-----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, If2QS3WoUGxk9MZlv/1OKVVtiNWi5n3RLRG9Uut6HLv6PN7sNxih47bBsCT9Jp4s r+edATq2wxZpH+tWTcVkmA== 0000765443-04-000001.txt : 20040203 0000765443-04-000001.hdr.sgml : 20040203 20040203123846 ACCESSION NUMBER: 0000765443-04-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20040203 EFFECTIVENESS DATE: 20040203 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: 04561772 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 rd20031231.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, 2003 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 1/28/2004 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: 229 Form 13F Information Table Value Total (x 1000): 2,545,953 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 496 5810 SH SOLE 5580 230 Adobe Systems Inc Common Stock 00724F101 505 12877 SH SOLE 12877 AGL Resources Inc Common Stock 001204106 26947 926000 SH SOLE 926000 Alcoa Inc Common Stock 013817101 237 6250 SH SOLE 6000 250 Alexandria Real Estate W/Rts REIT 015271109 13627 235334 SH SOLE 235334 Allstate Corp Common Stock 020002101 217 5020 SH SOLE 4810 210 Alltel Corp Convertible Pfd 020039822 9940 200000 SH SOLE 200000 Alltel Corp Common Stock 020039103 46580 1000000 SH SOLE 1000000 Altria Group Inc Common Stock 02209S103 837 15380 SH SOLE 14770 610 Ameren Corp Common Stock 023608102 46046 1001000 SH SOLE 1001000 Ameren Corp Convertible Pfd 023608201 22305 750000 SH SOLE 750000 American Express Co Common Stock 025816109 7845 162670 SH SOLE 162280 390 American Intl Group Inc Common Stock 026874107 7004 105641 SH SOLE 104862 779 Amgen Inc Common Stock 031162100 592 9570 SH SOLE 9180 390 Anheuser Busch Cos Inc Common Stock 035229103 335 6360 SH SOLE 6110 250 Apollo Group Inc CL A Common Stock 037604105 565 8316 SH SOLE 8316 Archstone-Smith Trust REIT 039583109 15466 552707 SH SOLE 552707 Arden Realty Inc REIT 039793104 6358 209576 SH SOLE 209576 Avon Products Inc Common Stock 054303102 10945 162158 SH SOLE 162088 70 Bank of America Corp Common Stock 060505104 8879 110400 SH SOLE 109950 450 Bank One Corp Common Stock 06423A103 397 8682 SH SOLE 8342 340 Basusch & Lomb Inc Common Stock 071707103 589 11331 SH SOLE 11331 Bear Stearns Cos Inc Common Stock 073902108 544 6796 SH SOLE 6796 Bell South Corp Common Stock 079860102 48959 1730000 SH SOLE 1730000 Best Buy Company Inc Common Stock 086516101 9317 178350 SH SOLE 178350 Boeing Co Common Stock 097023105 262 6195 SH SOLE 5945 250 Boston Properties REIT 101121101 28719 595990 SH SOLE 595990 Bristol-Myers Squibb Co Common Stock 110122108 413 14390 SH SOLE 13810 580 Camden Property Trust REIT 133131102 11508 259754 SH SOLE 259754 CBL & Associates REIT 124830100 38589 682979 SH SOLE 682979 Centerpoint Properties Corp REIT 151895109 35677 476355 SH SOLE 476355 Centurytel Inc Convertible Pfd 156700403 32400 1200000 SH SOLE 1200000 Chelsea Property Group Inc REIT 163421100 49183 897321 SH SOLE 897321 Chunghwa Telecom Co Ltd ADRs 17133Q205 18125 1250000 SH SOLE 1250000 Cinergy Convertible Pfd 172474207 39889 626200 SH SOLE 626200 Cinergy Common Stock 172474108 31048 800000 SH SOLE 800000 Cisco System Inc Common Stock 17275R102 9440 388597 SH SOLE 386497 2100 Citigroup Inc Common Stock 172967101 7146 147213 SH SOLE 145673 1540 Clear Channel Commun Inc Common Stock 184502102 213 4555 SH SOLE 4375 180 Coca-Cola Co Common Stock 191216100 937 18445 SH SOLE 17705 740 Colgate-Palmolive Co Common Stock 194162103 201 4005 SH SOLE 3845 160 Computer Sciences Corp Common Stock 205363104 6853 154975 SH SOLE 154915 60 ConocoPhillips Common Stock 20825C104 5120 78077 SH SOLE 78077 Consolidated Edison Co Common Stock 209115104 43010 1000000 SH SOLE 1000000 Corporate Office Properties REIT 22002T108 19331 920501 SH SOLE 920501 Costco Wholesale Corp Common Stock 22160K105 561 15090 SH SOLE 15090 Countrywide Financial Corp Common Stock 222372104 584 7688 SH SOLE 7688 Danaher Corp Common Stock 235851102 598 6522 SH SOLE 6522 Developers Div Rty W/PPRTS REIT 251591103 32748 975534 SH SOLE 975534 Disney (Walt) Co Common Stock 254687106 353 15155 SH SOLE 14545 610 Dominion Resources Inc Common Stock 25746U109 50809 796000 SH SOLE 796000 Dominion Resources Inc Convertible Pfd 25746U208 25762 450000 SH SOLE 450000 Dow Chemical Co Common Stock 260543103 282 6790 SH SOLE 6510 280 DTE Energy Co Common Stock 233331107 39400 1000000 SH SOLE 1000000 DTE Energy Co Convertible Pfd 233331206 25279 986700 SH SOLE 986700 Duke Energy Corp Convertible Pfd 264399585 7612 550000 SH SOLE 550000 Duke Realty Corp REIT 264411505 9401 303296 SH SOLE 303296 DuPont E I deNemours Common Stock 263534109 4786 104287 SH SOLE 103987 300 Duquesne Light Holdings Inc Common Stock 266233105 36680 2000000 SH SOLE 2000000 Edison International Common Stock 281020107 621 28312 SH SOLE 28312 EIX Trust II Preferred Stock 26853P206 5686 223500 SH SOLE 223500 Electronic Data Systems Corp Common Stock 285661104 5338 217500 SH SOLE 217500 EMC Corp Common Stock 268648102 212 16430 SH SOLE 15770 660 Emerson Electric Co Common Stock 291011104 6197 95700 SH SOLE 95700 Energy East Corp Common Stock 29266M109 24640 1100000 SH SOLE 1100000 Entergy Corp Common Stock 29364G103 643 11252 SH SOLE 11182 70 Equity Office Properties REIT 294741103 8782 306529 SH SOLE 306529 Equity Residential REIT 29476L107 14766 500449 SH SOLE 500449 Essex Properties REIT 297178105 11185 174192 SH SOLE 174192 Exelon Corp Common Stock 30161N101 66519 1002390 SH SOLE 1002290 100 Exxon Mobil Corp Common Stock 30231G102 10111 246614 SH SOLE 244624 1990 Federal Natl Mortgage Assn Common Stock 313586109 6749 89900 SH SOLE 89900 Fedex Corp Common Stock 31428X106 645 9551 SH SOLE 9461 90 First Data Corp Common Stock 319963104 5867 142800 SH SOLE 142800 FirstEnergy Common Stock 337932107 70400 2000000 SH SOLE 2000000 Ford Motor Co Common Stock 345370860 7111 444468 SH SOLE 443918 550 Fortune Brands Inc Common Stock 349631101 591 8259 SH SOLE 8259 FPL Group Inc Convertible Pfd 302571203 28865 500000 SH SOLE 500000 FPL Group Inc Common Stock 302571104 39252 600000 SH SOLE 600000 General Electric Co Common Stock 369604103 8692 280540 SH SOLE 277540 3000 General Growth Properties REIT 370021107 46671 1681890 SH SOLE 1681890 General Motors Corp Common Stock 370442105 221 4145 SH SOLE 3975 170 Genzyme Corp Common Stock 372917104 591 11994 SH SOLE 11994 Georgia-Pacific Corp Common Stock 373298108 8091 263800 SH SOLE 263800 Gillette Co Common Stock 375766102 287 7810 SH SOLE 7500 310 Goldman Sachs Common Stock 38141G104 352 3550 SH SOLE 3410 140 Guidant Corp Common Stock 401698105 571 9506 SH SOLE 9506 Halliburton Co Common Stock 406216101 5158 198430 SH SOLE 198300 130 Hasbro Inc Common Stock 418056107 536 25161 SH SOLE 25161 Health Care PPTYS Invest Inc REIT 421915109 8052 158503 SH SOLE 158503 Health Care Reit Inc REIT 42217K106 4020 111661 SH SOLE 111661 Healthcare Realty Trust Inc REIT 421946104 9424 263658 SH SOLE 263658 Hewlett-Packard Co Common Stock 428236103 518 22600 SH SOLE 21680 920 Home Depot Inc Common Stock 437076102 612 17275 SH SOLE 16585 690 Home Properties Inc REIT 437306103 9955 246524 SH SOLE 246524 Honeywell International Common Stock 438516106 204 6112 SH SOLE 5852 260 Hospitality Properties Trust REIT 44106M102 8076 195646 SH SOLE 195646 Host Marriott Corp REIT 44107P104 9323 756666 SH SOLE 756666 Iberdrola SA Foreign Common 4424640$0 26927 1080000 SH SOLE 1080000 Illinois Tool Works Inc Common Stock 452308109 5354 63800 SH SOLE 63800 Ingersoll Rand Co Limited Common Stock G4776G101 608 8962 SH SOLE 8962 Intel Corp Common Stock 458140100 9182 285148 SH SOLE 283198 1950 Intl Business Machines Corp Common Stock 459200101 5447 58775 SH SOLE 58255 520 IStar Financial Inc REIT 45031U101 22905 588867 SH SOLE 588867 J P Morgan Chase & Co Common Stock 46625H100 9272 252390 SH SOLE 251780 610 Johnson & Johnson Co Common Stock 478160104 6711 129880 SH SOLE 128990 890 KB Home Common Stock 48666K109 579 7983 SH SOLE 7983 Keyspan Corp Convertible Pfd 49337W407 22207 412000 SH SOLE 412000 Keyspan Corp Common Stock 49337W100 36800 1000000 SH SOLE 1000000 Keystone Property Trust REIT 493596100 1145 51839 SH SOLE 51839 Kimberly-Clark Corp Common Stock 494368103 5342 90400 SH SOLE 90400 Kimco Realty Corp REIT 49446R109 1482 33121 SH SOLE 33121 Lehman Bros Holding Inc Common Stock 524908100 707 9164 SH SOLE 9084 80 Lilly (Eli) & Co Common Stock 532457108 5430 77200 SH SOLE 77200 Lucent Technologies Inc Common Stock 549463107 75 26290 SH SOLE 25050 1240 Macerich Co REIT 554382101 29212 656421 SH SOLE 656421 Mack-Cali Realty Corp W/Rts REIT 554489104 1824 43829 SH SOLE 43829 Maguire Properties Inc REIT 559775101 10774 443337 SH SOLE 443337 Masco Corp Common Stock 574599106 5462 199200 SH SOLE 199200 McDonald's Corp Common Stock 580135101 6863 276373 SH SOLE 275993 380 Medtronic Inc Common Stock 585055106 5258 108190 SH SOLE 107830 360 Merck & Co Inc Common Stock 589331107 6296 136260 SH SOLE 135590 670 Merrill Lynch & Co Inc Common Stock 590188108 377 6445 SH SOLE 6165 280 MGIC Investment Corp W/Rts Common Stock 552848103 6844 120200 SH SOLE 120200 Microsoft Corp Common Stock 594918104 9376 340450 SH SOLE 337210 3240 Morgan Stanley Common Stock 617446448 467 8065 SH SOLE 7735 330 National City Corp Common Stock 635405103 5142 151500 SH SOLE 151500 National Grid Group Spons ADRs 636274102 7794 215000 SH SOLE 215000 National Grid Transco PLC Foreign Common 3122387$0 9845 770000 SH SOLE 770000 Nike Inc Common Stock 654106103 579 8467 SH SOLE 8467 Nordstrom Inc Common Stock 655664100 552 16120 SH SOLE 16120 NStar Common Stock 67019E107 63952 1318600 SH SOLE 1318600 Occidental Petroleum Corp Common Stock 674599105 631 14925 SH SOLE 14925 Omnicom Group Inc Common Stock 681919106 6943 79500 SH SOLE 79500 Oneok Inc Convertible Pfd 682680202 23847 775000 SH SOLE 775000 Oracle Corp Common Stock 68389X105 525 39730 SH SOLE 38160 1570 Paccar Inc Common Stock 693718108 493 5792 SH SOLE 5792 Pan Pacific Retail Property REIT 69806L104 28571 599624 SH SOLE 599624 Peoples Energy Corp Common Stock 711030106 37836 900000 SH SOLE 900000 PepsiCo Inc Common Stock 713448108 5042 108140 SH SOLE 107620 520 Pfizer Inc Common Stock 717081103 8819 249653 SH SOLE 247323 2330 Phelps Dodge Corp Common Stock 717265102 601 7893 SH SOLE 7893 Pitney Bowes Inc Common Stock 724479100 5004 123200 SH SOLE 123200 Procter & Gamble Co Common Stock 742718109 965 9650 SH SOLE 9260 390 Progress Energy Inc Common Stock 743263105 62232 1375000 SH SOLE 1375000 Progressive Corp Common Stock 743315103 609 7281 SH SOLE 7281 Prologis Trust REIT 743410102 27556 858680 SH SOLE 858680 Public Serv Enterprises Grp Common Stock 744573106 43800 1000000 SH SOLE 1000000 Public Storage Inc REIT 74460D109 3150 72613 SH SOLE 72613 Qlogic Corp Common Stock 747277101 528 10245 SH SOLE 10245 Realty Income Corp REIT 756109104 5203 130063 SH SOLE 130063 S L Green Realty Co REIT 78440X101 24600 599244 SH SOLE 599244 SBC Communications Inc Common Stock 78387G103 47406 1818353 SH SOLE 1817353 1000 Schlumberger Ltd Common Stock 806857108 235 4300 SH SOLE 4120 180 Scottish & Southern Energy ADRs 81012K309 12048 100000 SH SOLE 100000 Scottish & Southern Energy Foreign Common 0790873$6 18280 850000 SH SOLE 850000 Scottish Power Plc ADRs 81013T705 10021 368700 SH SOLE 368700 Sempra Energy Preferred Stock 816851208 14230 500000 SH SOLE 500000 Shurgard Storage Centers REIT 82567D104 6688 177642 SH SOLE 177642 Simon Property Group Inc REIT 828806109 35902 774723 SH SOLE 774723 Southern Co Common Stock 842587107 69735 2305300 SH SOLE 2305080 220 Southern Union Co Preferred Stock 844030304 10207 172700 SH SOLE 172700 Sunoco Inc Common Stock 86764P109 628 12258 SH SOLE 12258 Tanger Factory Outlet Centers REIT 875465106 8869 217904 SH SOLE 217904 Tektronix Inc Common Stock 879131100 613 19423 SH SOLE 19423 Telecom New Zealand ADRs 879278208 24189 856250 SH SOLE 856250 Telefonica SA-SPON ADRs 879382208 24746 560000 SH SOLE 560000 Telstra Corp ADRs 87969N204 19541 1068400 SH SOLE 1068400 Texas Instruments Inc Common Stock 882508104 377 12835 SH SOLE 12315 520 Time Warner Inc Common Stock 887317105 6258 347840 SH SOLE 346490 1350 Town & Country Trust REIT 892081100 3439 135649 SH SOLE 135649 TXU Corp Convertible Pfd 873168884 16805 500000 SH SOLE 500000 TXU Corp Convertible Pfd 873168504 13880 400000 SH SOLE 400000 TYCO International Ltd Common Stock 902124106 393 14826 SH SOLE 14226 600 U S Bancorp Common Stock 902973304 424 14250 SH SOLE 13670 580 United Dominion Realty REIT 910197102 16146 840958 SH SOLE 840958 United Technologies Corp Common Stock 913017109 332 3510 SH SOLE 3370 140 Vectren Corp Common Stock 92240G101 36975 1500000 SH SOLE 1500000 Veritas Software Corp Common Stock 923436109 558 15030 SH SOLE 15030 Verizon Communications Inc Common Stock 92343V104 57543 1640320 SH SOLE 1639490 830 VF Corp Common Stock 918204108 568 13148 SH SOLE 13148 Viacom Inc Class B 925524308 580 13061 SH SOLE 12531 530 Vornado Realty Trust REIT 929042109 34799 635625 SH SOLE 635625 Wachovia Corp Common Stock 929903102 550 11815 SH SOLE 11815 Walgreen Co Common Stock 931422109 8055 221400 SH SOLE 221400 Wal-Mart Stores Inc Common Stock 931142103 6673 125780 SH SOLE 124470 1310 Weingarten Realty Invest REIT 948741103 21361 481702 SH SOLE 481702 Wellpoint Health Networks Inc Common Stock 94973H108 7110 73300 SH SOLE 73300 Wells Fargo Co Common Stock 949746101 740 12575 SH SOLE 12075 500 WGL Holdings Inc Common Stock 92924F106 27790 1000000 SH SOLE 1000000 WPS Resources Corp Common Stock 92931B106 26837 580500 SH SOLE 580500
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