-----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, FlUmUpzsNAoQHpJwbPwarLCOD8qxXrBzbXOu+k0fNw0tDpWAZriCBTHvlOnh0KFr to27DLiQsiA3Vie2E3ksOw== 0000765443-07-000001.txt : 20070207 0000765443-07-000001.hdr.sgml : 20070207 20070207123256 ACCESSION NUMBER: 0000765443-07-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070207 DATE AS OF CHANGE: 20070207 EFFECTIVENESS DATE: 20070207 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: 07587015 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 r20061231.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year of Quarter Ended: December 31, 2006 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 2/7/2007 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: 196 Form 13F Information Table Value Total (x 1000): 4,524,145 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 992 12735 SH SOLE 12735 Abbott Laboratories Common Stock 002824100 1295 26575 SH SOLE 26575 AES Corp. Common Stock 00130H105 256 11550 SH SOLE 11550 Alcoa Inc Common Stock 013817101 449 14985 SH SOLE 14985 Alexandria R E Equities Inc REIT 015271109 66499 662342 SH SOLE 658274 4068 Alliant Energy Corp Common Stock 018802108 289 7640 SH SOLE 7640 Allstate Corp Common Stock 020002101 715 10990 SH SOLE 10990 Altria Group Inc Common Stock 02209S103 3111 36245 SH SOLE 36245 AMB Property Corp REIT 00163T109 42675 728153 SH SOLE 723671 4482 Ameren Corp Common Stock 023608102 53520 996090 SH SOLE 996090 American Express Co Common Stock 025816109 10665 175760 SH SOLE 175760 American International Group Common Stock 026874107 10732 149753 SH SOLE 149753 Amgen Inc Common Stock 031162100 1374 20105 SH SOLE 20105 Anheuser-Busch Cos Inc Common Stock 035229103 654 13300 SH SOLE 13300 Apartment Investment & Mgt REIT 03748R101 27739 495160 SH SOLE 492024 3136 Archstone-Smith Trust REIT 039583109 95741 1644776 SH SOLE 1634536 10240 AT & T Inc. Common Stock 00206R102 83802 2344133 SH SOLE 2344133 Atmos Energy Corp Common Stock 049560105 32198 1009030 SH SOLE 1009030 Automatic Data Processing Common Stock 053015103 6267 127240 SH SOLE 127240 Avalonbay Communities Inc REIT 053484101 72797 559760 SH SOLE 556277 3483 Avon Products Common Stock 054303102 6784 205300 SH SOLE 205300 Baker Hughes Inc Common Stock 057224107 414 5540 SH SOLE 5540 Bank of America Corp Common Stock 060505104 14686 275080 SH SOLE 275080 Bank of New York Co Common Stock 064057102 7096 180240 SH SOLE 180240 Baxter International Inc Common Stock 071813109 529 11390 SH SOLE 11390 Best Buy Co Inc Common Stock 086516101 7829 159180 SH SOLE 159180 Black & Decker Corp Common Stock 091797100 5416 67730 SH SOLE 67730 Boeing Co Common Stock 097023105 1215 13665 SH SOLE 13665 Boston Properties Inc REIT 101121101 76861 686978 SH SOLE 682740 4238 Bristol-Myers Squibb Co Common Stock 110122108 898 34070 SH SOLE 34070 BT Group Plc ADRs 05577E101 34538 576680 SH SOLE 576680 Burlington Northern Santa Fe Common Stock 12189T104 466 6315 SH SOLE 6315 Camden Property Trust REIT 133131102 31536 427026 SH SOLE 424365 2661 Capital One Financial Common Stock 14040H105 541 7040 SH SOLE 7040 Caterpillar Inc Common Stock 149123101 699 11405 SH SOLE 11405 CBS Corp Common Stock 124857202 422 13554 SH SOLE 13554 Centerpoint Energy Inc Common Stock 15189T107 51251 3091160 SH SOLE 3091160 ChevronTexaco Corp Common Stock 166764100 2772 37695 SH SOLE 37695 Chunghwa Telecom Co Ltd ADRs 17133Q205 27824 1410249 SH SOLE 1410249 Cigna Corp Common Stock 125509109 230 1750 SH SOLE 1750 Cisco Systems Inc Common Stock 17275R102 11478 419980 SH SOLE 419980 Citigroup Inc Common Stock 172967101 14272 256210 SH SOLE 256210 Citizens Communications Co Common Stock 17453B101 36346 2529330 SH SOLE 2529330 Clear Channel Communications Common Stock 184502102 306 8600 SH SOLE 8600 Coca-Cola Co Common Stock 191216100 1701 35260 SH SOLE 35260 Colgate-Palmolive Co Common Stock 194162103 584 8965 SH SOLE 8965 Comcast Corp Common Stock 20030N101 1525 36010 SH SOLE 36010 Computer Sciences Corp Common Stock 205363104 8417 157675 SH SOLE 157675 Conocophillips Common Stock 20825C104 11961 166242 SH SOLE 166242 Consolidated Comm Hldgs Inc Common Stock 209034107 600 28700 SH SOLE 28700 Consolidated Edison Inc Common Stock 209115104 54079 1125000 SH SOLE 1125000 Corp Office Pptys Tr Inc REIT 22002T108 76752 1520721 SH SOLE 1511497 9224 Countrywide Financial Corp Common Stock 222372104 4853 114340 SH SOLE 114340 DCT Industrial REIT 233153105 9569 811099 SH SOLE 806117 4982 Dell Inc Common Stock 24702R101 986 39310 SH SOLE 39310 Developers Diversified Rlty REIT 251591103 76189 1210306 SH SOLE 1202992 7314 Diamondrock Hospitality Co REIT 252784301 9204 510995 SH SOLE 507807 3188 Digital Realty Trust Inc REIT 253868103 47573 1389762 SH SOLE 1381199 8563 Disney [Walt] Co Common Stock 254687106 1226 35770 SH SOLE 35770 Dominion Resources Inc Common Stock 25746U109 1389 16570 SH SOLE 16570 Douglas Emmett Inc REIT 25960P109 6610 248658 SH SOLE 247139 1519 DOW Chemical Common Stock 260543103 658 16475 SH SOLE 16475 DU Pont [E I] De Nemours Common Stock 263534109 5789 118855 SH SOLE 118855 Duke Energy Corp Common Stock 26441C105 68633 2066644 SH SOLE 2066644 Duke Realty Corp REIT 264411505 33480 818596 SH SOLE 813586 5010 EL Paso Corp Common Stock 28336L109 184 12060 SH SOLE 12060 EMC Corp Common Stock 268648102 503 38070 SH SOLE 38070 Emerson Electric Co Common Stock 291011104 8659 196380 SH SOLE 196380 Energy East Corp Common Stock 29266M109 27280 1100000 SH SOLE 1100000 Entergy Corp Common Stock 29364G103 1399 15150 SH SOLE 15150 Equity Office Properties Tr REIT 294741103 94454 1960849 SH SOLE 1948719 12130 Equity Residential REIT 29476L107 100837 1986943 SH SOLE 1974768 12175 Essex Property Trust REIT 297178105 64102 495944 SH SOLE 492890 3054 Exelon Corp Common Stock 30161N101 92225 1490155 SH SOLE 1490155 Extra Space Storage Inc REIT 30225T102 29965 1641118 SH SOLE 1630940 10178 Exxon Mobil Corp Common Stock 30231G102 18652 243375 SH SOLE 243375 Federal Realty Invs Trust REIT 313747206 11929 140339 SH SOLE 139479 860 Fedex Corp Common Stock 31428X106 573 5280 SH SOLE 5280 Firstenergy Corp Common Stock 337932107 93726 1554330 SH SOLE 1554330 Ford Motor Co Common Stock 345370860 3736 497590 SH SOLE 497590 FPL Group Inc Common Stock 302571104 95619 1757050 SH SOLE 1757050 France Telecom ADRs 35177Q105 507 18300 SH SOLE 18300 GAP Inc Common Stock 364760108 4764 244330 SH SOLE 244330 General Dynamics Corp Common Stock 369550108 523 7040 SH SOLE 7040 General Electric Co Common Stock 369604103 15611 419580 SH SOLE 419580 General Growth Pptys Inc REIT 370021107 77249 1479008 SH SOLE 1470029 8979 General Motors Corp Common Stock 370442105 300 9810 SH SOLE 9810 Goldman Sachs Group Inc Common Stock 38141G104 1463 7340 SH SOLE 7340 Google Inc Common Stock 38259P508 1704 3700 SH SOLE 3700 Great Plains Energy Inc Common Stock 391164100 25440 800000 SH SOLE 800000 Halliburton Co Common Stock 406216101 10351 333395 SH SOLE 333395 Harrahs Entertainment Inc Common Stock 413619107 269 3265 SH SOLE 3265 Hartford Financial Services Common Stock 416515104 492 5270 SH SOLE 5270 Health Care PPTYS Invest REIT 421915109 68778 1867935 SH SOLE 1856525 11410 Heinz [H J] Co Common Stock 423074103 261 5790 SH SOLE 5790 Hewlett-Packard Co Common Stock 428236103 1953 47410 SH SOLE 47410 Home Depot Inc Common Stock 437076102 1417 35290 SH SOLE 35290 Honeywell International Inc Common Stock 438516106 645 14255 SH SOLE 14255 Hospitality Properties Trust REIT 44106M102 2099 44159 SH SOLE 44159 Host Hotels & Resorts Inc REIT 44107P104 117188 4773393 SH SOLE 4743469 29924 Illinois Tool Works Common Stock 452308109 6027 130500 SH SOLE 130500 Intel Corp Common Stock 458140100 6605 326210 SH SOLE 326210 Intl Business Machines Corp Common Stock 459200101 10411 107175 SH SOLE 107175 Intl Flavors & Fragrances Common Stock 459506101 8119 165200 SH SOLE 165200 Intl Paper Co Common Stock 460146103 267 7860 SH SOLE 7860 Ishares Trust Other Equity 464287465 46334 632800 SH SOLE 632800 Ishares Trust Other Equity 464287234 10068 88180 SH SOLE 88180 J P Morgan Chase & Co Common Stock 46625H100 14468 299560 SH SOLE 299560 Johnson & Johnson Common Stock 478160104 10548 159745 SH SOLE 159745 Kilroy Realty Corp REIT 49427F108 29675 380447 SH SOLE 378080 2367 Kimberly-Clark Corp Common Stock 494368103 6236 91745 SH SOLE 91745 Kimco Realty Corp REIT 49446R109 85827 1909342 SH SOLE 1897700 11642 Koninklijke KPN NV ADRs 780641205 538 37720 SH SOLE 37720 Lasalle Hotel Properties REIT 517942108 24762 540072 SH SOLE 536702 3370 Lehman Brothers Holdings Inc Common Stock 524908100 733 9370 SH SOLE 9370 Lilly [Eli] & Co Common Stock 532457108 6412 123090 SH SOLE 123090 Macerich Co REIT 554382101 77858 899353 SH SOLE 893928 5425 Masco Corp Common Stock 574599106 6219 208220 SH SOLE 208220 McDonald's Corp Common Stock 580135101 9697 218755 SH SOLE 218755 Medtronic Inc Common Stock 585055106 6458 120685 SH SOLE 120685 Merck & Co Common Stock 589331107 10555 242085 SH SOLE 242085 Merrill Lynch & Co Inc Common Stock 590188108 1427 15335 SH SOLE 15335 Microsoft Corp Common Stock 594918104 12362 413980 SH SOLE 413980 Morgan Stanley Common Stock 617446448 1492 18310 SH SOLE 18310 National Grid Plc ADRs 636274300 13701 188673 SH SOLE 188673 Nicor Inc Common Stock 654086107 37440 800000 SH SOLE 800000 Norfolk Southern Corp Common Stock 655844108 346 6865 SH SOLE 6865 Northeast Utilities Common Stock 664397106 28635 1016880 SH SOLE 1016880 NStar Common Stock 67019E107 77274 2248970 SH SOLE 2248970 OGE Energy Corp Common Stock 670837103 40000 1000000 SH SOLE 1000000 Omnicom Group Common Stock 681919106 8486 81170 SH SOLE 81170 Oneok Inc Common Stock 682680103 55915 1296733 SH SOLE 1296733 Oracle Corp Common Stock 68389X105 1184 69105 SH SOLE 69105 Pepsico Inc Common Stock 713448108 7829 125160 SH SOLE 125160 Pfizer Inc Common Stock 717081103 9681 373750 SH SOLE 373750 PG&E Corp Common Stock 69331C108 64913 1371490 SH SOLE 1371490 Pinnacle West Capital Corp Common Stock 723484101 76035 1500000 SH SOLE 1500000 Pitney Bowes Inc Common Stock 724479100 5609 121470 SH SOLE 121470 PPL Corp Common Stock 69351T106 43611 1216820 SH SOLE 1216820 Procter & Gamble Co Common Stock 742718109 3524 54815 SH SOLE 54815 Progress Energy Inc Common Stock 743263105 68469 1395050 SH SOLE 1395050 Prologis REIT 743410102 122745 2019818 SH SOLE 2007411 12407 PS Business Parks REIT 69360J107 6812 96331 SH SOLE 95576 755 Public Service Entrp Grp Inc Common Stock 744573106 343 5160 SH SOLE 5160 Public Storage Inc REIT 74460D109 107592 1103505 SH SOLE 1096810 6695 Puget Energy Inc Common Stock 745310102 25360 1000000 SH SOLE 1000000 Raytheon Co Common Stock 755111507 410 7780 SH SOLE 7780 Regency Centers Corp REIT 758849103 61343 784735 SH SOLE 779945 4790 Regions Financial Corp Common Stock 7591EP100 466 12410 SH SOLE 12410 Sara Lee Corp Common Stock 803111103 217 12770 SH SOLE 12770 Scana Corp Common Stock 80589M102 24719 608550 SH SOLE 608550 Schlumberger Ltd Common Stock 806857108 1288 20370 SH SOLE 20370 Scottish & Southern Enrgy ADRs 81012K309 30414 1000000 SH SOLE 1000000 Sempra Energy Common Stock 816851109 630 11250 SH SOLE 11250 Simon Property Group Inc REIT 828806109 171265 1690816 SH SOLE 1680523 10293 SL Green Realty Corp REIT 78440X101 77031 580144 SH SOLE 576581 3563 Southern Co Common Stock 842587107 75065 2036480 SH SOLE 2036480 Sprint Nextel Corp Common Stock 852061100 946 50085 SH SOLE 50085 Sunstone Hotel Investors Inc REIT 867892101 31551 1180418 SH SOLE 1173236 7182 Target Corp Common Stock 87612E106 846 14835 SH SOLE 14835 TECO Energy Inc Common Stock 872375100 28308 1642960 SH SOLE 1642960 Telecom Cp New Zealand ADRs 879278208 606 22510 SH SOLE 22510 Telefonica SA ADRs 879382208 495 7760 SH SOLE 7760 Texas Instruments Inc Common Stock 882508104 741 25690 SH SOLE 25690 Time Warner Inc Common Stock 887317105 1505 69070 SH SOLE 69070 Tyco International Ltd Common Stock 902124106 1044 34370 SH SOLE 34370 U S Bancorp Common Stock 902973304 1100 30390 SH SOLE 30390 United Dominion Realty Trust REIT 910197102 46899 1475282 SH SOLE 1466422 8860 United Parcel Service Common Stock 911312106 1391 18565 SH SOLE 18565 United Technologies Corp Common Stock 913017109 1084 17330 SH SOLE 17330 Vectren Corp Common Stock 92240G101 42420 1500000 SH SOLE 1500000 Ventas Inc REIT 92276F100 63900 1509970 SH SOLE 1500796 9174 Verizon Communications Inc Common Stock 92343V104 49852 1338607 SH SOLE 1338607 Vodafone Group PLC ADRs 92857W209 18152 653410 SH SOLE 653410 Vornado Realty Trust REIT 929042109 110609 910376 SH SOLE 904884 5492 Wachovia Corporation Common Stock 929903102 8493 149120 SH SOLE 149120 Walgreen Co Common Stock 931422109 6236 135900 SH SOLE 135900 Wal-Mart Stores Common Stock 931142103 6308 136580 SH SOLE 136580 Wellpoint Inc Common Stock 94973V107 6926 88010 SH SOLE 88010 Wells Fargo & Co Common Stock 949746101 2071 58250 SH SOLE 58250 Westar Energy Inc Common Stock 95709T100 25960 1000000 SH SOLE 1000000 Weyerhaeuser Co Common Stock 962166104 288 4075 SH SOLE 4075 WGL Holdings Inc Common Stock 92924F106 32580 1000000 SH SOLE 1000000 Williams Cos Inc Common Stock 969457100 272 10380 SH SOLE 10380 Windstream Corp Common Stock 97381W104 35007 2461840 SH SOLE 2461840 WPS Resources Corp Common Stock 92931B106 31391 581000 SH SOLE 581000 XCEL Energy Inc Common Stock 98389B100 81410 3530334 SH SOLE 3530334 Xerox Corp Common Stock 984121103 279 16490 SH SOLE 16490
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