-----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, NIeCWfYXNFzny879+vT6TFtaQ29OvoN751mfuOG82s7wKY7yHD97M6K2Dg50ME3U oxdLD9kroM4lAVRMM9t/tA== 0000902584-09-000140.txt : 20091113 0000902584-09-000140.hdr.sgml : 20091113 20091113151338 ACCESSION NUMBER: 0000902584-09-000140 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: ADVISORY RESEARCH INC CENTRAL INDEX KEY: 0000902584 IRS NUMBER: 132831881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05637 FILM NUMBER: 091181219 BUSINESS ADDRESS: STREET 1: 180 N. STETSON STREET STREET 2: STE 5500 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3125651414 MAIL ADDRESS: STREET 1: 180 N. STETSON STREET STREET 2: SUITE 5780 CITY: CHICAGO STATE: IL ZIP: 60601 13F-HR 1 ari3q09hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30, 2009 Check here if Amendment: [ ] # ____ This Amendment [ ] is a restatement. [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: Advisory Research, Inc. Address: 180 North Stetson, Suite 5500 Chicago, IL 60601 13F File Number: 028-05637 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 the Reporting Manager: Name: Brien M. O'Brien Title: Chairman & CEO Phone: 312-565-1414 Signature, Place and Date of Signing: /s/ Brien M. O'Brien, Chairman & CEO November 13, 2009 - ------------------------------- ----------------------- Signature / Title Date Report Type: [X] 13F HOLDINGS REPORT. Securities with an aggregate market value of $200,000 and above are reported in this report. [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE ADVISORY RESEARCH INC. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 257 Form 13F Information Table Total Value ('000): 4507828 List of Other Managers: NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F HOLDINGS REPORT Report for the Quarter Ended: September 30, 2009 ADVISORY RESEARCH, INC. FORM 13F INFOMRATION TABLE NAME OF ISSUER TITLE CUSIP VALUE SH/P PUT/ INV OTR VOT AUTH OF CL AMT('000) CALL DSC MGR SOLE SHARED NONE 3M COMPANY COM 88579Y101 244 3310 SOLE 3310 A D C TELECOMMUNIC COM 000886309 78367 9396549 SOLE 9396549 A T & T INC COM 00206R102 14077 521191 SOLE 521191 ALBANY MOLECULAR COM 012423109 35129 4056520 SOLE 4056520 ALCOA INC COM 013817101 15057 1147663 SOLE 1147663 ALLEGHENY TECHNOLOG COM 01741R102 55642 1590240 SOLE 1590240 AMCORE FINL INC COM 023912108 16 10000 SOLE 10000 AMERCO INC COM 023586100 21169 461597 SOLE 461597 AMERICAN PHYSICIANS COM 028882108 3833 166357 SOLE 166357 AMERICAN RAILCAR COM 02916P103 26099 2459805 SOLE 2459805 AMERICANWEST BANCOR COM 03058P109 5 10000 SOLE 10000 AMERICREDIT CORP COM 03060R101 87797 5560284 SOLE 5560284 AMERIGAS PARTNERS UNITLP 030975106 642 17800 SOLE 17800 AMERON INC COM 030710107 39690 567163 SOLE 567163 ANALOGIC CORP COM 032657207 38583 1042218 SOLE 1042218 ANCHOR BANCORP WIS COM 032839102 13 10000 SOLE 10000 ANDERSONS INC COM 034164103 2090 59370 SOLE 59370 APACHE CORP COM 037411105 14409 156907 SOLE 156907 APARTMENT INVESTM CL A 03748R101 529 35853 SOLE 35853 APPLE INC COM 037833100 440 2373 SOLE 2373 ASSISTED LIVING CL A 04544X300 36449 1759105 SOLE 1759105 ATLANTIC AMERICAN COM 048209100 107 101901 SOLE 101901 AVALON HLDGS CORP CL A 05343P109 1052 375703 SOLE 375703 AVATAR HOLDINGS COM 053494100 372 19554 SOLE 19554 AVNET INC COM 053807103 131537 5064977 SOLE 5064977 BANCTRUST FINANCIAL COM 05978R107 36 10000 SOLE 10000 BANK AMER CORP COM 060505104 5383 318171 SOLE 318171 BANK OF NEW YORK COM 064058100 1365 47086 SOLE 47086 BARNWELL INDS INC COM 068221100 357 82149 SOLE 82149 BECTON DICKINSON COM 075887109 2938 42115 SOLE 42115 BENEFICIAL MUTUAL COM 08173R104 13433 1472949 SOLE 1472949 BERKLEY W R CORP COM 084423102 16038 634398 SOLE 634398 BERKSHIRE HATHAWAY CL A 084670108 505 5 SOLE 5 BERKSHIRE HATHAWAY CL B 084670207 13784 4148 SOLE 4148 BEXIL CORP COM 088577101 2161 88200 SOLE 88200 BFC FINANCIAL CORP CL A 055384200 6 10000 SOLE 10000 BOSS HLDGS INC COM 10011B101 768 138150 SOLE 138150 BOSTON PRIVATE FINL COM 101119105 1006 155500 SOLE 155500 BOSWELL J G CO COM 101205102 858 1781 SOLE 1781 BRINKS HOME SECURIT COM 109699108 66970 2175070 SOLE 2175070 BURLINGTON NORTHERN COM 12189T104 12675 158769 SOLE 158769 CABOT OIL & GAS COM 127097103 82775 2315374 SOLE 2315374 CADENCE FINL CORP COM 12738A101 18 10000 SOLE 10000 CAGLES INC CL A CL A 127703106 1282 316649 SOLE 316649 CAPITOL FEDERAL FNL COM 14057C106 86930 2640646 SOLE 2640646 CARRIZO OIL & GAS COM 144577103 16154 659604 SOLE 659604 CASCADE BANCORP COM 147154108 12 10000 SOLE 10000 CASEYS GEN STORES COM 147528103 78199 2492006 SOLE 2492006 CATERPILLAR INC COM 149123101 12020 234176 SOLE 234176 CENTER FINL CORP COM 15146E102 1254 328302 SOLE 328302 CENTERPOINT ENERGY COM 15189T107 24903 2003486 SOLE 2003486 CENTRAL PAC FINL COM 154760102 25 10000 SOLE 10000 CENTURYTEL INC COM 156700106 79677 2371344 SOLE 2371344 CERADYNE INC COM 156710105 13906 758647 SOLE 758647 CHEVIOT FINL CORP COM 166774109 1943 227005 SOLE 227005 CHEVRON CORP COM 166764100 16894 239875 SOLE 239875 CHICAGO RIVET & MAC COM 168088102 943 65700 SOLE 65700 CHICOS FAS INC COM 168615102 21044 1618767 SOLE 1618767 CITIZENS FIRST BANC COM 17461R106 8 10000 SOLE 10000 CITIZENS REPUBLIC COM 174420109 8 10000 SOLE 10000 CITY BK LYNNWOOD COM 17770A109 26 10000 SOLE 10000 CNX GAS CORP COM 12618H309 115293 3755457 SOLE 3755457 COAST DISTRIBUTION COM 190345108 236 64956 SOLE 64956 COLONIAL BANCGROUP COM 195493309 1 10000 SOLE 10000 COLUMBIA BANCORP COM 197231103 21 10000 SOLE 10000 COMCAST CORP CL A CL A 20030N101 14924 884142 SOLE 884142 COMMERCIAL METALS COM 201723103 55598 3106009 SOLE 3106009 COMMUNICATIONS SYS COM 203900105 3261 279222 SOLE 279222 COMSTOCK RESOURCES COM 205768203 1354 33785 SOLE 33785 CONSOLIDATED COMMUN COM 209034107 807 50400 SOLE 50400 CONSTELLATION ENERG COM 21038E101 411 103000 SOLE 103000 CONTANGO OIL & GAS COM 21075N204 960 18795 SOLE 18795 CONTINENTAL RESOURC COM 212015101 5092 130000 SOLE 130000 CVB FINL CORP COM 126600105 717 94450 SOLE 94450 DELTIC TIMBER CORP COM 247850100 63197 1380745 SOLE 1380745 DENBURY RESOURCES COM 247916208 86031 5686092 SOLE 5686092 E TRADE FINANCIAL COM 269246104 23 13155 SOLE 13155 EASTERN INS HLDGS COM 276534104 5088 533917 SOLE 533917 EATON CORP COM 278058102 1058 18694 SOLE 18694 EDISON INTL COM 281020107 1380 41105 SOLE 41105 EL PASO ELEC CO COM 283677854 42034 2378810 SOLE 2378810 ELBIT MEDICAL IMAG ORDSHS M37605108 1793 71589 SOLE 71589 ENCORE ACQUISITION COM 29255W100 44081 1178625 SOLE 1178625 ENCORE WIRE CORP COM 292562105 96205 4306398 SOLE 4306398 EQUITY RESIDENTIAL COM 29476L107 377 12294 SOLE 12294 ESPEY MFG & ELECTRS COM 296650104 3180 179482 SOLE 179482 EUROBANCSHARES INC COM 298716101 18 10000 SOLE 10000 EVOLUTION PETROLEUM COM 30049A107 4152 1397994 SOLE 1397994 EXELON CORP COM 30161N101 12989 261760 SOLE 261760 EXXON MOBIL CORP COM 30231G102 273 3975 SOLE 3975 FAIRPOINT COMMUNIC COM 305560104 16 40000 SOLE 40000 FIFTH THIRD BANCORP COM 316773100 1507 148775 SOLE 148775 FIRST MARINER BANC COM 320795107 12 10000 SOLE 10000 FIRST PL FINL CORP COM 33610T109 30 10000 SOLE 10000 FIRST REGL BANCORP COM 33615C101 12 10000 SOLE 10000 FIRST ST BANCORP COM 336453105 12 10000 SOLE 10000 FIRSTCITY FINANCIAL COM 33761X107 972 119997 SOLE 119997 FIRSTFED FINANCIAL COM 337907109 4 10000 SOLE 10000 FLAGSTAR BANCORP COM 337930101 10 10000 SOLE 10000 FLIR SYS INC COM 302445101 14471 517368 SOLE 517368 FOOT LOCKER INC COM 344849104 51260 4289576 SOLE 4289576 FOSTER L B CO COM 350060109 14829 484910 SOLE 484910 FRONTIER COMMUNICAT COM 35906A108 674 89442 SOLE 89442 FRONTIER FINL CORP COM 35907K105 11 10000 SOLE 10000 FROZEN FOOD EXPRESS COM 359360104 62 20998 SOLE 20998 GATX CORP COM 361448103 33481 1197903 SOLE 1197903 GENERAL MLS INC COM 370334104 248 3855 SOLE 3855 GOVERNMENT PPTYS COM 38376A103 1393 58000 SOLE 58000 GRANITE CONSTR INC COM 387328107 57382 1854616 SOLE 1854616 GREAT PLAINS ENERGY COM 391164100 193 10751 SOLE 10751 GREENE CNTY BANCORP COM 394357107 681 47626 SOLE 47626 GUARANTY BANCORP COM 40075T102 15 10000 SOLE 10000 GUARANTY FINL GROUP COM 40108N106 1 10000 SOLE 10000 HALLWOOD GROUP INC COM 406364406 4613 183053 SOLE 183053 HANMI FINL CORP COM 410495105 16 10000 SOLE 10000 HASBRO INC COM 418056107 1618 58298 SOLE 58298 HEALTHCARE SERVICES COM 421906108 47422 2582914 SOLE 2582914 HEWLETT PACKARD CO COM 428236103 15561 329605 SOLE 329605 HF FINL CORP COM 404172108 1048 95608 SOLE 95608 HOME FEDERAL BANCOR COM 43710G105 6435 563480 SOLE 563480 HUDSON CITY BANCORP COM 443683107 63300 4813705 SOLE 4813705 I B M COM 459200101 321 2687 SOLE 2687 INDEPENDENT BANK COM 453838104 19 10000 SOLE 10000 INTEGRA BK CORP COM 45814P105 11 10000 SOLE 10000 INVESTORS BANCORP COM 46146P102 99755 9401966 SOLE 9401966 IOWA TELECOMMUNICAT COM 462594201 605 48000 SOLE 48000 IRWIN FINL CORP COM 464119106 1 10000 SOLE 10000 ISHARES RUSSEL 2000 RUSSEL 464287630 623 11039 SOLE 11039 J ALEXANDER CORP COM 466096104 2244 532815 SOLE 532815 J.P. MORGAN CHASE COM 46625H100 29248 667462 SOLE 667462 JEFFERIES GROUP INC COM 472319102 146426 5377370 SOLE 5377370 JOHNSON & JOHNSON COM 478160104 14318 235139 SOLE 235139 KAISER ALUMINUM COM 483007704 46326 1274084 SOLE 1274084 KEARNY FINL CORP COM 487169104 2287 219526 SOLE 219526 KINDER MORGAN ENRGY COM 494550106 2593 48000 SOLE 48000 KROGER CO COM 501044101 8289 401614 SOLE 401614 LADISH INC COM 505754200 709 46877 SOLE 46877 LEUCADIA NATIONAL COM 527288104 139752 5653402 SOLE 5653402 LIBERTY MEDIA CORP SER A 53071M500 17346 557576 SOLE 557576 LIMONEIRA CO COM 532746104 1377 10505 SOLE 10505 LOWES COMPANIES INC COM 548661107 7217 344674 SOLE 344674 LSB CORP COM 50215P100 505 49000 SOLE 49000 MARCUS CORP COM 566330106 28378 2218746 SOLE 2218746 MARQUETTE NATL CORP COM 571599109 275 500 SOLE 500 MARSHALL & ILSLEY COM 571837103 2460 304826 SOLE 304826 MAUI LD & PINEAPPLE COM 577345101 214 33965 SOLE 33965 MCRAE INDS INC CL A CL A 582757209 1139 130161 SOLE 130161 MEDTRONIC INC COM 585055106 12769 346977 SOLE 346977 MENS WEARHOUSE INC COM 587118100 83678 3387783 SOLE 3387783 MERCK & CO INC COM 589331107 16955 536033 SOLE 536033 MICROSOFT CORP COM 594918104 14667 570259 SOLE 570259 MIDWEST BANC HLDGS COM 598251106 7 10000 SOLE 10000 MOLEX INC CL A CL A 608554200 57176 3042910 SOLE 3042910 MOTORCAR PTS & ACC COM 620071100 2369 462698 SOLE 462698 NEW ULM TELECOM INC COM 649060100 790 143640 SOLE 143640 NORFOLK SOUTHN CORP COM 655844108 1087 25212 SOLE 25212 NORTHERN TR CORP COM 665859104 678 11664 SOLE 11664 NORTHROP GRUMMAN COM 666807102 10889 210416 SOLE 210416 OLYMPIC STEEL INC COM 68162K106 5498 191641 SOLE 191641 ONEBEACON INSURANCE CL A G67742109 55986 4074657 SOLE 4074657 ONEOK INC COM 682680103 64911 1772554 SOLE 1772554 ORAMED PHARM INC COM 68403P104 6 10000 SOLE 10000 OVERSEAS SHIPHLDG COM 690368105 96172 2573515 SOLE 2573515 PACIFIC CAP BANCORP COM 69404P101 14 10000 SOLE 10000 PACIFIC PREMIER BAN COM 69478X105 270 62778 SOLE 62778 PANHANDLE OIL & GAS CL A 698477106 1834 85853 SOLE 85853 PETROHAWK ENERGY COM 716495106 4842 200000 SOLE 200000 PIONEER NATURAL RES COM 723787107 27652 761980 SOLE 761980 PLAINS ALL AMERICAN UNITLP 726503105 44527 961914 SOLE 961914 PLUM CREEK TIMBER COM 729251108 72744 2374162 SOLE 2374162 POPULAR INC COM 733174106 28 10000 SOLE 10000 POTASH CORP SASK COM 73755L107 14220 157406 SOLE 157406 PRICESMART INC COM 741511109 11175 595984 SOLE 595984 PRIVATEBANCORP INC COM 742962103 28896 1181347 SOLE 1181347 PROCTER & GAMBLE COM 742718109 2125 36691 SOLE 36691 PROLOGIS SH BEN INT COM 743410102 261 21922 SOLE 21922 QUEST ENERGY PTNER COM 74836B209 945 410774 SOLE 410774 QUEST RESOURCE CORP COM 748349305 1367 2337295 SOLE 2337295 QUICKSILVER RESOURC COM 74837R104 3977 280260 SOLE 280260 RANGE RES CORP COM 75281A109 7190 145660 SOLE 145660 RAYMOND JAMES FINL COM 754730109 69468 2984036 SOLE 2984036 REGENCY AFFILIATES COM 758847305 434 114215 SOLE 114215 REGIONS FINANCIAL COM 7591EP100 39958 6434403 SOLE 6434403 RESOLUTE ENERGY COM 76116A108 51763 5001266 SOLE 5001266 ROCK OF AGES CORP COM 772632105 711 226354 SOLE 226354 ROME BANCORP INC COM 77587P103 1237 140870 SOLE 140870 SCHEID VINEYARDS CL A 806403200 608 33210 SOLE 33210 SCHERING PLOUGH COM 806605101 2540 89918 SOLE 89918 SCHNITZER STL INDS CL A 806882106 100534 1887959 SOLE 1887959 SEACOAST BKG CORP COM 811707306 25 10000 SOLE 10000 SHENANDOAH TELEC COM 82312B106 3741 208415 SOLE 208415 SHOE CARNIVAL INC COM 824889109 4694 304438 SOLE 304438 SL GREEN RLTY CORP COM 78440X101 103704 2364962 SOLE 2364962 SLM CORPORATION COM 78442P106 9368 1074319 SOLE 1074319 SMUCKER J M CO COM 832696405 7477 141050 SOLE 141050 SOTHEBYS COM 835898107 80968 4699267 SOLE 4699267 SOUTH FINL GROUP COM 837841105 15 10000 SOLE 10000 SPECTRA ENERGY CORP COM 847560109 7266 383635 SOLE 383635 STERLING FINL CORP COM 859319105 20 10000 SOLE 10000 STIFEL FINANCIAL COM 860630102 664 12090 SOLE 12090 SUPERIOR UNIFORM COM 868358102 2695 346403 SOLE 346403 SUPREME INDS INC CL A 868607102 228 93631 SOLE 93631 TANDY BRANDS ACC COM 875378101 2394 703998 SOLE 703998 TELLABS INC COM 879664100 65624 9483206 SOLE 9483206 TERRITORIAL BANCORP COM 88145X108 2172 138500 SOLE 138500 TESSCO TECHNOLOGIES COM 872386107 4616 265294 SOLE 265294 TEXAS INDS INC COM 882491103 4472 106500 SOLE 106500 TFS FINANCIAL CORP COM 87240R107 31077 2611476 SOLE 2611476 THIRD CENTY BANCORP COM 884120106 476 95197 SOLE 95197 TIERONE CORP COM 88650R108 33 10000 SOLE 10000 TRINITY INDS INC COM 896522109 83739 4871388 SOLE 4871388 TUESDAY MORNING COM 899035505 320 76812 SOLE 76812 UCBH HOLDINGS INC COM 90262T308 46 57800 SOLE 57800 ULTRA PETE CORP COM 903914109 2819 57580 SOLE 57580 UMB FINANCIAL CORP COM 902788108 123067 3043195 SOLE 3043195 UNITED CMNTY FINL COM 909839102 17 10000 SOLE 10000 UNITED FINL BANCORP COM 91030T109 3317 286477 SOLE 286477 UNITED FIRE & CAS COM 910331107 33801 1888337 SOLE 1888337 UNITED TECHNOLOGIES COM 913017109 14902 244569 SOLE 244569 UNITEDHEALTH GROUP COM 91324P102 9421 376243 SOLE 376243 UNIVERSAL SEC INST COM 913821302 163 27351 SOLE 27351 VAIL RESORTS INC COM 91879Q109 115258 3436440 SOLE 3436440 VALERO ENERGY CORP COM 91913Y100 15330 790631 SOLE 790631 VENOCO INC COM 92275P307 6974 605938 SOLE 605938 VIRGINIA COMM BANC COM 92778Q109 40 10000 SOLE 10000 VULCAN INTL CORP COM 929136109 1928 50738 SOLE 50738 WAL MART STORES INC COM 931142103 1850 37680 SOLE 37680 WALGREEN COMPANY COM 931422109 16030 427808 SOLE 427808 WARWICK VALLEY TEL COM 936750108 2961 250758 SOLE 250758 WEBSTER FINL CORP COM 947890109 1368 109706 SOLE 109706 WELLS FARGO & CO COM 949746101 1756 62315 SOLE 62315 WENDYS/ARBYS GROUP COM 950587105 186 39386 SOLE 39386 WEST COAST BANCORP COM 952145100 25 10000 SOLE 10000 WESTFIELD FINANCIAL COM 96008P104 4660 550180 SOLE 550180 WEYERHAEUSER CO COM 962166104 10812 295015 SOLE 295015 WHITE MOUNTAINS INS COM G9618E107 78450 255529 SOLE 255529 WHITING PETE CORP COM 966387102 4319 75000 SOLE 75000 WINDSTREAM CORP COM 97381W104 748 73829 SOLE 73829 WINN DIXIE STORES COM 974280307 79620 6068629 SOLE 6068629 ZIMMER HLDGS INC COM 98956P102 1259 23556 SOLE 23556 ZIONS BANCORP COM 989701107 3410 189774 SOLE 189774 ZORAN CORP COM 98975F101 476 41300 SOLE 41300 HARVEST ENERGY TR UNIT 41752X101 178 25530 SOLE 25530 PENGROWTH ENERGY TR UNIT 706902509 347 30600 SOLE 30600 PENN WEST ENERGY TR UNIT 707885109 531 31300 SOLE 31300 CARRIZO OIL&GAS NOTE 144577AA1 7602 9385000 SOLE 9385000 PENN VIRGINIA 4.50% NOTE 707882AA4 3600 4000000 SOLE 4000000 PROLOGIS 1.875% NOTE 743410AR3 1281 1500000 SOLE 1500000 PROLOGIS 2.250% NOTE 743410AQ5 2163 2400000 SOLE 2400000 RECKSON SLG PT DEB 75621LAJ3 1980 2000000 SOLE 2000000 SEAHAWK DRILLING COM 81201R107 951 30600 SOLE 30600 USEC INC 3.000% NOTE 90333EAC2 1385 2000000 SOLE 2000000 MFS INTERMARKET INC SHBEN 59318R103 239 29986 SOLE 29986 EQUITY RESIDENTIAL PFDCNV 29476L883 309 8725 SOLE 8725 LEGG MASON INC 7.0% UNIT 524901303 5045 142100 SOLE 142100 WHITING PETROLEUM PFDCNV 966387201 5258 35000 SOLE 35000 HICKS ACQUISITION *W EXP 429086127 3268 5187213 SOLE 5187213 4507828 257 -----END PRIVACY-ENHANCED MESSAGE-----