-----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, LtUeUgSyn9dScrZ+We0NGi9Xp5TW8hdhlE9ljcxxt5TyhfKMLJ71bkCyJdQLXMal pwaQ2XQzN2t7jN6Id2ZmKw== 0000765443-04-000010.txt : 20041102 0000765443-04-000010.hdr.sgml : 20041102 20041102163652 ACCESSION NUMBER: 0000765443-04-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041102 DATE AS OF CHANGE: 20041102 EFFECTIVENESS DATE: 20041102 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: 041113762 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 r20040930.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, 2004 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 11/2/2004 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: 427 Form 13F Information Table Value Total (x 1000): 3,070,800 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 525 6560 SH SOLE 6560 Abbott Laboratories W/Rts Common Stock 002824100 363 8585 SH SOLE 8585 Adobe Systems Inc Common Stock 00724F101 3527 71293 SH SOLE 71293 Aetna Inc Common Stock 00817Y108 3559 35618 SH SOLE 35618 AGL Resources Inc Common Stock 001204106 28493 926000 SH SOLE 926000 Alcoa Inc Common Stock 013817101 243 7250 SH SOLE 7250 Alexandria Real Estate W/Rts REIT 015271109 20887 317795 SH SOLE 317795 Allstate Corp Common Stock 020002101 3160 65856 SH SOLE 65856 Alltel Corp Convertible Pfd 020039822 10352 200000 SH SOLE 200000 Altria Group Inc Common Stock 02209S103 808 17180 SH SOLE 17180 AMB Property Corp REIT 00163T109 10965 296181 SH SOLE 296181 Amerada Hess Corp Common Stock 023551104 3398 38174 SH SOLE 38174 Ameren Corp Common Stock 023608102 69271 1501000 SH SOLE 1501000 Ameren Corp Convertible Pfd 023608201 20595 750000 SH SOLE 750000 American Express Co Common Stock 025816109 8961 174130 SH SOLE 174130 American Intl Group Inc Common Stock 026874107 8155 119931 SH SOLE 119931 Amgen Inc Common Stock 031162100 606 10680 SH SOLE 10680 Anheuser Busch Cos Inc Common Stock 035229103 341 6830 SH SOLE 6830 Archer Daniels Common Stock 039483102 2932 172657 SH SOLE 172657 Archstone-Smith Trust REIT 039583109 39397 1245151 SH SOLE 1245151 Arden Realty Inc REIT 039793104 8663 265896 SH SOLE 265896 Autodesk Inc Common Stock 052769106 2911 59866 SH SOLE 59866 Avalonbay Communities Inc REIT 053484101 422 7000 SH SOLE 7000 Avon Products Inc Common Stock 054303102 12975 297060 SH SOLE 297060 Bank of America Corp Common Stock 060505104 10696 246822 SH SOLE 246822 Bank of New York Co Common Stock 064057102 329 11285 SH SOLE 11285 Bausch & Lomb Inc Common Stock 071707103 3438 51737 SH SOLE 51737 BCE Inc Foreign Common 05534B109 34640 1600000 SH SOLE 1600000 Bell South Corp Common Stock 079860102 46918 1730000 SH SOLE 1730000 Best Buy Company Inc Common Stock 086516101 10456 192785 SH SOLE 192785 Black & Decker Corp Common Stock 091797100 220 2830 SH SOLE 2830 Boeing Co Common Stock 097023105 363 7020 SH SOLE 7020 Boston Properties REIT 101121101 43929 793090 SH SOLE 793090 Bristol-Myers Squibb Co Common Stock 110122108 387 16310 SH SOLE 16310 Brunswick Corp Common Stock 117043109 3134 68503 SH SOLE 68503 BT Group PLC ADRs 05577E101 18617 565000 SH SOLE 565000 Camden Property Trust REIT 133131102 15891 343985 SH SOLE 343985 CANADIAN ZINC CORP Common Stock 136802105 23 40000 SH SOLE 40000 Capital One Financial Corp Common Stock 14040H105 2814 38070 SH SOLE 38070 CBL & Associates REIT 124830100 29593 485513 SH SOLE 485513 Centerpoint Properties Corp REIT 151895109 53777 1233937 SH SOLE 1233937 Centurytel Inc Convertible Pfd 156700403 31704 1200000 SH SOLE 1200000 Chubb Corp Common Stock 171232101 2745 39051 SH SOLE 39051 Chunghwa Telecom Co Ltd ADRs 17133Q205 22012 1250000 SH SOLE 1250000 Cigna Corp Common Stock 125509109 408 5840 SH SOLE 5840 Cinergy Convertible Pfd 172474207 38236 626200 SH SOLE 626200 Cinergy Common Stock 172474108 31680 800000 SH SOLE 800000 Cisco System Inc Common Stock 17275R102 7272 401679 SH SOLE 401679 Citigroup Inc Common Stock 172967101 7431 168448 SH SOLE 168448 Citizens Communications Common Stock 17453B101 21692 1620000 SH SOLE 1620000 CLIFTON MINING COMPANY Common Stock 186904108 15 15000 SH SOLE 15000 Coca-Cola Co Common Stock 191216100 817 20410 SH SOLE 20410 Colgate-Palmolive Co Common Stock 194162103 203 4470 SH SOLE 4470 Comerica Inc Common Stock 200340107 2873 48406 SH SOLE 48406 Computer Sciences Corp Common Stock 205363104 7813 165885 SH SOLE 165885 ConocoPhillips Common Stock 20825C104 7176 86612 SH SOLE 86612 Corporate Office Properties REIT 22002T108 34884 1361565 SH SOLE 1361565 Costco Wholesale Corp Common Stock 22160K105 3119 75148 SH SOLE 75148 CVS Corp Common Stock 126650100 416 9880 SH SOLE 9880 Danaher Corp Common Stock 235851102 3118 60803 SH SOLE 60803 Dell Inc Common Stock 24702R101 746 20970 SH SOLE 20970 Developers Div Rty W/PPRTS REIT 251591103 42171 1077249 SH SOLE 1077249 Disney (Walt) Co Common Stock 254687106 388 17135 SH SOLE 17135 Dominion Resources Inc Common Stock 25746U109 51939 796000 SH SOLE 796000 Dominion Resources Inc Convertible Pfd 25746U208 24548 450000 SH SOLE 450000 Dow Chemical Co Common Stock 260543103 353 7820 SH SOLE 7820 DTE Energy Co Convertible Pfd 233331206 25506 986700 SH SOLE 986700 DTE Energy Co Common Stock 233331107 42190 1000000 SH SOLE 1000000 Duke Energy Corp Common Stock 264399106 8075 352770 SH SOLE 352770 Duke Realty Corp REIT 264411505 12375 372647 SH SOLE 372647 DuPont E I deNemours Common Stock 263534109 4805 112247 SH SOLE 112247 Eastman Kodak Co Common Stock 277461109 221 6825 SH SOLE 6825 ECU SILVER MINING INC Common Stock 26830P105 8 30000 SH SOLE 30000 EIX Trust II Preferred Stock 26853P206 5670 223500 SH SOLE 223500 Electronic Data Systems Corp Common Stock 285661104 4512 232700 SH SOLE 232700 EMC Corp Common Stock 268648102 234 20230 SH SOLE 20230 Emerson Electric Co Common Stock 291011104 6345 102500 SH SOLE 102500 Energy East Corp Common Stock 29266M109 27698 1100000 SH SOLE 1100000 Equity Office Properties REIT 294741103 8702 319392 SH SOLE 319392 Equity Residential REIT 29476L107 36786 1186602 SH SOLE 1186602 Essex Properties REIT 297178105 16581 230743 SH SOLE 230743 Exelon Corp Common Stock 30161N101 73583 2005520 SH SOLE 2005520 Extra Space Storage Inc REIT 30225T102 7895 619343 SH SOLE 619343 Exxon Mobil Corp Common Stock 30231G102 13138 271830 SH SOLE 271830 FARALLON RESOURCES LTD Common Stock 30739T101 10 20000 SH SOLE 20000 Federal Natl Mortgage Assn Common Stock 313586109 6093 96100 SH SOLE 96100 Fedex Corp Common Stock 31428X106 353 4115 SH SOLE 4115 First Data Corp Common Stock 319963104 6647 152800 SH SOLE 152800 FirstEnergy Common Stock 337932107 82160 2000000 SH SOLE 2000000 Ford Motor Co Common Stock 345370860 6707 477238 SH SOLE 477238 Fortune Brands Inc Common Stock 349631101 2987 40316 SH SOLE 40316 FPL Group Inc Convertible Pfd 302571203 28450 500000 SH SOLE 500000 FPL Group Inc Common Stock 302571104 39585 579400 SH SOLE 579400 General Dynamics Corp Common Stock 369550108 639 6250 SH SOLE 6250 General Electric Co Common Stock 369604103 10668 317663 SH SOLE 317663 General Growth Properties REIT 370021107 48529 1565424 SH SOLE 1565424 Georgia-Pacific Corp Common Stock 373298108 5624 156450 SH SOLE 156450 Gillette Co Common Stock 375766102 353 8430 SH SOLE 8430 Goldman Sachs Common Stock 38141G104 883 9460 SH SOLE 9460 Great Plains Energy Inc Convertible Pfd 391164605 30132 1200000 SH SOLE 1200000 Greenwood Environmental Inc Common Stock 396902108 800000 SH SOLE 800000 Halliburton Co Common Stock 406216101 7160 212570 SH SOLE 212570 Harrah's Entertainment Inc Common Stock 413619107 2571 48528 SH SOLE 48528 Health Care PPTYS Invest Inc REIT 421915109 10368 398857 SH SOLE 398857 Health Care Reit Inc REIT 42217K106 9748 276931 SH SOLE 276931 Healthcare Realty Trust Inc REIT 421946104 10034 256999 SH SOLE 256999 Hewlett-Packard Co Common Stock 428236103 919 48910 SH SOLE 48910 Home Depot Inc Common Stock 437076102 3801 96955 SH SOLE 96955 Home Properties Inc REIT 437306103 12116 306263 SH SOLE 306263 Honeywell International Common Stock 438516106 257 7182 SH SOLE 7182 Hospitality Properties Trust REIT 44106M102 10726 252498 SH SOLE 252498 Host Marriott Corp REIT 44107P104 16690 1189582 SH SOLE 1189582 Huntington Bancshares Inc Common Stock 446150104 2633 105702 SH SOLE 105702 Iberdrola SA Foreign Common 4424640$0 22401 1080000 SH SOLE 1080000 Illinois Tool Works Inc Common Stock 452308109 6354 68200 SH SOLE 68200 Ingersoll Rand Co Limited Common Stock G4776G101 2964 43612 SH SOLE 43612 Intel Corp Common Stock 458140100 6027 300480 SH SOLE 300480 Intl Business Machines Corp Common Stock 459200101 5734 66867 SH SOLE 66867 IStar Financial Inc REIT 45031U101 19109 463434 SH SOLE 463434 J P Morgan Chase & Co Common Stock 46625H100 11668 293686 SH SOLE 293686 Johnson & Johnson Co Common Stock 478160104 8296 147247 SH SOLE 147247 Keyspan Corp Common Stock 49337W100 39200 1000000 SH SOLE 1000000 Keyspan Corp Convertible Pfd 49337W407 21836 412000 SH SOLE 412000 Kilroy Realty Corp REIT 49427F108 11363 298772 SH SOLE 298772 Kimberly-Clark Corp Common Stock 494368103 6247 96700 SH SOLE 96700 Kimco Realty Corp REIT 49446R109 16952 330445 SH SOLE 330445 LaSalle Hotel Properties REIT 517942108 8838 320188 SH SOLE 320188 Lilly (Eli) & Co Common Stock 532457108 4965 82700 SH SOLE 82700 Lowe's Companies Inc Common Stock 548661107 409 7525 SH SOLE 7525 Lucent Technologies Inc Common Stock 549463107 114 35530 SH SOLE 35530 Macerich Co REIT 554382101 34394 645433 SH SOLE 645433 Maguire Properties Inc REIT 559775101 10795 444052 SH SOLE 444052 Marsh & McLennan Cos Common Stock 571748102 385 8400 SH SOLE 8400 Masco Corp Common Stock 574599106 7345 212700 SH SOLE 212700 McDonald's Corp Common Stock 580135101 11040 393865 SH SOLE 393865 Medtronic Inc Common Stock 585055106 6061 116771 SH SOLE 116771 Merck & Co Inc Common Stock 589331107 4834 146540 SH SOLE 146540 Merrill Lynch & Co Inc Common Stock 590188108 401 8075 SH SOLE 8075 MGIC Investment Corp W/Rts Common Stock 552848103 8548 128440 SH SOLE 128440 Microsoft Corp Common Stock 594918104 10211 369307 SH SOLE 369307 MIRAMAR MINING CORPORATION Common Stock 60466E100 19 15000 SH SOLE 15000 Molex Inc Common Stock 608554101 2344 78633 SH SOLE 78633 Morgan Stanley Common Stock 617446448 452 9165 SH SOLE 9165 National City Corp Common Stock 635405103 6264 162200 SH SOLE 162200 National Grid Group Spons ADRs 636274102 9208 215000 SH SOLE 215000 National Grid Transco PLC Foreign Common 3122387$0 6497 770000 SH SOLE 770000 Nextel Communications Inc Common Stock 65332V103 219 9180 SH SOLE 9180 Nike Inc Common Stock 654106103 3352 42536 SH SOLE 42536 Nisource Inc Common Stock 65473P105 25212 1200000 SH SOLE 1200000 Norfolk Southern Corp Common Stock 655844108 3531 118728 SH SOLE 118728 NStar Common Stock 67019E107 64743 1318600 SH SOLE 1318600 Occidental Petroleum Corp Common Stock 674599105 3437 61442 SH SOLE 61442 Omnicom Group Inc Common Stock 681919106 6560 89785 SH SOLE 89785 Oneok Inc Convertible Pfd 682680202 25513 775000 SH SOLE 775000 Oracle Corp Common Stock 68389X105 493 43740 SH SOLE 43740 Paccar Inc Common Stock 693718108 2950 42672 SH SOLE 42672 Pan Pacific Retail Property REIT 69806L104 29729 549535 SH SOLE 549535 Peoples Energy Corp Common Stock 711030106 37512 900000 SH SOLE 900000 PepsiCo Inc Common Stock 713448108 5671 116605 SH SOLE 116605 Pfizer Inc Common Stock 717081103 8462 276510 SH SOLE 276510 Pinnacle West Capital Corp Common Stock 723484101 28635 690000 SH SOLE 690000 Pitney Bowes Inc Common Stock 724479100 5830 132200 SH SOLE 132200 Procter & Gamble Co Common Stock 742718109 1508 27862 SH SOLE 27862 Progress Energy Inc Common Stock 743263105 58218 1375000 SH SOLE 1375000 Prologis Trust REIT 743410102 40095 1137831 SH SOLE 1137831 Public Serv Enterprises Grp Common Stock 744573106 42600 1000000 SH SOLE 1000000 Public Storage Inc REIT 74460D109 17257 348276 SH SOLE 348276 Quest Diagnostics Common Stock 74834L100 379 4295 SH SOLE 4295 Realty Income Corp REIT 756109104 7630 169484 SH SOLE 169484 Reckson Assoc Realty REIT 75621K106 10835 376852 SH SOLE 376852 Regency Centers Corp REIT 758849103 15073 324203 SH SOLE 324203 S L Green Realty Co REIT 78440X101 40795 787403 SH SOLE 787403 SAMEX MINING CORP Common Stock 795912104 16 20000 SH SOLE 20000 SBC Communications Inc Common Stock 78387G103 47680 1837443 SH SOLE 1837443 Schlumberger Ltd Common Stock 806857108 331 4920 SH SOLE 4920 Scientific-Atlanta Inc Common Stock 808655104 2118 81730 SH SOLE 81730 Scottish & Southern Energy ADRs 81012K309 14096 1000000 SH SOLE 1000000 Scottish & Southern Energy Foreign Common 0790873$6 11974 850000 SH SOLE 850000 Scottish Power Plc ADRs 81013T705 11371 368700 SH SOLE 368700 Sempra Energy Preferred Stock 816851208 15480 500000 SH SOLE 500000 Shurgard Storage Centers REIT 82567D104 10652 274533 SH SOLE 274533 SILVERCREST MINES INC Common Stock 828365106 10 15000 SH SOLE 15000 Simon Property Group Inc REIT 828806109 66239 1235109 SH SOLE 1235109 Southern Co Common Stock 842587107 69139 2306150 SH SOLE 2306150 Southern Union Co Preferred Stock 844030304 11058 172700 SH SOLE 172700 Southwest Airlines Common Stock 844741108 202 14845 SH SOLE 14845 St Paul Travelers Cos Inc/Th Common Stock 792860108 308 9305 SH SOLE 9305 Starwood Hotels & Resorts REIT 85590A203 22174 477718 SH SOLE 477718 Symantec Corp Common Stock 871503108 3708 67547 SH SOLE 67547 Tanger Factory Outlet Centers REIT 875465106 4456 99494 SH SOLE 99494 Tektronix Inc Common Stock 879131100 3379 101630 SH SOLE 101630 Telecom New Zealand ADRs 879278208 27237 856250 SH SOLE 856250 Telstra Corp ADRs 87969N204 18088 1068400 SH SOLE 1068400 Temple-Inland Inc Common Stock 879868107 2768 41218 SH SOLE 41218 Texas Instruments Inc Common Stock 882508104 306 14370 SH SOLE 14370 Time Warner Inc Common Stock 887317105 6434 398620 SH SOLE 398620 TXU Corp Convertible Pfd 873168884 25955 500000 SH SOLE 500000 TXU Corp Convertible Pfd 873168504 20840 400000 SH SOLE 400000 TXU Corp Common Stock 873168108 3495 72934 SH SOLE 72934 TYCO International Ltd Common Stock 902124106 533 17441 SH SOLE 17441 U S Bancorp Common Stock 902973304 912 31562 SH SOLE 31562 United Dominion Realty REIT 910197102 12064 608444 SH SOLE 608444 United States Steel Corp Common Stock 912909108 2875 76422 SH SOLE 76422 United Technologies Corp Common Stock 913017109 877 9391 SH SOLE 9391 UnitedHealth Group Inc Common Stock 91324P102 3414 46298 SH SOLE 46298 Vectren Corp Common Stock 92240G101 37770 1500000 SH SOLE 1500000 Verizon Communications Inc Common Stock 92343V104 67849 1722944 SH SOLE 1722944 Viacom Inc Class B 925524308 846 25251 SH SOLE 25251 Vornado Realty Trust REIT 929042109 51310 818583 SH SOLE 818583 Walgreen Co Common Stock 931422109 8482 236700 SH SOLE 236700 Wal-Mart Stores Inc Common Stock 931142103 7264 136521 SH SOLE 136521 Weingarten Realty Invest REIT 948741103 23758 719687 SH SOLE 719687 Wellpoint Health Networks Inc Common Stock 94973H108 8262 78610 SH SOLE 78610 Wells Fargo Co Common Stock 949746101 845 14170 SH SOLE 14170 Weyerhaeuser Co Common Stock 962166104 257 3845 SH SOLE 3845 WGL Holdings Inc Common Stock 92924F106 28260 1000000 SH SOLE 1000000 WPS Resources Corp Common Stock 92931B106 26154 581340 SH SOLE 581340 XCEL Energy Inc Common Stock 98389B100 51948 2999304 SH SOLE 2999304
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