13F-HR 1 HR13F3Q12.txt HR13F1Q12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2012 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 Form 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 submission. Persons 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 11/14/2012 --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 126 Form 13F Information Table Value Total: $ 4,660,281 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------ -------------- --------- -------- ----------------- ---------- -------- ----------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- Accenture plc COMMON G1151C101 23913 341461 SH SOLE 0 325328 0 16133 AFLAC Inc. COMMON 001055102 63797 1332431 SH SOLE 0 1286901 0 45530 Albany Molecular Research, Inc. COMMON 012423109 1781 513128 SH SOLE 0 193843 0 319285 American Electric Technologies, Inc. COMMON 025576109 1168 250035 SH SOLE 0 94022 0 156013 American Reprographics Co. COMMON 029263100 3110 728274 SH SOLE 0 288471 0 439803 Anixter Intl Inc. COMMON 035290105 19423 338024 SH SOLE 0 304724 0 33300 Apollo Group, Inc. COMMON 037604105 34611 1191445 SH SOLE 0 1147360 0 44085 Astro-Med, Inc. COMMON 04638F108 1802 207357 SH SOLE 0 76864 0 130493 AV Homes, Inc. COMMON 00234P102 3608 243126 SH SOLE 0 98151 0 144975 Ballantyne Strong, Inc. COMMON 058516105 2932 703128 SH SOLE 0 280707 0 422421 Bank of New York Mellon Corp. COMMON 064058100 5279 233385 SH SOLE 0 180285 0 53100 Baxter Intl Inc. COMMON 071813109 3048 50576 SH SOLE 0 40476 0 10100 Berkshire Hathaway Inc. COMMON 084670702 3946 44735 SH SOLE 0 35335 0 9400 Bio-Rad Laboratories, Inc. COMMON 090572207 104731 981365 SH SOLE 0 945390 0 35975 Blackstone Group L.P. COMMON 09253U108 51860 3631645 SH SOLE 0 3604960 0 26685 Blount Intl, Inc. COMMON 095180105 15976 1213955 SH SOLE 0 1053725 0 160230 Bob Evans Farms, Inc. COMMON 096761101 8258 211037 SH SOLE 0 184837 0 26200 Bolt Technology Corp. COMMON 097698104 1746 121421 SH SOLE 0 45063 0 76358 Brady Corp. COMMON 104674106 58510 1998276 SH SOLE 0 1909871 0 88405 Brink's Co. COMMON 109696104 20463 796551 SH SOLE 0 695931 0 100620 Callaway Golf Co. COMMON 131193104 1570 255735 SH SOLE 0 103735 0 152000 Carnival Corp. COMMON 143658300 24956 685033 SH SOLE 0 672655 0 12378 CBRE Group, Inc. COMMON 12504L109 88372 4800199 SH SOLE 0 4771429 0 28770 CBS Corp. COMMON 124857202 41535 1143257 SH SOLE 0 1120770 0 22487 Charles River Laboratories Intl Inc. COMMON 159864107 113206 2858725 SH SOLE 0 2745110 0 113615 Chesapeake Energy Corp. COMMON 165167107 16777 889090 SH SOLE 0 785685 0 103405 China Mobile Ltd. ADR ADR 16941M109 312 5644 SH SOLE 0 5644 0 0 City National Corp. COMMON 178566105 83796 1626783 SH SOLE 0 1571767 0 55016 Contango Oil & Gas Co. COMMON 21075N204 76572 1558245 SH SOLE 0 1497610 0 60635 Cowen Group, Inc. COMMON 223622101 3580 1323330 SH SOLE 0 540230 0 783100 Crown Crafts, Inc. COMMON 228309100 2195 354560 SH SOLE 0 130960 0 223600 CSP Inc. COMMON 126389105 1232 274968 SH SOLE 0 105352 0 169616 Dell Inc. COMMON 24702R101 49804 5053640 SH SOLE 0 4839115 0 214525 DeVry Inc. COMMON 251893103 139208 6116339 SH SOLE 0 5934814 0 181525 Dun & Bradstreet Corp. COMMON 26483E100 76461 960323 SH SOLE 0 941938 0 18385 Edgewater Technology Inc. COMMON 280358102 3146 792385 SH SOLE 0 294618 0 497767 Exxon Mobil Corp. COMMON 30231G102 8142 89030 SH SOLE 0 70330 0 18700 Fair Isaac Corp. COMMON 303250104 78010 1762549 SH SOLE 0 1692579 0 69970 First American Financial Corp. COMMON 31847R102 189402 8740305 SH SOLE 0 8438210 0 302095 Franklin Resources, Inc. COMMON 354613101 50744 405725 SH SOLE 0 397524 0 8201 Gaiam, Inc. COMMON 36268Q103 1604 459640 SH SOLE 0 183740 0 275900 Gannett Co., Inc. COMMON 364730101 183431 10334123 SH SOLE 0 9978097 0 356026 Gilead Sciences, Inc. COMMON 375558103 400 6028 SH SOLE 0 6028 0 0 Goldman, Sachs & Co. COMMON 38141G104 5988 52670 SH SOLE 0 41670 0 11000 Hardinge Inc. COMMON 412324303 1828 178326 SH SOLE 0 62776 0 115550 HCC Insurance Holdings, Inc. COMMON 404132102 10107 298226 SH SOLE 0 257234 0 40992 Heelys, Inc. COMMON 42279M107 1562 853655 SH SOLE 0 299805 0 553850 Horace Mann Educators Corp. COMMON 440327104 7310 403644 SH SOLE 0 364769 0 38875 Hospira, Inc. COMMON 441060100 79976 2436793 SH SOLE 0 2396093 0 40700 IDEX Corp. COMMON 45167R104 61692 1476951 SH SOLE 0 1399628 0 77323 Illinois Tool Works Inc. COMMON 452308109 28072 472040 SH SOLE 0 463665 0 8375 Imation Corp. COMMON 45245A107 3768 673987 SH SOLE 0 273830 0 400157 Interface, Inc. COMMON 458665304 61594 4662715 SH SOLE 0 4449430 0 213285 International Business Machines COMMON 459200101 6056 29192 SH SOLE 0 23092 0 6100 Corp. International Game Technology COMMON 459902102 126757 9683465 SH SOLE 0 9599300 0 84165 International Speedway Corp. COMMON 460335201 104734 3691715 SH SOLE 0 3555855 0 135860 Interpublic Group of Cos., Inc. COMMON 460690100 171682 15439069 SH SOLE 0 14914067 0 525002 J.M. Smucker Co. COMMON 832696405 56793 657855 SH SOLE 0 650385 0 7470 JAKKS Pacific, Inc. COMMON 47012E106 2004 137544 SH SOLE 0 55740 0 81804
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------ -------------- --------- -------- ----------------- ---------- -------- ----------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- Janus Capital Group Inc. COMMON 47102X105 171723 18191030 SH SOLE 0 17556870 0 634160 Johnson & Johnson COMMON 478160104 6894 100042 SH SOLE 0 80542 0 19500 Jones Lang LaSalle Inc. COMMON 48020Q107 159074 2083487 SH SOLE 0 2010966 0 72521 JPMorgan Chase & Co. COMMON 46625H100 5784 142896 SH SOLE 0 113296 0 29600 KKR & Co. L.P. COMMON 48248M102 117857 7799950 SH SOLE 0 7774300 0 25650 Landec Corp. COMMON 514766104 3676 321025 SH SOLE 0 122625 0 198400 Lazard Ltd COMMON G54050102 186058 6365319 SH SOLE 0 6193924 0 171395 Life Technologies Corp. COMMON 53217V109 72704 1488160 SH SOLE 0 1473535 0 14625 Littelfuse, Inc. COMMON 537008104 54958 972024 SH SOLE 0 912574 0 59450 Lockheed Martin Corp. COMMON 539830109 7449 79770 SH SOLE 0 62870 0 16900 Madison Square Garden Co. COMMON 55826P100 95316 2366911 SH SOLE 0 2273396 0 93515 Markel Corp. COMMON 570535104 8277 18053 SH SOLE 0 15579 0 2474 Market Leader, Inc. COMMON 57056R103 6069 905807 SH SOLE 0 358236 0 547571 Matthews Intl Corp. COMMON 577128101 9085 304668 SH SOLE 0 263843 0 40825 McCormick & Co., Inc. COMMON 579780206 17401 280485 SH SOLE 0 280485 0 0 Meredith Corp. COMMON 589433101 59781 1708016 SH SOLE 0 1629681 0 78335 Microsoft Corp. COMMON 594918104 9033 303514 SH SOLE 0 238414 0 65100 Middleby Corp. COMMON 596278101 7643 66089 SH SOLE 0 60589 0 5500 Mitcham Industries, Inc. COMMON 606501104 26618 1669867 SH SOLE 0 1278123 0 391744 Mohawk Industries, Inc. COMMON 608190104 98842 1235213 SH SOLE 0 1196633 0 38580 Morgan Stanley COMMON 617446448 7006 418500 SH SOLE 0 332100 0 86400 Multi-Fineline Electronix, Inc. COMMON 62541B101 2061 91382 SH SOLE 0 35482 0 55900 Myrexis, Inc. COMMON 62856H107 1225 503995 SH SOLE 0 186195 0 317800 Newell Rubbermaid Inc. COMMON 651229106 78038 4087888 SH SOLE 0 4052253 0 35635 Nokia Corp. ADR ADR 654902204 426 165610 SH SOLE 0 165610 0 0 Nordstrom, Inc. COMMON 655664100 38102 690510 SH SOLE 0 684060 0 6450 Northern Trust Corp. COMMON 665859104 70389 1516517 SH SOLE 0 1496482 0 20035 NVIDIA Corp. COMMON 67066G104 238 17843 SH SOLE 0 17843 0 0 Omnicom Group Inc. COMMON 681919106 38379 744356 SH SOLE 0 704965 0 39391 ORBCOMM Inc. COMMON 68555P100 2011 537716 SH SOLE 0 200216 0 337500 Orion Energy Systems, Inc. COMMON 686275108 3596 1816318 SH SOLE 0 752070 0 1064248 PCTEL, Inc. COMMON 69325Q105 4948 701840 SH SOLE 0 283540 0 418300 Perceptron, Inc. COMMON 71361F100 3938 630132 SH SOLE 0 233728 0 396404 Pervasive Software Inc. COMMON 715710109 5807 675207 SH SOLE 0 262500 0 412707 PrivateBancorp, Inc. COMMON 742962103 9063 566803 SH SOLE 0 496203 0 70600 QLogic Corp. COMMON 747277101 275 24097 SH SOLE 0 24097 0 0 Quest Diagnostics Inc. COMMON 74834L100 340 5359 SH SOLE 0 5359 0 0 Red Lion Hotels Corp. COMMON 756764106 1851 296236 SH SOLE 0 109368 0 186868 Rentech, Inc. COMMON 760112102 3595 1461436 SH SOLE 0 593177 0 868259 Rosetta Stone Inc. COMMON 777780107 3113 244180 SH SOLE 0 96240 0 147940 Royal Caribbean Cruises Ltd. COMMON V7780T103 66031 2185736 SH SOLE 0 2179881 0 5855 Royal Dutch Shell plc ADR ADR 780259206 215 3092 SH SOLE 0 3092 0 0 Ryanair Holdings plc ADR ADR 783513104 538 16696 SH SOLE 0 16696 0 0 Sigma Designs, Inc. COMMON 826565103 2243 339260 SH SOLE 0 131960 0 207300 Simpson Manufacturing Co., Inc. COMMON 829073105 63640 2223608 SH SOLE 0 2131273 0 92335 Snap-On Inc. COMMON 833034101 68383 951485 SH SOLE 0 922935 0 28550 Sotheby's COMMON 835898107 66733 2118511 SH SOLE 0 2036431 0 82080 St. Jude Medical, Inc. COMMON 790849103 60068 1425780 SH SOLE 0 1400645 0 25135 Stanley Black & Decker, Inc. COMMON 854502101 35144 460899 SH SOLE 0 452575 0 8324 Symmetry Medical Inc. COMMON 871546206 44655 4515204 SH SOLE 0 4304704 0 210500 T. Rowe Price Group, Inc. COMMON 74144T108 21156 334225 SH SOLE 0 328316 0 5909 Target Corp. COMMON 87612E106 8514 134135 SH SOLE 0 106135 0 28000 Team, Inc. COMMON 878155100 34364 1078922 SH SOLE 0 874217 0 204705 Thermo Fisher Scientific Inc. COMMON 883556102 62798 1067448 SH SOLE 0 1048492 0 18956 Tiffany & Co. COMMON 886547108 19928 322040 SH SOLE 0 313290 0 8750 Towers Watson COMMON 891894107 23722 447154 SH SOLE 0 436679 0 10475 Toyota Motor Corp. ADR ADR 892331307 241 3075 SH SOLE 0 3075 0 0 Versar Inc. COMMON 925297103 2868 853581 SH SOLE 0 327146 0 526435 Viacom, Inc. COMMON 92553P201 62392 1164245 SH SOLE 0 1142760 0 21485 Vical Inc. COMMON 925602104 4484 1035662 SH SOLE 0 422062 0 613600
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------ -------------- --------- -------- ----------------- ---------- -------- ----------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ------- Walgreen Co. COMMON 931422109 7676 210650 SH SOLE 0 167250 0 43400 Walt Disney Co. COMMON 254687106 3811 72905 SH SOLE 0 57705 0 15200 Washington Post Co. COMMON 939640108 36431 100353 SH SOLE 0 100138 0 215 Western Union Co. COMMON 959802109 52381 2874905 SH SOLE 0 2757180 0 117725 WMS Industries Inc. COMMON 929297109 21805 1331190 SH SOLE 0 1220990 0 110200 XO Group Inc. COMMON 983772104 3819 457395 SH SOLE 0 184995 0 272400 Zimmer Holdings, Inc. COMMON 98956P102 93262 1379212 SH SOLE 0 1338257 0 40955