0000936753-11-000054.txt : 20110513
0000936753-11-000054.hdr.sgml : 20110513
20110513105912
ACCESSION NUMBER: 0000936753-11-000054
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110513
DATE AS OF CHANGE: 20110513
EFFECTIVENESS DATE: 20110513
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: 11838613
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
hr13f1Q11.txt
HR13F1Q11
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 03/31/2011
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 13, 2011
----------------------------------- ---------------- --------------------
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: 3/31/2011
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 1
FORM 13F INFORMATION TABLE ENTRY TOTAL: 181
FORM 13F INFORMATION TABLE VALUE TOTAL: $5,710,454,737
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 742788 241165 SH SOLE 0 40865 0 200300
Abbott Laboratories COMMON 002824100 4091261 83410 SH SOLE 0 46110 0 37300
Accenture plc COMMON G1151C101 75737721 1377801 SH SOLE 0 1331523 0 46278
AFLAC Inc. COMMON 001055102 63946981 1211576 SH SOLE 0 1169171 0 42405
American Electric Technologies,
Inc. COMMON 025576109 344278 126109 SH SOLE 0 42510 0 83599
American Reprographics Co. COMMON 029263100 2471321 238775 SH SOLE 0 44375 0 194400
Anixter Intl Inc. COMMON 035290105 71663738 1025379 SH SOLE 0 999979 0 25400
Anixter Intl Inc. COMMON 035290105 16424 235 SH OTHER 1 235 0 0
Apollo Group, Inc. COMMON 037604105 33490836 802945 SH SOLE 0 742740 0 60205
Astro-Med, Inc. COMMON 04638F108 279926 35888 SH SOLE 0 10797 0 25091
AuthenTec, Inc. COMMON 052660107 1077568 336740 SH SOLE 0 57260 0 279480
Avatar Holdings Inc. COMMON 053494100 3134617 158394 SH SOLE 0 32694 0 125700
Ballantyne Strong, Inc. COMMON 058516105 4224930 589251 SH SOLE 0 121351 0 467900
Bank of New York Mellon Corp. COMMON 064058100 5028017 168330 SH SOLE 0 93330 0 75000
Baxter Intl Inc. COMMON 071813109 64913241 1207239 SH SOLE 0 1157376 0 49863
Bio-Rad Laboratories, Inc. COMMON 090572207 175021874 1456816 SH SOLE 0 1427772 0 29044
Bio-Rad Laboratories, Inc. COMMON 090572207 33039 275 SH OTHER 1 275 0 0
Blount Intl, Inc. COMMON 095180105 20304907 1270645 SH SOLE 0 1147245 0 123400
Blount Intl, Inc. COMMON 095180105 157403 9850 SH OTHER 0 0 9850
Bob Evans Farms, Inc. COMMON 096761101 19984028 613007 SH SOLE 0 553807 0 59200
Brady Corp. COMMON 104674106 106916497 2995699 SH SOLE 0 2928949 0 66750
Brady Corp. COMMON 104674106 28017 785 SH OTHER 1 785 0 0
Brady Corp. COMMON 104674106 169706 4755 SH OTHER 0 0 4755
Brink's Co. COMMON 109696104 116390457 3515266 SH SOLE 0 3429966 0 85300
Brink's Co. COMMON 109696104 28971 875 SH OTHER 1 875 0 0
Brink's Co. COMMON 109696104 155451 4695 SH OTHER 0 0 4695
Callaway Golf Co. COMMON 131193104 81840 12000 SH SOLE 0 12000 0 0
Carnival Corp. COMMON 143658300 55479569 1446287 SH SOLE 0 1389914 0 56373
CB Richard Ellis Group, Inc. COMMON 12497T101 159978283 5991696 SH SOLE 0 5976666 0 15030
CB Richard Ellis Group, Inc. COMMON 12497T101 29370 1100 SH OTHER 1 1100 0 0
CBS Corp. COMMON 124857202 204355872 8161177 SH SOLE 0 8135220 0 25957
CBS Corp. COMMON 124857202 36058 1440 SH OTHER 1 1440 0 0
Citigroup Inc. COMMON 172967101 3430915 776225 SH SOLE 0 416325 0 359900
City National Corp. COMMON 178566105 95010043 1665382 SH SOLE 0 1633911 0 31471
City National Corp. COMMON 178566105 13407 235 SH OTHER 1 235 0 0
Clorox Co. COMMON 189054109 17412745 248505 SH SOLE 0 246747 0 1758
Crown Crafts, Inc. COMMON 228309100 1807304 373410 SH SOLE 0 63710 0 309700
CSP Inc. COMMON 126389105 970868 211980 SH SOLE 0 37114 0 174866
Dell Inc. COMMON 24702R101 60803212 4190435 SH SOLE 0 4009035 0 181400
DeVry Inc. COMMON 251893103 215718552 3917170 SH SOLE 0 3823080 0 94090
DeVry Inc. COMMON 251893103 35796 650 SH OTHER 1 650 0 0
DeVry Inc. COMMON 251893103 132168 2400 SH OTHER 0 0 2400
Dun & Bradstreet Corp. COMMON 26483E100 111867318 1394159 SH SOLE 0 1391405 0 2754
Dun & Bradstreet Corp. COMMON 26483E100 24874 310 SH OTHER 1 310 0 0
Dun & Bradstreet Corp. COMMON 26483E100 114342 1425 SH OTHER 0 0 1425
Edgewater Technology Inc. COMMON 280358102 1929284 610533 SH SOLE 0 105733 0 504800
Energizer Holdings, Inc. COMMON 29266R108 47074332 661528 SH SOLE 0 661528 0 0
Energizer Holdings, Inc. COMMON 29266R108 15299 215 SH OTHER 1 215 0 0
Energizer Holdings, Inc. COMMON 29266R108 125597 1765 SH OTHER 0 0 1765
Exxon Mobil Corp. COMMON 30231G102 6807379 80915 SH SOLE 0 44315 0 36600
Fair Isaac Corp. COMMON 303250104 106156021 3358305 SH SOLE 0 3278505 0 79800
Fair Isaac Corp. COMMON 303250104 29397 930 SH OTHER 1 930 0 0
Fair Isaac Corp. COMMON 303250104 220480 6975 SH OTHER 0 0 6975
First American Financial Corp. COMMON 31847R102 70822455 4292270 SH SOLE 0 4280205 0 12065
First American Financial Corp. COMMON 31847R102 13778 835 SH OTHER 1 835 0 0
Force Protection, Inc. COMMON 345203202 25886671 5282994 SH SOLE 0 4318494 0 964500
Force Protection, Inc. COMMON 345203202 132031 26945 SH OTHER 0 0 26945
Franklin Resources, Inc. COMMON 354613101 60193374 481239 SH SOLE 0 478133 0 3106
Gaiam, Inc. COMMON 36268Q103 738969 111965 SH SOLE 0 26165 0 85800
Gannett Co., Inc. COMMON 364730101 217410885 14275173 SH SOLE 0 14027362 0 247811
Gannett Co., Inc. COMMON 364730101 35943 2360 SH OTHER 1 2360 0 0
Goldman Sachs Group, Inc. COMMON 38141G104 4037956 25460 SH SOLE 0 13660 0 11800
Guaranty Bancorp COMMON 40075T102 700190 542783 SH SOLE 0 100683 0 442100
HCC Insurance Holdings, Inc. COMMON 404132102 73745320 2355328 SH SOLE 0 2290668 0 64660
HCC Insurance Holdings, Inc. COMMON 404132102 17847 570 SH OTHER 1 570 0 0
HCC Insurance Holdings, Inc. COMMON 404132102 132504 4232 SH OTHER 0 0 4232
Herman Miller, Inc. COMMON 600544100 92738725 3373544 SH SOLE 0 3280124 0 93420
Herman Miller, Inc. COMMON 600544100 23916 870 SH OTHER 1 870 0 0
Horace Mann Educators Corp. COMMON 440327104 16720603 995274 SH SOLE 0 899709 0 95565
Horace Mann Educators Corp. COMMON 440327104 142884 8505 SH OTHER 0 0 8505
Hospira, Inc. COMMON 441060100 90632604 1641895 SH SOLE 0 1641895 0 0
Hospira, Inc. COMMON 441060100 28925 524 SH OTHER 1 524 0 0
Hospira, Inc. COMMON 441060100 176088 3190 SH OTHER 0 0 3190
IDEX Corp. COMMON 45167R104 116373432 2666058 SH SOLE 0 2597453 0 68605
IDEX Corp. COMMON 45167R104 28809 660 SH OTHER 1 660 0 0
IDEX Corp. COMMON 45167R104 179969 4123 SH OTHER 0 0 4123
Illinois Tool Works Inc. COMMON 452308109 28653012 533377 SH SOLE 0 529797 0 3580
Imation Corp. COMMON 45245A107 1639474 147170 SH SOLE 0 32370 0 114800
InfoSpace, Inc. COMMON 45678T300 812698 93845 SH SOLE 0 21245 0 72600
Interface, Inc. COMMON 458665106 117390884 6348885 SH SOLE 0 6172185 0 176700
Interface, Inc. COMMON 458665106 27735 1500 SH OTHER 1 1500 0 0
Interface, Inc. COMMON 458665106 192111 10390 SH OTHER 0 0 10390
International Business Machines
Corp. COMMON 459200101 6470128 39677 SH SOLE 0 21677 0 18000
International Game Technology COMMON 459902102 130075497 8014510 SH SOLE 0 7995470 0 19040
International Game Technology COMMON 459902102 28078 1730 SH OTHER 1 1730 0 0
International Game Technology COMMON 459902102 136657 8420 SH OTHER 0 0 8420
Interpublic Group of Cos., Inc. COMMON 460690100 170891438 13595182 SH SOLE 0 13560635 0 34547
Interpublic Group of Cos., Inc. COMMON 460690100 34128 2715 SH OTHER 1 2715 0 0
Interpublic Group of Cos., Inc. COMMON 460690100 182831 14545 SH OTHER 0 0 14545
J.M. Smucker Co. COMMON 832696405 144583026 2025256 SH SOLE 0 2020256 0 5000
J.M. Smucker Co. COMMON 832696405 31911 447 SH OTHER 1 447 0 0
JAKKS Pacific, Inc. COMMON 47012E106 1675613 86595 SH SOLE 0 17995 0 68600
Janus Capital Group Inc. COMMON 47102X105 173745832 13933106 SH SOLE 0 13674136 0 258970
Janus Capital Group Inc. COMMON 47102X105 31175 2500 SH OTHER 1 2500 0 0
Johnson & Johnson COMMON 478160104 5245343 88529 SH SOLE 0 48629 0 39900
Jones Lang LaSalle Inc. COMMON 48020Q107 210726782 2112761 SH SOLE 0 2069565 0 43196
Jones Lang LaSalle Inc. COMMON 48020Q107 33912 340 SH OTHER 1 340 0 0
JPMorgan Chase & Co. COMMON 46625H100 4710959 102190 SH SOLE 0 56890 0 45300
Knoll, Inc. COMMON 498904200 27581893 1315930 SH SOLE 0 1188730 0 127200
Landec Corp. COMMON 514766104 1679405 258370 SH SOLE 0 56070 0 202300
Lazard Ltd COMMON G54050102 199985871 4809665 SH SOLE 0 4738230 0 71435
Lazard Ltd COMMON G54050102 33888 815 SH OTHER 1 815 0 0
Lazard Ltd COMMON G54050102 171102 4115 SH OTHER 0 0 4115
Lee Enterprises, Inc. COMMON 523768109 20816384 7709772 SH SOLE 0 6912817 0 796955
Lee Enterprises, Inc. COMMON 523768109 159962 59245 SH OTHER 0 0 59245
Littelfuse, Inc. COMMON 537008104 36798894 644464 SH SOLE 0 581914 0 62550
Lockheed Martin Corp. COMMON 539830109 3995880 49700 SH SOLE 0 26600 0 23100
Madison Square Garden, Inc. COMMON 55826P100 29649055 1098520 SH SOLE 0 1091155 0 7365
Markel Corp. COMMON 570535104 11668425 28154 SH SOLE 0 25665 0 2489
Markel Corp. COMMON 570535104 47662 115 SH OTHER 0 0 115
Market Leader, Inc. COMMON 57056R103 2507488 1002995 SH SOLE 0 206685 0 796310
Mattel, Inc. COMMON 577081102 26547209 1064870 SH SOLE 0 1056685 0 8185
Mattel, Inc. COMMON 577081102 107947 4330 SH OTHER 0 0 4330
Matthews Intl Corp. COMMON 577128101 19334020 501531 SH SOLE 0 452876 0 48655
Matthews Intl Corp. COMMON 577128101 122204 3170 SH OTHER 0 0 3170
McClatchy Co. COMMON 579489105 11839874 3482316 SH SOLE 0 3130016 0 352300
McClatchy Co. COMMON 579489105 113135 33275 SH OTHER 0 0 33275
McCormick & Co., Inc. COMMON 579780206 46237261 966700 SH SOLE 0 966700 0 0
McCormick & Co., Inc. COMMON 579780206 18175 380 SH OTHER 1 380 0 0
MEDTOX Scientific, Inc. COMMON 584977201 2457622 149855 SH SOLE 0 25255 0 124600
Meredith Corp. COMMON 589433101 74804319 2205316 SH SOLE 0 2143916 0 61400
Meredith Corp. COMMON 589433101 17808 525 SH OTHER 1 525 0 0
Meredith Corp. COMMON 589433101 130083 3835 SH OTHER 0 0 3835
Microsoft Corp. COMMON 594918104 5512804 217125 SH SOLE 0 119425 0 97700
Middleby Corp. COMMON 596278101 21929388 235496 SH SOLE 0 214396 0 21100
Middleby Corp. COMMON 596278101 150389 1615 SH OTHER 0 0 1615
Mitcham Industries, Inc. COMMON 606501104 2734600 200337 SH SOLE 0 34637 0 165700
Mohawk Industries, Inc. COMMON 608190104 180288362 2948297 SH SOLE 0 2901652 0 46645
Mohawk Industries, Inc. COMMON 608190104 29964 490 SH OTHER 1 490 0 0
Mohawk Industries, Inc. COMMON 608190104 166328 2720 SH OTHER 0 0 2720
Morgan Stanley COMMON 617446448 4696035 171890 SH SOLE 0 94190 0 77700
Multi-Fineline Electronix, Inc. COMMON 62541B101 1435834 50880 SH SOLE 0 11580 0 39300
Myrexis, Inc. COMMON 62856H107 1058288 274880 SH SOLE 0 46380 0 228500
Newell Rubbermaid Inc. COMMON 651229106 63910269 3340840 SH SOLE 0 3340840 0 0
Newell Rubbermaid Inc. COMMON 651229106 23626 1235 SH OTHER 1 1235 0 0
Nordstrom, Inc. COMMON 655664100 116544608 2596805 SH SOLE 0 2589240 0 7565
Nordstrom, Inc. COMMON 655664100 24011 535 SH OTHER 1 535 0 0
Nordstrom, Inc. COMMON 655664100 135089 3010 SH OTHER 0 0 3010
Northern Trust Corp. COMMON 665859104 66014230 1300773 SH SOLE 0 1300583 0 190
Omnicom Group Inc. COMMON 681919106 60123275 1225505 SH SOLE 0 1170344 0 55161
ORBCOMM Inc. COMMON 68555P100 996653 302016 SH SOLE 0 51916 0 250100
Orion Energy Systems, Inc. COMMON 686275108 3869989 959105 SH SOLE 0 176719 0 782386
PCTEL, Inc. COMMON 69325Q105 2884227 376040 SH SOLE 0 73940 0 302100
Perceptron, Inc. COMMON 71361F100 3236811 509734 SH SOLE 0 91030 0 418704
Pervasive Software Inc. COMMON 715710109 1239574 185565 SH SOLE 0 38365 0 147200
PrivateBancorp, Inc. COMMON 742962103 37778578 2470803 SH SOLE 0 2401103 0 69700
PrivateBancorp, Inc. COMMON 742962103 8180 535 SH OTHER 1 535 0 0
Red Lion Hotels Corp. COMMON 756764106 1975052 240860 SH SOLE 0 41460 0 199400
Republic Bancorp, Inc. COMMON 760281204 904846 46450 SH SOLE 0 12350 0 34100
Royal Caribbean Cruises Ltd. COMMON V7780T103 81933077 1985775 SH SOLE 0 1985775 0 0
Royal Caribbean Cruises Ltd. COMMON V7780T103 26406 640 SH OTHER 1 640 0 0
Royal Caribbean Cruises Ltd. COMMON V7780T103 116353 2820 SH OTHER 0 0 2820
Shoe Carnival, Inc. COMMON 824889109 1970933 70265 SH SOLE 0 13565 0 56700
Sigma Designs, Inc. COMMON 826565103 3234068 249735 SH SOLE 0 52635 0 197100
Sotheby's COMMON 835898107 72292283 1374378 SH SOLE 0 1354103 0 20275
Sotheby's COMMON 835898107 12098 230 SH OTHER 1 230 0 0
Sotheby's COMMON 835898107 123873 2355 SH OTHER 0 0 2355
St. Jude Medical, Inc. COMMON 790849103 64330787 1254990 SH SOLE 0 1246500 0 8490
Stanley Black & Decker, Inc. COMMON 854502101 155753614 2033337 SH SOLE 0 2028478 0 4859
Stanley Black & Decker, Inc. COMMON 854502101 33091 432 SH OTHER 1 432 0 0
Steelcase Inc. COMMON 858155203 11269751 990312 SH SOLE 0 894212 0 96100
Symmetry Medical Inc. COMMON 871546206 27214110 2776950 SH SOLE 0 2347450 0 429500
T. Rowe Price Group, Inc. COMMON 74144T108 45424970 683905 SH SOLE 0 679451 0 4454
Team, Inc. COMMON 878155100 36436800 1387540 SH SOLE 0 1146873 0 240667
Team, Inc. COMMON 878155100 178437 6795 SH OTHER 0 0 6795
Tecumseh Products Co. COMMON 878895200 856059 85435 SH SOLE 0 19035 0 66400
The Knot, Inc. COMMON 499184109 2944900 244390 SH SOLE 0 49390 0 195000
Thermo Fisher Scientific Inc. COMMON 883556102 54844015 987291 SH SOLE 0 979960 0 7331
Tiffany & Co. COMMON 886547108 118167859 1923305 SH SOLE 0 1918300 0 5005
Tiffany & Co. COMMON 886547108 23962 390 SH OTHER 1 390 0 0
Tiffany & Co. COMMON 886547108 151142 2460 SH OTHER 0 0 2460
TomoTherapy Inc. COMMON 890088107 3015135 659767 SH SOLE 0 121667 0 538100
Tyco Intl Ltd. COMMON H89128104 5278204 117896 SH SOLE 0 62396 0 55500
Versar Inc. COMMON 925297103 960830 292927 SH SOLE 0 50527 0 242400
Viacom, Inc. COMMON 92553P201 84492648 1816265 SH SOLE 0 1803995 0 12270
Vical Inc. COMMON 925602104 2477499 836993 SH SOLE 0 167193 0 669800
Walgreen Co. COMMON 931422109 5868267 146195 SH SOLE 0 77495 0 68700
Washington Post Co. COMMON 939640108 47409626 108350 SH SOLE 0 108350 0 0
Washington Post Co. COMMON 939640108 16190 37 SH OTHER 1 37 0 0
Zimmer Holdings, Inc. COMMON 98956P102 160824699 2656942 SH SOLE 0 2605762 0 51180
Zimmer Holdings, Inc. COMMON 98956P102 29054 480 SH OTHER 1 480 0 0