-----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, Ica4L1MSEq4ZXaEQ+s8lf6rGfevO7dg0QSMzqhN/Id0JRlJ8MhoHr6+f/DrR/KLX soUKXYprY7YFydw7iDXygw== 0000909012-09-001307.txt : 20091021 0000909012-09-001307.hdr.sgml : 20091021 20091021162803 ACCESSION NUMBER: 0000909012-09-001307 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091021 DATE AS OF CHANGE: 20091021 EFFECTIVENESS DATE: 20091021 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: 091130390 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 t305644.txt 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, 2009 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 Operations 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: 173 Form 13F Information Table Value Total: 3,305,658 (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 -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ---- River Road Asset Management, LLC FORM 13F 30-Sep-09 3M Company COM 88579Y101 11,764 159,401 SH Sole 26,385 133,016 Abercrombie & Fitch Company COM 002896207 5,713 173,745 SH Sole 172,905 840 Affiliated Computer Services, COM 008190100 7,649 141,205 SH Sole 140,545 660 Air Methods Corporation COM 009128307 6,753 207,335 SH Sole 157,705 49,630 Airgas, Inc. COM 009363102 15,288 316,061 SH Sole 314,621 1,440 Alleghany Corporation COM 017175100 11,655 44,993 SH Sole 44,780 213 Allete, Inc. COM 018522300 4,703 140,086 SH Sole 116,755 23,331 Alliance Resource Partner COM 01877R108 21,292 587,194 SH Sole 116,530 470,664 Altria Group, Inc. COM 02209S103 9,431 529,530 SH Sole 529,530 Amerco COM 023586100 26,157 570,358 SH Sole 473,023 97,335 American Dairy, Inc. COM 025334103 28,020 989,045 SH Sole 814,692 174,353 AptarGroup, Inc. COM 038336103 85,591 2,290,976 SH Sole 1,926,101 364,875 Arthur J. Gallagher & Company COM 363576109 11,424 468,765 SH Sole 130,290 338,475 Automatic Data Processing, Inc COM 053015103 30,916 786,660 SH Sole 89,856 696,804 Avista Corporation COM 05379B107 6,725 332,575 SH Sole 48,025 284,550 BancFirst Corporation COM 05945F103 772 20,901 SH Sole 16,091 4,810 BancorpSouth, Inc. COM 059692103 43,755 1,792,491 SH Sole 940,110 852,381 Bank of Hawaii Corporation COM 062540109 41,735 1,004,697 SH Sole 508,095 496,602 Barnes & Noble, Inc. COM 067774109 12,349 555,765 SH Sole 476,845 78,920 BCE, Inc. COM 05534B760 957 38,805 SH Sole 37,205 1,600 Becton, Dickinson and Company COM 075887109 2,108 30,225 SH Sole 28,975 1,250 Big Lots, Inc. COM 089302103 26,214 1,047,725 SH Sole 881,945 165,780 Boardwalk Pipeline Partners COM 096627104 11,801 475,476 SH Sole 76,550 398,926 Brinks Home Security Holdings, COM 109699108 57,691 1,873,702 SH Sole 1,583,350 290,352 Bristol-Myers Squibb COM 110122108 11,444 508,166 SH Sole 508,166 Bristow Group, Inc. COM 110394103 12,306 414,475 SH Sole 350,775 63,700 Brown-Forman Corporation Class COM 115637209 10,393 215,535 SH Sole 48,675 166,860 Cal Dive International, Inc. COM 12802T101 8,721 881,843 SH Sole 735,926 145,917 Cardinal Health, Inc. COM 14149Y108 10,756 401,350 SH Sole 58,225 343,125 Caseys General Store COM 147528103 73,471 2,341,328 SH Sole 1,976,108 365,220 Cass Information Systems, Inc. COM 14808P109 7,268 243,412 SH Sole 176,292 67,120 Chevron Corporation COM 166764100 47,990 681,384 SH Sole 48,725 632,659 Chindex International, Inc. COM 169467107 11,050 878,408 SH Sole 643,047 235,361 Chubb Corporation COM 171232101 23,626 468,677 SH Sole 75,875 392,802 Cincinnati Financial Corporati COM 172062101 6,151 236,665 SH Sole 47,750 188,915 CKX, Inc. COM 12562M106 15,364 2,289,728 SH Sole 1,911,338 378,390 Clorox Company COM 189054109 20,784 353,349 SH Sole 72,000 281,349 Coca-Cola Bottling Class A COM 191098102 17,919 370,000 SH Sole 307,238 62,762 Coca-Cola Company COM 191216100 11,697 217,825 SH Sole 217,825 Commerce Bancshares COM 200525103 27,348 734,385 SH Sole 419,894 314,491 Compass Minerals International COM 20451N101 19,226 312,009 SH Sole 95,495 216,514 Computer Services, Inc. COM 20539A105 4,330 123,360 SH Sole 86,290 37,070 Conoco Phillips COM 20825C104 11,296 250,125 SH Sole 250,125 Copart, Inc. COM 217204106 19,708 593,442 SH Sole 517,082 76,360 Cornell Companies COM 219141108 2,331 103,860 SH Sole 77,340 26,520 Cracker Barrel Old Country Sto COM 22410J106 54,159 1,574,398 SH Sole 1,197,258 377,140 Cullen/Frost Bankers, Inc. COM 229899109 17,209 333,250 SH Sole 50,350 282,900 Darden Restaurants, Inc. COM 237194105 6,855 200,850 SH Sole 26,850 174,000 Diageo PLC ADS COM 25243Q205 2,343 38,100 SH Sole 36,600 1,500 Dime Community Bancshares, Inc COM 253922108 2,021 176,800 SH Sole 133,170 43,630 Dollar Tree, Inc. COM 256746108 32,484 667,300 SH Sole 574,575 92,725 Dress Barn, Inc. COM 261570105 20,663 1,152,415 SH Sole 955,186 197,229 Duke Energy Corporation COM 26441C105 20,180 1,282,101 SH Sole 191,675 1,090,426 Eastern American Natural Gas S COM 276217106 4,972 208,724 SH Sole 148,684 60,040 Electro Rent Corporation COM 285218103 11,313 982,000 SH Sole 724,300 257,700 Encore Acquisition COM 29255W100 36,217 968,359 SH Sole 810,569 157,790 Encore Energy Partners COM 29257A106 9,098 569,705 SH Sole 210,800 358,905 ENI S.p.A. COM 26874R108 2,878 57,725 SH Sole 55,375 2,350 Equifax, Inc. COM 294429105 19,237 660,166 SH Sole 657,166 3,000 Erie Indemnity Company Class A COM 29530P102 877 23,400 SH Sole 22,300 1,100 Evolution Petroleum Corporatio COM 30049A107 7,573 2,549,876 SH Sole 1,842,371 707,505 Exelon Corporation COM 30161N101 17,336 349,374 SH Sole 36,075 313,299 First Citizens Bancshares COM 31946M103 18,758 117,903 SH Sole 87,973 29,930 FirstService Corporation COM 33761N109 16,074 832,850 SH Sole 684,050 148,800 Forrester Research, Inc. COM 346563109 13,282 498,565 SH Sole 412,075 86,490 Fred's, Inc. Class A COM 356108100 27,556 2,164,658 SH Sole 1,796,918 367,740 Frischs Restaurants COM 358748101 11,884 459,187 SH Sole 327,922 131,265 Frontier Oil COM 35914P105 17,873 1,283,955 SH Sole 1,074,475 209,480 General Dynamics Corporation COM 369550108 2,088 32,325 SH Sole 32,325 General Electric Company COM 369604103 34,377 2,093,631 SH Sole 2,093,631 General Mills, Inc. COM 370334104 15,832 245,919 SH Sole 61,325 184,594 Genuine Parts Company COM 372460105 16,625 436,819 SH Sole 72,275 364,544 Glatfelter COM 377316104 25,423 2,214,527 SH Sole 1,849,817 364,710 Gyrodyne Company of America COM 403820103 4,224 100,596 SH Sole 70,486 30,110 Hampshire Group, Ltd. COM 408859106 1,344 515,105 SH Sole 362,415 152,690 Hewitt Associates, Inc. COM 42822Q100 6,189 169,895 SH Sole 169,095 800 Hillenbrand, Inc. COM 431571108 51,921 2,548,909 SH Sole 1,348,667 1,200,242 Hilltop Holdings Corporation COM 432748101 24,895 2,030,550 SH Sole 1,710,920 319,630 Honeywell International, Inc. COM 438516106 18,835 506,986 SH Sole 73,300 433,686 HQ Sustainable Maritime COM 40426A208 7,598 863,360 SH Sole 635,687 227,673 IESI-BFC Ltd. COM 44951D108 988 76,475 SH Sole 73,325 3,150 Industrias Bachoco S.A.B. de C COM 456463108 31,599 1,504,715 SH Sole 1,205,572 299,143 Ingram Micro, Inc. COM 457153104 32,477 1,927,444 SH Sole 1,662,405 265,039 Integrys Energy Group, Inc. COM 45822P105 15,517 432,351 SH Sole 179,760 252,591 Intel Corporation COM 458140100 22,981 1,174,274 SH Sole 194,150 980,124 Interdigital, Inc. COM 45867G101 5,550 239,656 SH Sole 200,616 39,040 International Flavors & Fragra COM 459506101 13,957 367,962 SH Sole 69,925 298,037 International Speedway Corpora COM 460335201 15,941 578,184 SH Sole 481,854 96,330 Ituran Location and Control, L COM M6158M104 14,744 1,428,699 SH Sole 1,156,168 272,531 J&J Snack Foods Corporation COM 466032109 14,622 338,544 SH Sole 278,129 60,415 J.M. Smucker Company COM 832696405 12,674 239,094 SH Sole 34,125 204,969 JAKKS Pacific, Inc. COM 47012E106 14,336 1,001,095 SH Sole 831,325 169,770 Johnson & Johnson COM 478160104 44,648 733,264 SH Sole 60,700 672,564 Jos. A Bank Clothiers, Inc. COM 480838101 14,687 328,060 SH Sole 275,078 52,982 Kimberly Clark Corporation COM 494368103 15,055 255,248 SH Sole 49,200 206,048 Kindred Healthcare COM 494580103 7,367 453,905 SH Sole 383,805 70,100 Korn Ferry International COM 500643200 14,359 984,145 SH Sole 810,096 174,049 Lincoln Education Services, In COM 533535100 21,820 953,683 SH Sole 773,223 180,460 Mac-Gray Corporation COM 554153106 19,920 1,847,826 SH Sole 1,331,306 516,520 Magellan Midstream Partners, L COM 559080106 18,945 503,859 SH Sole 92,325 411,534 Martek Biosciences COM 572901106 23,156 1,025,035 SH Sole 854,485 170,550 Max Capital Group COM G6052F103 16,715 782,155 SH Sole 658,527 123,628 McCormick & Company, Inc. COM 579780206 19,101 562,775 SH Sole 113,900 448,875 McDonalds Corporation COM 580135101 28,753 503,825 SH Sole 51,100 452,725 Medallion Financial Corporatio COM 583928106 15,927 1,905,107 SH Sole 1,405,969 499,138 Merck & Company, Inc. COM 589331107 7,655 242,028 SH Sole 242,028 Microsoft Corporation COM 594918104 19,367 753,007 SH Sole 79,850 673,157 Monarch Casino & Resort, Inc. COM 609027107 4,187 389,165 SH Sole 290,635 98,530 Nathans Famous COM 632347100 4,182 284,086 SH Sole 206,050 78,036 National Beverage Corporation COM 635017106 12,966 1,126,489 SH Sole 924,783 201,706 National Fuel Gas Company COM 636180101 15,352 335,121 SH Sole 85,911 249,210 National Healthcare Corporatio COM 635906100 8,083 216,765 SH Sole 181,835 34,930 Navigators Group, Inc. COM 638904102 34,495 627,174 SH Sole 524,768 102,406 Norfolk Southern Corporation COM 655844108 18,001 417,558 SH Sole 59,825 357,733 Nucor Corporation COM 670346105 14,787 314,542 SH Sole 48,050 266,492 OfficeMax Corporation COM 67622P101 29,441 2,340,280 SH Sole 1,969,720 370,560 Oppenheimer Holdings, Inc. COM 683797104 16,693 685,540 SH Sole 549,856 135,684 Owens & Minor, Inc. COM 690732102 10,777 238,175 SH Sole 47,025 191,150 Papa Johns International COM 698813102 16,066 653,895 SH Sole 546,926 106,969 PartnerRe Limited COM G6852T105 30,699 399,002 SH Sole 257,756 141,246 Paychex, Inc. COM 704326107 14,855 511,353 SH Sole 88,975 422,378 People's United Financial, Inc COM 712704105 32,323 2,077,332 SH Sole 848,445 1,228,887 Pepsico, Inc. COM 713448108 32,799 559,139 SH Sole 65,975 493,164 PetMed Express, Inc. COM 716382106 15,503 822,465 SH Sole 622,490 199,975 Petsmart COM 716768106 34,399 1,581,572 SH Sole 1,368,967 212,605 Pfizer, Inc. COM 717081103 22,004 1,329,536 SH Sole 50,300 1,279,236 Pharmaceutical Product Develop COM 717124101 15,570 709,655 SH Sole 314,620 395,035 Philip Morris International, I COM 718172109 29,704 609,437 SH Sole 609,437 Pike Electric Corporation COM 721283109 26,497 2,211,762 SH Sole 1,855,702 356,060 Portland General Electric COM 736508847 37,206 1,886,696 SH Sole 1,187,377 699,319 Procter & Gamble Company COM 742718109 54,505 941,036 SH Sole 54,725 886,311 Rent-A-Center, Inc. COM 76009N100 34,492 1,826,884 SH Sole 1,543,033 283,851 Res-Care, Inc. COM 760943100 13,802 971,270 SH Sole 800,880 170,390 Rosetta Resources, Inc. COM 777779307 23,510 1,600,395 SH Sole 1,343,755 256,640 RPM International, Inc. COM 749685103 14,327 774,837 SH Sole 196,070 578,767 Ruddick Corporation COM 781258108 65,903 2,475,703 SH Sole 2,079,290 396,413 Safety Insurance Group COM 78648T100 12,258 372,350 SH Sole 60,175 312,175 SJW Corporation COM 784305104 23,373 1,022,871 SH Sole 852,800 170,071 Sotheby's COM 835898107 12,535 727,535 SH Sole 599,165 128,370 Southern Company COM 842587107 19,633 619,909 SH Sole 77,220 542,689 Spectra Energy Corporation COM 847560109 25,871 1,365,950 SH Sole 212,625 1,153,325 Steiner Leisure Limited COM P8744Y102 2,690 75,225 SH Sole 55,335 19,890 Steris Corporation COM 859152100 27,421 900,527 SH Sole 755,827 144,700 Sterling Construction Company, COM 859241101 7,464 416,770 SH Sole 314,130 102,640 Supervalu, Inc. COM 868536103 11,454 760,579 SH Sole 108,450 652,129 Sysco Corporation COM 871829107 26,814 1,079,025 SH Sole 154,932 924,093 TC Pipelines, L.P. COM 87233Q108 748 19,625 SH Sole 18,675 950 TeleCommunication Systems, Inc COM 87929J103 18,198 2,176,740 SH Sole 1,798,370 378,370 TEPPCO Partners, L.P. COM 872384102 5,120 147,452 SH Sole 38,850 108,602 The Brinks Company COM 109696104 44,020 1,635,806 SH Sole 1,398,514 237,292 The Corporate Executive Board COM 21988R102 15,147 608,305 SH Sole 506,995 101,310 The Geo Group, Inc. COM 36159R103 37,655 1,866,901 SH Sole 1,586,741 280,160 U.S. Bancorp COM 902973304 15,160 693,487 SH Sole 59,700 633,787 UMB Financial Corporation COM 902788108 30,096 744,220 SH Sole 612,570 131,650 Unifirst Corporation COM 904708104 34,440 774,792 SH Sole 649,051 125,741 United Parcel Services, Inc. COM 911312106 18,390 325,651 SH Sole 49,050 276,601 United States Cellular Corpora COM 911684108 4,402 112,675 SH Sole 112,155 520 United Technologies Corporatio COM 913017109 14,185 232,803 SH Sole 48,975 183,828 V.F. Corporation COM 918204108 15,341 211,798 SH Sole 35,500 176,298 Verizon Communication COM 92343V104 43,970 1,452,594 SH Sole 161,600 1,290,994 Viad Corporation COM 92552R406 17,190 863,408 SH Sole 718,390 145,018 Village Super Market COM 927107409 37,113 1,259,362 SH Sole 1,020,976 238,386 Volt Information Sciences COM 928703107 13,380 1,094,913 SH Sole 814,723 280,190 W.R. Berkley Corporation COM 084423102 21,259 840,942 SH Sole 836,992 3,950 Waste Management, Inc. COM 94106L109 31,295 1,049,464 SH Sole 180,225 869,239 WCA Waste Corporation COM 92926K103 6,267 1,623,650 SH Sole 1,162,160 461,490 Wells Fargo & Company COM 949746101 11,422 405,331 SH Sole 405,331 West Pharmaceutical Services, COM 955306105 13,461 331,470 SH Sole 272,440 59,030 Western Gas Partners LP COM 958254104 13,684 773,125 SH Sole 133,950 639,175 White Mountains Insurance Grou COM G9618E107 20,901 68,080 SH Sole 57,038 11,042 Yum Brands, Inc. COM 988498101 17,894 530,033 SH Sole 95,000 435,033 Zapata Corporation COM 989070602 13,855 1,990,668 SH Sole 1,449,228 541,440 Zenith National Insurance COM 989390109 21,734 703,352 SH Sole 443,850 259,502 REPORT SUMMARY 173 DATA RECORDS 3,305,658 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 705 Report documentation.
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