-----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, Qo8w/lI1EJ+k04KkNVrqDVB7NRNKi7qJ+bPtLVUfJY5jdjaGrvxsen7uH0k3nknT sm8rQ8faKWLhQgLob289sg== 0000765443-04-000003.txt : 20040503 0000765443-04-000003.hdr.sgml : 20040503 20040503125544 ACCESSION NUMBER: 0000765443-04-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040331 FILED AS OF DATE: 20040503 EFFECTIVENESS DATE: 20040503 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: 04772636 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 r20040331.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year of Quarter Ended: March 31, 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 Management Co. Address: 55 East Monroe Street, Suite 3600 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 4/29/2004 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: 238 Form 13F Information Table Value Total (x 1000): 2,866,669 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 483 5890 SH SOLE 5660 230 Aetna Inc Common Stock 00817Y108 3968 44268 SH SOLE 44268 AGL Resources Inc Common Stock 001204106 26873 926000 SH SOLE 926000 Alcoa Inc Common Stock 013817101 226 6490 SH SOLE 6240 250 Alexandria Real Estate W/Rts REIT 015271109 19121 303506 SH SOLE 303506 Allstate Corp Common Stock 020002101 241 5300 SH SOLE 5090 210 Alltel Corp Common Stock 020039103 49890 1000000 SH SOLE 1000000 Alltel Corp Convertible Pfd 020039822 10144 200000 SH SOLE 200000 Altria Group Inc Common Stock 02209S103 840 15430 SH SOLE 14820 610 Ameren Corp Common Stock 023608102 69181 1501000 SH SOLE 1501000 Ameren Corp Convertible Pfd 023608201 20962 750000 SH SOLE 750000 American Express Co Common Stock 025816109 8592 165760 SH SOLE 165370 390 American Intl Group Inc Common Stock 026874107 7674 107571 SH SOLE 106792 779 Amgen Inc Common Stock 031162100 560 9620 SH SOLE 9230 390 Anheuser Busch Cos Inc Common Stock 035229103 315 6170 SH SOLE 5920 250 Apollo Group Inc CL A Common Stock 037604105 4303 50053 SH SOLE 50053 Applied Materials Inc Common Stock 038222105 3461 160645 SH SOLE 160645 Archer Daniels Common Stock 039483102 3570 210339 SH SOLE 210339 Archstone-Smith Trust REIT 039583109 17650 598049 SH SOLE 598049 Arden Realty Inc REIT 039793104 6999 216531 SH SOLE 216531 Avon Products Inc Common Stock 054303102 15663 206457 SH SOLE 206387 70 Bank of America Corp Common Stock 060505104 9065 111950 SH SOLE 111500 450 Bank One Corp Common Stock 06423A103 460 8432 SH SOLE 8092 340 Bausch & Lomb Inc Common Stock 071707103 3955 65872 SH SOLE 65872 BCE Inc Foreign Common 05534B109 23133 1100000 SH SOLE 1100000 Bear Stearns Cos Inc Common Stock 073902108 3550 40602 SH SOLE 40602 Bell South Corp Common Stock 079860102 47904 1730000 SH SOLE 1730000 Best Buy Company Inc Common Stock 086516101 9421 182150 SH SOLE 182150 Boeing Co Common Stock 097023105 258 6295 SH SOLE 6045 250 Boston Properties REIT 101121101 34683 638602 SH SOLE 638602 Bristol-Myers Squibb Co Common Stock 110122108 354 14640 SH SOLE 14060 580 Camden Property Trust REIT 133131102 12635 281097 SH SOLE 281097 Capital One Financial Corp Common Stock 14040H105 3551 47018 SH SOLE 47018 CBL & Associates REIT 124830100 27553 449211 SH SOLE 449211 Centerpoint Energy Inc Common Stock 15189T107 3586 312098 SH SOLE 312098 Centerpoint Properties Corp REIT 151895109 42213 511682 SH SOLE 511682 Centurytel Inc Convertible Pfd 156700403 28776 1200000 SH SOLE 1200000 Chelsea Property Group Inc REIT 163421100 53123 844018 SH SOLE 844018 Chunghwa Telecom Co Ltd ADRs 17133Q205 22138 1250000 SH SOLE 1250000 Cinergy Convertible Pfd 172474207 40484 626200 SH SOLE 626200 Cinergy Common Stock 172474108 32712 800000 SH SOLE 800000 Cisco System Inc Common Stock 17275R102 8706 370220 SH SOLE 368120 2100 Citigroup Inc Common Stock 172967101 7774 150363 SH SOLE 148823 1540 Coca-Cola Co Common Stock 191216100 929 18475 SH SOLE 17735 740 Colgate-Palmolive Co Common Stock 194162103 222 4015 SH SOLE 3855 160 Computer Sciences Corp Common Stock 205363104 6377 158135 SH SOLE 158075 60 ConocoPhillips Common Stock 20825C104 5527 79177 SH SOLE 79177 Consolidated Edison Co Common Stock 209115104 22050 500000 SH SOLE 500000 Corporate Office Properties REIT 22002T108 25374 1014935 SH SOLE 1014935 Costco Wholesale Corp Common Stock 22160K105 3496 93151 SH SOLE 93151 Danaher Corp Common Stock 235851102 3624 38882 SH SOLE 38882 Developers Div Rty W/PPRTS REIT 251591103 42482 1051505 SH SOLE 1051505 Disney (Walt) Co Common Stock 254687106 384 15345 SH SOLE 14735 610 Dominion Resources Inc Convertible Pfd 25746U208 25272 450000 SH SOLE 450000 Dominion Resources Inc Common Stock 25746U109 51183 796000 SH SOLE 796000 Dow Chemical Co Common Stock 260543103 282 7000 SH SOLE 6720 280 DTE Energy Co Common Stock 233331107 41150 1000000 SH SOLE 1000000 DTE Energy Co Convertible Pfd 233331206 25506 986700 SH SOLE 986700 Duke Energy Corp Convertible Pfd 264399585 8140 550000 SH SOLE 550000 Duke Realty Corp REIT 264411505 11153 321235 SH SOLE 321235 DuPont E I deNemours Common Stock 263534109 4513 106887 SH SOLE 106587 300 Duquesne Light Holdings Inc Common Stock 266233105 7976 409000 SH SOLE 409000 EIX Trust II Preferred Stock 26853P206 5755 223500 SH SOLE 223500 Electronic Data Systems Corp Common Stock 285661104 4299 222200 SH SOLE 222200 EMC Corp Common Stock 268648102 382 28030 SH SOLE 27370 660 Emerson Electric Co Common Stock 291011104 5859 97800 SH SOLE 97800 Energy East Corp Common Stock 29266M109 27896 1100000 SH SOLE 1100000 Entergy Corp Common Stock 29364G103 3359 56429 SH SOLE 56359 70 Equity Office Properties REIT 294741103 7361 254736 SH SOLE 254736 Equity Residential REIT 29476L107 16224 543476 SH SOLE 543476 Essex Properties REIT 297178105 12329 188219 SH SOLE 188219 Exelon Corp Common Stock 30161N101 69040 1002480 SH SOLE 1002380 100 Exxon Mobil Corp Common Stock 30231G102 10398 250044 SH SOLE 248054 1990 Federal Natl Mortgage Assn Common Stock 313586109 6834 91900 SH SOLE 91900 First Data Corp Common Stock 319963104 6159 146100 SH SOLE 146100 FirstEnergy Common Stock 337932107 78160 2000000 SH SOLE 2000000 Ford Motor Co Common Stock 345370860 6163 454178 SH SOLE 453628 550 Fortune Brands Inc Common Stock 349631101 3862 50407 SH SOLE 50407 FPL Group Inc Convertible Pfd 302571203 28860 500000 SH SOLE 500000 FPL Group Inc Common Stock 302571104 40110 600000 SH SOLE 600000 General Electric Co Common Stock 369604103 8717 285610 SH SOLE 282610 3000 General Growth Properties REIT 370021107 63775 1814367 SH SOLE 1814367 Georgia-Pacific Corp Common Stock 373298108 9077 269400 SH SOLE 269400 Gillette Co Common Stock 375766102 297 7610 SH SOLE 7300 310 Goldman Sachs Common Stock 38141G104 380 3630 SH SOLE 3490 140 Halliburton Co Common Stock 406216101 6166 202890 SH SOLE 202760 130 Hasbro Inc Common Stock 418056107 3202 145941 SH SOLE 145941 Health Care PPTYS Invest Inc REIT 421915109 9672 341702 SH SOLE 341702 Health Care Reit Inc REIT 42217K106 9164 225715 SH SOLE 225715 Healthcare Realty Trust Inc REIT 421946104 11974 280478 SH SOLE 280478 Hewlett-Packard Co Common Stock 428236103 523 22890 SH SOLE 21970 920 Home Depot Inc Common Stock 437076102 642 17155 SH SOLE 16465 690 Home Properties Inc REIT 437306103 10877 266894 SH SOLE 266894 Honeywell International Common Stock 438516106 219 6452 SH SOLE 6192 260 Hospitality Properties Trust REIT 44106M102 9760 210381 SH SOLE 210381 Host Marriott Corp REIT 44107P104 10863 849908 SH SOLE 849908 Iberdrola SA Foreign Common 4424640$0 22297 1080000 SH SOLE 1080000 Illinois Tool Works Inc Common Stock 452308109 5158 65100 SH SOLE 65100 Ingersoll Rand Co Limited Common Stock G4776G101 3611 53446 SH SOLE 53446 Intel Corp Common Stock 458140100 7425 272995 SH SOLE 271045 1950 Intl Business Machines Corp Common Stock 459200101 5463 59475 SH SOLE 58955 520 ISHARES MSCI EAFE INDEX FUND Common Stock 464287465 291 2052 SH SOLE 2052 ISHARES RUSSELL MIDCAP INDEX Common Stock 464287499 245 3489 SH SOLE 3489 ISHARES S&P MIDCAP 400 Common Stock 464287507 246 2030 SH SOLE 2030 IStar Financial Inc REIT 45031U101 26874 635291 SH SOLE 635291 J P Morgan Chase & Co Common Stock 46625H100 10825 258030 SH SOLE 257420 610 Johnson & Johnson Co Common Stock 478160104 6722 132540 SH SOLE 131650 890 KB Home Common Stock 48666K109 3751 46602 SH SOLE 46602 Keyspan Corp Convertible Pfd 49337W407 22042 412000 SH SOLE 412000 Keyspan Corp Common Stock 49337W100 38220 1000000 SH SOLE 1000000 Keystone Property Trust REIT 493596100 8274 340421 SH SOLE 340421 Kimberly-Clark Corp Common Stock 494368103 5816 92200 SH SOLE 92200 Kimco Realty Corp REIT 49446R109 9118 178849 SH SOLE 178849 Lehman Bros Holding Inc Common Stock 524908100 3711 44824 SH SOLE 44744 80 Lilly (Eli) & Co Common Stock 532457108 5271 78800 SH SOLE 78800 Lucent Technologies Inc Common Stock 549463107 131 31720 SH SOLE 30480 1240 Macerich Co REIT 554382101 38406 712542 SH SOLE 712542 Maguire Properties Inc REIT 559775101 12274 479542 SH SOLE 479542 Masco Corp Common Stock 574599106 6192 203400 SH SOLE 203400 McDonald's Corp Common Stock 580135101 11166 390661 SH SOLE 390281 380 Medtronic Inc Common Stock 585055106 5280 110610 SH SOLE 110250 360 Merck & Co Inc Common Stock 589331107 6129 138680 SH SOLE 138010 670 Merrill Lynch & Co Inc Common Stock 590188108 432 7235 SH SOLE 6955 280 MGIC Investment Corp W/Rts Common Stock 552848103 7868 122500 SH SOLE 122500 Microsoft Corp Common Stock 594918104 8638 345910 SH SOLE 342670 3240 Molex Inc Common Stock 608554101 2957 96638 SH SOLE 96638 Morgan Stanley Common Stock 617446448 470 8205 SH SOLE 7875 330 National City Corp Common Stock 635405103 5518 155100 SH SOLE 155100 National Grid Group Spons ADRs 636274102 8649 215000 SH SOLE 215000 National Grid Transco PLC Foreign Common 3122387$0 6085 770000 SH SOLE 770000 Nextel Communications Inc Common Stock 65332V103 203 8220 SH SOLE 7890 330 Nike Inc Common Stock 654106103 3993 51449 SH SOLE 51449 Nokia Corp Spon ADRs 654902204 3319 161794 SH SOLE 161794 Nordstrom Inc Common Stock 655664100 3790 95191 SH SOLE 95191 Norfolk Southern Corp Common Stock 655844108 3250 146502 SH SOLE 146382 120 North Fork Bankcorporation Common Stock 659424105 3460 81431 SH SOLE 81431 NStar Common Stock 67019E107 66879 1318600 SH SOLE 1318600 Occidental Petroleum Corp Common Stock 674599105 3716 80341 SH SOLE 80341 Omnicom Group Inc Common Stock 681919106 6516 81200 SH SOLE 81200 Oneok Inc Convertible Pfd 682680202 24288 775000 SH SOLE 775000 Oracle Corp Common Stock 68389X105 473 39380 SH SOLE 37810 1570 Paccar Inc Common Stock 693718108 2945 52506 SH SOLE 52506 Pan Pacific Retail Property REIT 69806L104 29968 575194 SH SOLE 575194 Peoples Energy Corp Common Stock 711030106 40185 900000 SH SOLE 900000 PepsiCo Inc Common Stock 713448108 5937 110260 SH SOLE 109740 520 Pfizer Inc Common Stock 717081103 8770 250164 SH SOLE 247834 2330 Phelps Dodge Corp Common Stock 717265102 3871 47392 SH SOLE 47392 Pinnacle West Capital Corp Common Stock 723484101 27545 700000 SH SOLE 700000 Pitney Bowes Inc Common Stock 724479100 5369 126000 SH SOLE 126000 Procter & Gamble Co Common Stock 742718109 1024 9770 SH SOLE 9380 390 Progress Energy Inc Common Stock 743263105 64735 1375000 SH SOLE 1375000 Progressive Corp Common Stock 743315103 3833 43838 SH SOLE 43838 Prologis Trust REIT 743410102 33251 927004 SH SOLE 927004 Public Serv Enterprises Grp Common Stock 744573106 46980 1000000 SH SOLE 1000000 Public Storage Inc REIT 74460D109 3933 80784 SH SOLE 80784 Realty Income Corp REIT 756109104 6104 136677 SH SOLE 136677 S L Green Realty Co REIT 78440X101 30896 647688 SH SOLE 647688 SBC Communications Inc Common Stock 78387G103 44834 1826923 SH SOLE 1825923 1000 Schlumberger Ltd Common Stock 806857108 281 4410 SH SOLE 4230 180 Scientific-Atlanta Inc Common Stock 808655104 3279 101093 SH SOLE 101093 Scottish & Southern Energy Foreign Common 0790873$6 10740 850000 SH SOLE 850000 Scottish & Southern Energy ADRs 81012K309 12635 1000000 SH SOLE 1000000 Scottish Power Plc ADRs 81013T705 10456 368700 SH SOLE 368700 Sempra Energy Preferred Stock 816851208 14600 500000 SH SOLE 500000 Shurgard Storage Centers REIT 82567D104 7610 190758 SH SOLE 190758 Simon Property Group Inc REIT 828806109 48812 835279 SH SOLE 835279 Southern Co Common Stock 842587107 70319 2305500 SH SOLE 2305280 220 Southern Union Co Preferred Stock 844030304 10326 172700 SH SOLE 172700 Sunoco Inc Common Stock 86764P109 3902 62683 SH SOLE 62683 Symantec Corp Common Stock 871503108 4249 91818 SH SOLE 91818 Tanger Factory Outlet Centers REIT 875465106 11074 244334 SH SOLE 244334 TDC A/S ADRs 87236N102 9200 500000 SH SOLE 500000 Tektronix Inc Common Stock 879131100 4022 122860 SH SOLE 122860 Telecom New Zealand ADRs 879278208 26775 856250 SH SOLE 856250 Telstra Corp ADRs 87969N204 18686 1068400 SH SOLE 1068400 Texas Instruments Inc Common Stock 882508104 376 12875 SH SOLE 12355 520 Time Warner Inc Common Stock 887317105 5987 355120 SH SOLE 353770 1350 Town & Country Trust REIT 892081100 3664 134750 SH SOLE 134750 TXU Corp Convertible Pfd 873168884 18975 500000 SH SOLE 500000 TXU Corp Convertible Pfd 873168504 14648 400000 SH SOLE 400000 TYCO International Ltd Common Stock 902124106 427 14926 SH SOLE 14326 600 U S Bancorp Common Stock 902973304 401 14470 SH SOLE 13890 580 United Dominion Realty REIT 910197102 17852 909833 SH SOLE 909833 United Technologies Corp Common Stock 913017109 330 3830 SH SOLE 3690 140 UnitedHealth Group Inc Common Stock 91324P102 3668 56984 SH SOLE 56984 VANGUARD TOTL STOCK MK VIPERS Common Stock 922908769 246 2253 SH SOLE 2253 Vectren Corp Common Stock 92240G101 37005 1500000 SH SOLE 1500000 Verizon Communications Inc Common Stock 92343V104 60031 1642900 SH SOLE 1642070 830 Viacom Inc Class B 925524308 513 13061 SH SOLE 12531 530 Vornado Realty Trust REIT 929042109 41288 682670 SH SOLE 682670 Walgreen Co Common Stock 931422109 7447 226000 SH SOLE 226000 Wal-Mart Stores Inc Common Stock 931142103 7604 127400 SH SOLE 126090 1310 Weingarten Realty Invest REIT 948741103 27020 780912 SH SOLE 780912 Wellpoint Health Networks Inc Common Stock 94973H108 8495 74700 SH SOLE 74700 Wells Fargo Co Common Stock 949746101 722 12745 SH SOLE 12245 500 WGL Holdings Inc Common Stock 92924F106 30100 1000000 SH SOLE 1000000 WPS Resources Corp Common Stock 92931B106 27772 581000 SH SOLE 581000 XCEL Energy Inc Common Stock 98389B100 35608 1999304 SH SOLE 1999304
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