMMON806857108234701739797SHSOLE08263860913411SEI Investments CoCOMMON784117103312267378SHSOLE032044035334Simpson Manufacturing Co., Inc.COMMON82907310557189922707SHSOLE0830907091800Snap-on, Inc.COMMON833034101107100984192SHSOLE0939167045025Stanley Black & Decker, Inc.COMMON85450210154673546728SHSOLE054367603052Stericycle Inc.COMMON8589121081415932914645SHSOLE027753450139300Strattec Security Corp.COMMON8631111003305228373SHSOLE022837300Synacor, Inc.COMMON87156110614861456508SHSOLE0145650800Tapestry, Inc.COMMON876030107212651642101SHSOLE07785890863512Team, Inc.COMMON87815510098421514101SHSOLE013000010214100TEGNA, Inc.COMMON87901J105541584986967SHSOLE046897670297200Tejon Ranch Co.COMMON8790801094676332549SHSOLE033254900Tenaris ADRADR88031M1098033666657SHSOLE05611390105518The Charles Schwab CorporationCOMMON80851310525591761173SHSOLE075657304600The Madison Square Garden Co.COMMON55825T10342349200315SHSOLE0174658025657The Middleby CorporationCOMMON596278101312554936SHSOLE05023604700U.S. BancorpCOMMON9029733049816284933SHSOLE01352470149686U.S. Silica Holdings, Inc.COMMON90346E1032008011155583SHSOLE0106386830516900Vail Resorts IncCOMMON91879Q10946201312781SHSOLE0298168014613Vanguard FTSE Developed ETFETF921943858353651060742SHSOLE0105407906663Vanguard Total World Stock Index Fd (ETF)ETF922042742275343844SHSOLE04384400Verizon Communications Inc.COMMON92343V104835971555875SHSOLE06718860883989ViacomCBS Inc.COMMON92556H206868596199771SHSOLE06140348059423Western Union Co.COMMON9598021097345405139SHSOLE0388039017100Willis Towers Watson plcSHSG9662910334622203837SHSOLE020254401293ZAGG IncCOMMON98884U1082415776601SHSOLE077660100Zebra Technologies Corp.COMMON98920710591615498994SHSOLE049032408670Zimmer Biomet Holdings, Inc.COMMON98956P10248121476068SHSOLE047346802600