-----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, H1e7o8YN2v5vrn3rbT5wBz1t7PQSw3bwrG/3ffFIuqWAWXU5hwVftMBsJ1w/SlCz ZFL5as3+JWs4Li6Um+NPLw== 0000765443-07-000004.txt : 20071101 0000765443-07-000004.hdr.sgml : 20071101 20071101113140 ACCESSION NUMBER: 0000765443-07-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071101 DATE AS OF CHANGE: 20071101 EFFECTIVENESS DATE: 20071101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DUFF & PHELPS INVESTMENT MANAGEMENT CO CENTRAL INDEX KEY: 0000765443 IRS NUMBER: 363027981 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01420 FILM NUMBER: 071205359 BUSINESS ADDRESS: STREET 1: 55 EAST MONROE STREET 2: SUITE 3600 CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3122632610 MAIL ADDRESS: STREET 1: 55 EAST MONROE STREET 2: SUITE 3600 CITY: CHICAGO STATE: IL ZIP: 60603 13F-HR 1 r20070930.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year of Quarter Ended: September 30, 2007 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: Duff & Phelps Investment Address: 55 East Monroe St. Chicago, IL 60603 13F File Number: 28-1420 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 Joyce Riegel Title Compliance Officer Phone (312) 630-4641 Signature, Place, and Date of Signing: _/s/_Joyce_Riegel_ in Chicago, IL on 11/1/2007 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: 1 Form 13F Information Table Entry Total: 195 Form 13F Information Table Value Total (x 1000): 4,471,979 List of Other Included Managers: No. 13F File Number: Name: 01 28-47829 Phoenix Investment Partners Ltd. FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP NO (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- --------- ------- ------- -------- 3M Co Common Stock 88579Y101 1069 11425 SH SOLE 11425 Abbott Laboratories Common Stock 002824100 1305 24325 SH SOLE 24325 AES Corp. Common Stock 00130H105 210 10490 SH SOLE 10490 Alcoa Inc Common Stock 013817101 541 13845 SH SOLE 13845 Alexandria R E Equities Inc REIT 015271109 74959 778710 SH SOLE 775732 2978 Alliant Energy Corp Common Stock 018802108 392 10220 SH SOLE 10220 Allstate Corp Common Stock 020002101 538 9400 SH SOLE 9400 Altria Group Inc Common Stock 02209S103 2309 33205 SH SOLE 33205 AMB Property Corp REIT 00163T109 40973 685038 SH SOLE 682426 2612 American Express Co Common Stock 025816109 10472 176380 SH SOLE 176380 American International Group Common Stock 026874107 10710 158283 SH SOLE 158283 Amgen Inc Common Stock 031162100 969 17145 SH SOLE 17145 Anheuser-Busch Cos Inc Common Stock 035229103 590 11810 SH SOLE 11810 Apple Computer Inc Common Stock 037833100 2104 13700 SH SOLE 13700 Archstone-Smith Trust REIT 039583109 16213 269596 SH SOLE 268571 1025 AT & T Inc. Common Stock 00206R102 101851 2407278 SH SOLE 2407278 Atmos Energy Corp Common Stock 049560105 28320 1000000 SH SOLE 1000000 Automatic Data Processing Common Stock 053015103 5948 129490 SH SOLE 129490 Avalonbay Communities Inc REIT 053484101 64286 544509 SH SOLE 542536 1973 Avon Products Common Stock 054303102 7798 207755 SH SOLE 207755 Baker Hughes Inc Common Stock 057224107 453 5020 SH SOLE 5020 Bank of America Corp Common Stock 060505104 13614 270790 SH SOLE 270790 Bank of New York Mellon Corp Common Stock 064058100 4095 92773 SH SOLE 92773 Baxter International Inc Common Stock 071813109 575 10220 SH SOLE 10220 BCE Inc Foreign Common 05534B760 58633 1464000 SH SOLE 1464000 Best Buy Co Inc Common Stock 086516101 7451 161930 SH SOLE 161930 Black & Decker Corp Common Stock 091797100 5644 67765 SH SOLE 67765 Boeing Co Common Stock 097023105 1303 12405 SH SOLE 12405 Boston Properties Inc REIT 101121101 72909 701721 SH SOLE 698803 2918 BRE Properties REIT 05564E106 25967 464261 SH SOLE 462551 1710 Bristol-Myers Squibb Co Common Stock 110122108 898 31140 SH SOLE 31140 BT Group Plc ADRs 05577E101 36472 580490 SH SOLE 580490 Burlington Northern Santa Fe Common Stock 12189T104 418 5145 SH SOLE 5145 Capital One Financial Common Stock 14040H105 8056 121250 SH SOLE 121250 Caterpillar Inc Common Stock 149123101 785 10005 SH SOLE 10005 CBS Corp Common Stock 124857202 352 11167 SH SOLE 11167 Centerpoint Energy Inc Common Stock 15189T107 49648 3097200 SH SOLE 3097200 ChevronTexaco Corp Common Stock 166764100 3150 33675 SH SOLE 33675 Chunghwa Telecom Co Ltd ADRs 17133Q205 29132 1576408 SH SOLE 1576408 Cigna Corp Common Stock 125509109 245 4605 SH SOLE 4605 Cisco Systems Inc Common Stock 17275R102 13786 416340 SH SOLE 416340 Citigroup Inc Common Stock 172967101 3650 78195 SH SOLE 78195 Citizens Communications Co Common Stock 17453B101 44096 3079320 SH SOLE 3079320 Clear Channel Communications Common Stock 184502102 288 7700 SH SOLE 7700 Coca-Cola Co Common Stock 191216100 1813 31540 SH SOLE 31540 Colgate-Palmolive Co Common Stock 194162103 578 8100 SH SOLE 8100 Comcast Corp Common Stock 20030N101 1182 48905 SH SOLE 48905 Computer Sciences Corp Common Stock 205363104 8800 157430 SH SOLE 157430 Conocophillips Common Stock 20825C104 14570 165997 SH SOLE 165997 Consolidated Edison Inc Common Stock 209115104 52088 1125000 SH SOLE 1125000 Constellation Energy Group Common Stock 210371100 1115 13000 SH SOLE 13000 Corp Office Pptys Tr Inc REIT 22002T108 68959 1656477 SH SOLE 1650253 6224 Covidien Ltd Common Stock G2552X108 325 7836 SH SOLE 7836 CVS Caremark Corp Common Stock 126650100 945 23830 SH SOLE 23830 DCT Industrial REIT 233153105 8087 772309 SH SOLE 768837 3472 Dell Inc Common Stock 24702R101 988 35840 SH SOLE 35840 Developers Diversified Rlty REIT 251591103 69267 1239807 SH SOLE 1235193 4614 Diamondrock Hospitality Co REIT 252784301 24899 1430053 SH SOLE 1425108 4945 Digital Realty Trust Inc REIT 253868103 73126 1856448 SH SOLE 1849435 7013 Dominion Resources Inc Common Stock 25746U109 61887 734130 SH SOLE 734130 Douglas Emmett Inc REIT 25960P109 5659 228804 SH SOLE 227325 1479 DOW Chemical Common Stock 260543103 645 14960 SH SOLE 14960 DU Pont [E I] De Nemours Common Stock 263534109 5908 119210 SH SOLE 119210 Duke Energy Corp Common Stock 26441C105 68089 3643070 SH SOLE 3643070 Duke Realty Corp REIT 264411505 33484 990366 SH SOLE 986816 3550 Edison International Common Stock 281020107 1227 22120 SH SOLE 22120 EL Paso Corp Common Stock 28336L109 185 10960 SH SOLE 10960 EMC Corp Common Stock 268648102 688 33110 SH SOLE 33110 Emerson Electric Co Common Stock 291011104 10635 199830 SH SOLE 199830 Entergy Corp Common Stock 29364G103 2394 22110 SH SOLE 22110 Equity Residential REIT 29476L107 66020 1558540 SH SOLE 1552675 5865 Essex Property Trust REIT 297178105 58186 494923 SH SOLE 493049 1874 Exelon Corp Common Stock 30161N101 114952 1525380 SH SOLE 1525380 Extra Space Storage Inc REIT 30225T102 32267 2096662 SH SOLE 2088974 7688 Exxon Mobil Corp Common Stock 30231G102 21561 232940 SH SOLE 232940 Federal Realty Invs Trust REIT 313747206 39100 441304 SH SOLE 439634 1670 Fedex Corp Common Stock 31428X106 504 4815 SH SOLE 4815 Firstenergy Corp Common Stock 337932107 99172 1565710 SH SOLE 1565710 Ford Motor Co Common Stock 345370860 280 32850 SH SOLE 32850 FPL Group Inc Common Stock 302571104 107705 1769140 SH SOLE 1769140 France Telecom ADRs 35177Q105 1271 38010 SH SOLE 38010 General Dynamics Corp Common Stock 369550108 539 6380 SH SOLE 6380 General Electric Co Common Stock 369604103 17115 413410 SH SOLE 413410 General Growth Pptys Inc REIT 370021107 81633 1522459 SH SOLE 1517130 5329 General Motors Corp Common Stock 370442105 327 8890 SH SOLE 8890 Goldman Sachs Group Inc Common Stock 38141G104 1398 6450 SH SOLE 6450 Google Inc Common Stock 38259P508 2011 3545 SH SOLE 3545 Great Plains Energy Inc Common Stock 391164100 50412 1749800 SH SOLE 1749800 Halliburton Co Common Stock 406216101 12898 335880 SH SOLE 335880 Harrahs Entertainment Inc Common Stock 413619107 258 2975 SH SOLE 2975 Hartford Financial Services Common Stock 416515104 464 5010 SH SOLE 5010 HCP Inc REIT 40414L109 48655 1466767 SH SOLE 1460507 6260 Health Care Reit Inc REIT 42217K106 29834 674353 SH SOLE 671823 2530 Heinz [H J] Co Common Stock 423074103 239 5190 SH SOLE 5190 Hewlett-Packard Co Common Stock 428236103 2044 41050 SH SOLE 41050 Home Depot Inc Common Stock 437076102 863 26610 SH SOLE 26610 Honeywell International Inc Common Stock 438516106 717 12045 SH SOLE 12045 Hospitality Properties Trust REIT 44106M102 1163 28603 SH SOLE 28603 Host Hotels & Resorts Inc REIT 44107P104 84986 3787212 SH SOLE 3772818 14394 Illinois Tool Works Common Stock 452308109 7920 132800 SH SOLE 132800 Integrys Energy Group Inc Common Stock 45822P105 29765 581000 SH SOLE 581000 Intel Corp Common Stock 458140100 8339 322400 SH SOLE 322400 Intl Business Machines Corp Common Stock 459200101 12250 103990 SH SOLE 103990 Intl Flavors & Fragrances Common Stock 459506101 8890 168175 SH SOLE 168175 Intl Paper Co Common Stock 460146103 245 6820 SH SOLE 6820 Ishares Trust Other Equity 464287465 52263 632800 SH SOLE 632800 Ishares Trust Other Equity 464287234 13179 88180 SH SOLE 88180 J P Morgan Chase & Co Common Stock 46625H100 13622 297270 SH SOLE 297270 Johnson & Johnson Common Stock 478160104 10326 157160 SH SOLE 157160 Kilroy Realty Corp REIT 49427F108 12269 202370 SH SOLE 201653 717 Kimberly-Clark Corp Common Stock 494368103 6561 93370 SH SOLE 93370 Kimco Realty Corp REIT 49446R109 80102 1771762 SH SOLE 1765310 6452 Kohls Corp Common Stock 500255104 3484 60780 SH SOLE 60780 Koninklijke KPN NV ADRs 780641205 1378 79360 SH SOLE 79360 Kraft Foods Inc Common Stock 50075N104 866 25055 SH SOLE 25055 Lasalle Hotel Properties REIT 517942108 28166 669342 SH SOLE 666912 2430 Lehman Brothers Holdings Inc Common Stock 524908100 515 8340 SH SOLE 8340 Lilly [Eli] & Co Common Stock 532457108 7132 125290 SH SOLE 125290 Macerich Co REIT 554382101 72046 822652 SH SOLE 819557 3095 Masco Corp Common Stock 574599106 4910 211945 SH SOLE 211945 McDonald's Corp Common Stock 580135101 11960 219560 SH SOLE 219560 Medtronic Inc Common Stock 585055106 6791 120375 SH SOLE 120375 Merck & Co Common Stock 589331107 12526 242365 SH SOLE 242365 Merrill Lynch & Co Inc Common Stock 590188108 983 13785 SH SOLE 13785 Microsoft Corp Common Stock 594918104 11751 398955 SH SOLE 398955 Morgan Stanley Common Stock 617446448 1045 16585 SH SOLE 16585 National Grid Plc ADRs 636274300 15137 188673 SH SOLE 188673 Nicor Inc Common Stock 654086107 34320 800000 SH SOLE 800000 Norfolk Southern Corp Common Stock 655844108 320 6180 SH SOLE 6180 Northeast Utilities Common Stock 664397106 29208 1022320 SH SOLE 1022320 NStar Common Stock 67019E107 78417 2252710 SH SOLE 2252710 Omnicom Group Common Stock 681919106 7943 165190 SH SOLE 165190 Oracle Corp Common Stock 68389X105 1349 62265 SH SOLE 62265 Pepco Holdings Inc Common Stock 713291102 55056 2033080 SH SOLE 2033080 Pepsico Inc Common Stock 713448108 9091 124090 SH SOLE 124090 Pfizer Inc Common Stock 717081103 8880 363490 SH SOLE 363490 PG&E Corp Common Stock 69331C108 65964 1380000 SH SOLE 1380000 Pinnacle West Capital Corp Common Stock 723484101 59265 1500000 SH SOLE 1500000 Pitney Bowes Inc Common Stock 724479100 5614 123595 SH SOLE 123595 PPL Corp Common Stock 69351T106 57259 1236700 SH SOLE 1236700 Procter & Gamble Co Common Stock 742718109 3469 49330 SH SOLE 49330 Progress Energy Inc Common Stock 743263105 65250 1392740 SH SOLE 1392740 Prologis REIT 743410102 125246 1887632 SH SOLE 1880445 7187 PS Business Parks REIT 69360J107 4974 87507 SH SOLE 87122 385 Public Service Entrp Grp Inc Common Stock 744573106 81472 925920 SH SOLE 925920 Public Storage REIT 74460D109 59017 750374 SH SOLE 747619 2755 Puget Energy Inc Common Stock 745310102 24470 1000000 SH SOLE 1000000 Raytheon Co Common Stock 755111507 448 7020 SH SOLE 7020 Regency Centers Corp REIT 758849103 60018 782003 SH SOLE 779213 2790 Regions Financial Corp Common Stock 7591EP100 327 11080 SH SOLE 11080 Sara Lee Corp Common Stock 803111103 193 11550 SH SOLE 11550 Schlumberger Ltd Common Stock 806857108 1964 18705 SH SOLE 18705 Scottish & Southern Energy ADRs 81012K309 30785 1000000 SH SOLE 1000000 Sempra Energy Common Stock 816851109 1409 24240 SH SOLE 24240 Simon Property Group Inc REIT 828806109 165521 1655224 SH SOLE 1648751 6473 SL Green Realty Corp REIT 78440X101 72452 620474 SH SOLE 618231 2243 Southern Co Common Stock 842587107 75253 2074220 SH SOLE 2074220 Spectra Energy Corp Common Stock 847560109 25441 1039280 SH SOLE 1039280 Sprint Nextel Corp Common Stock 852061100 862 45335 SH SOLE 45335 Sunstone Hotel Investors Inc REIT 867892101 23321 909607 SH SOLE 906365 3242 Tanger Factory Outlet Centers REIT 875465106 31269 770411 SH SOLE 767551 2860 Target Corp Common Stock 87612E106 852 13415 SH SOLE 13415 TECO Energy Inc Common Stock 872375100 36146 2200000 SH SOLE 2200000 Telecom Cp New Zealand ADRs 879278208 574 33820 SH SOLE 33820 Telefonica SA ADRs 879382208 1992 23770 SH SOLE 23770 Texas Instruments Inc Common Stock 882508104 827 22585 SH SOLE 22585 Time Warner Inc Common Stock 887317105 1088 59310 SH SOLE 59310 Tyco International Ltd Common Stock G9143X208 347 7816 SH SOLE 7816 U S Bancorp Common Stock 902973304 890 27360 SH SOLE 27360 UDR Inc REIT 902653104 27153 1116415 SH SOLE 1112125 4290 United Parcel Service Common Stock 911312106 1244 16550 SH SOLE 16550 United Technologies Corp Common Stock 913017109 1261 15660 SH SOLE 15660 Vectren Corp Common Stock 92240G101 40935 1500000 SH SOLE 1500000 Ventas Inc REIT 92276F100 68092 1644729 SH SOLE 1638525 6204 Verizon Communications Inc Common Stock 92343V104 99842 2254797 SH SOLE 2254797 Vodafone Group PLC ADRs 92857W209 42651 1174940 SH SOLE 1174940 Vornado Realty Trust REIT 929042109 89632 819686 SH SOLE 816294 3392 Wachovia Corporation Common Stock 929903102 9201 183435 SH SOLE 183435 Walgreen Co Common Stock 931422109 6532 138275 SH SOLE 138275 Wal-Mart Stores Common Stock 931142103 5838 133720 SH SOLE 133720 Walt Disney Co Common Stock 254687106 1064 30925 SH SOLE 30925 Wellpoint Inc Common Stock 94973V107 7063 89510 SH SOLE 89510 Wells Fargo & Co Common Stock 949746101 1003 28150 SH SOLE 28150 Westar Energy Inc Common Stock 95709T100 24560 1000000 SH SOLE 1000000 Weyerhaeuser Co Common Stock 962166104 242 3355 SH SOLE 3355 WGL Holdings Inc Common Stock 92924F106 33890 1000000 SH SOLE 1000000 Williams Cos Inc Common Stock 969457100 321 9430 SH SOLE 9430 Windstream Corp Common Stock 97381W104 44786 3171830 SH SOLE 3171830 XCEL Energy Inc Common Stock 98389B100 75375 3499304 SH SOLE 3499304 Xerox Corp Common Stock 984121103 254 14660 SH SOLE 14660
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