-----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, RHN4exC/LasyX5qbelzINlE6Pf1pYBYYbMUV15aRGe2Zv/ydYZGLibnueTxU4XCD v6wlvnJQMyYY0snGy+Hz8w== 0000765443-03-000004.txt : 20031104 0000765443-03-000004.hdr.sgml : 20031104 20031104154722 ACCESSION NUMBER: 0000765443-03-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031104 EFFECTIVENESS DATE: 20031104 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: 03976340 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 r20030930.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, 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 10/21/03 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: 230 Form 13F Information Table Value Total (x 1000): 2,269,340 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 398 5760 SH SOLE 5580 180 Adobe Systems Inc Common Stock 00724F101 513 13034 SH SOLE 13034 Aetna Inc Common Stock 00817Y108 482 7897 SH SOLE 7897 AGL Resources Inc Common Stock 001204106 26085 926000 SH SOLE 926000 Alexandria Real Estate W/Rts REIT 015271109 9589 199654 SH SOLE 199654 Allete Inc Common Stock 018522102 27380 1000000 SH SOLE 1000000 Alltel Corp Convertible Pfd 020039822 9778 200000 SH SOLE 200000 Alltel Corp Common Stock 020039103 46340 1000000 SH SOLE 1000000 Altria Group Inc Common Stock 02209S103 667 15220 SH SOLE 14770 450 Amerada Hess Corp Common Stock 023551104 504 10069 SH SOLE 10069 Ameren Corp Common Stock 023608102 42953 1001000 SH SOLE 1001000 Ameren Corp Convertible Pfd 023608201 20888 750000 SH SOLE 750000 American Express Co Common Stock 025816109 7126 158170 SH SOLE 157880 290 American Intl Group Inc Common Stock 026874107 5921 102621 SH SOLE 102062 559 Amgen Inc Common Stock 031162100 1089 16875 SH SOLE 16605 270 Anheuser Busch Cos Inc Common Stock 035229103 311 6290 SH SOLE 6110 180 AOL Time Warner Common Stock 00184A105 5122 339040 SH SOLE 338090 950 Apollo Group Inc CL A Common Stock 037604105 544 8236 SH SOLE 8236 Archstone-Smith Trust REIT 039583109 13118 497251 SH SOLE 497251 Arden Realty Inc REIT 039793104 9534 341474 SH SOLE 341474 Avon Products Inc Common Stock 054303102 11522 178461 SH SOLE 178411 50 Bank of America Corp Common Stock 060505104 8372 107275 SH SOLE 106950 325 Bank One Corp Common Stock 06423A103 332 8591 SH SOLE 8342 249 Bear Stearns Cos Inc Common Stock 073902108 502 6725 SH SOLE 6725 Bed Bath & Beyond Inc Common Stock 075896100 479 12564 SH SOLE 12564 Bell South Corp Common Stock 079860102 40966 1730000 SH SOLE 1730000 Best Buy Company Inc Common Stock 086516101 11174 235124 SH SOLE 235124 Boeing Co Common Stock 097023105 210 6115 SH SOLE 5945 170 Boston Properties REIT 101121101 23638 543828 SH SOLE 543828 Bristol-Myers Squibb Co Common Stock 110122108 366 14230 SH SOLE 13810 420 Camden Property Trust REIT 133131102 8977 233620 SH SOLE 233620 Caterpillar Inc Common Stock 149123101 523 7600 SH SOLE 7600 CBL & Associates REIT 124830100 31002 621299 SH SOLE 621299 Centerpoint Properties Corp REIT 151895109 29493 433009 SH SOLE 433009 Centurytel Inc Convertible Pfd 156700403 33240 1200000 SH SOLE 1200000 Chelsea Property Group Inc REIT 163421100 39003 814280 SH SOLE 814280 Chunghwa Telecom Co Ltd ADRs 17133Q205 17512 1250000 SH SOLE 1250000 Cinergy Convertible Pfd 172474207 38323 626200 SH SOLE 626200 Cinergy Common Stock 172474108 29360 800000 SH SOLE 800000 Cisco System Inc Common Stock 17275R102 6944 355455 SH SOLE 353915 1540 Citigroup Inc Common Stock 172967101 6553 143969 SH SOLE 142873 1096 Coca-Cola Co Common Stock 191216100 784 18235 SH SOLE 17705 530 Colgate-Palmolive Co Common Stock 194162103 223 3965 SH SOLE 3845 120 Colonial Properties Trust REIT 195872106 4575 127012 SH SOLE 127012 Computer Sciences Corp Common Stock 205363104 5649 150355 SH SOLE 150315 40 ConocoPhillips Common Stock 20825C104 4247 77576 SH SOLE 77576 Consolidated Edison Co Common Stock 209115104 40760 1000000 SH SOLE 1000000 Corporate Office Properties REIT 22002T108 14909 805404 SH SOLE 805404 Countrywide Financial Corp Common Stock 222372104 511 6518 SH SOLE 6518 Developers Div Rty W/PPRTS REIT 251591103 26236 878318 SH SOLE 878318 Disney (Walt) Co Common Stock 254687106 302 14995 SH SOLE 14545 450 Dominion Resources Inc Convertible Pfd 25746U208 25510 450000 SH SOLE 450000 Dominion Resources Inc Common Stock 25746U109 49272 796000 SH SOLE 796000 Dow Chemical Co Common Stock 260543103 218 6690 SH SOLE 6510 180 DTE Energy Co Convertible Pfd 233331206 24964 986700 SH SOLE 986700 DTE Energy Co Common Stock 233331107 36890 1000000 SH SOLE 1000000 Duke Energy Corp Convertible Pfd 264399585 7183 550000 SH SOLE 550000 Duke Realty Corp REIT 264411505 8247 282456 SH SOLE 282456 DuPont E I deNemours Common Stock 263534109 3988 99698 SH SOLE 99487 211 Edison International Common Stock 281020107 550 28792 SH SOLE 28792 EIX Trust II Preferred Stock 26853P206 6750 223500 SH SOLE 223500 Electronic Data Systems Corp Common Stock 285661104 4295 212600 SH SOLE 212600 EMC Corp Common Stock 268648102 732 57981 SH SOLE 57531 450 Emerson Electric Co Common Stock 291011104 4890 92900 SH SOLE 92900 Energy East Corp Common Stock 29266M109 24673 1100000 SH SOLE 1100000 Entergy Corp Common Stock 29364G103 605 11131 SH SOLE 11081 50 Equity Office Properties REIT 294741103 7787 282864 SH SOLE 282864 Equity Residential REIT 29476L107 13113 447867 SH SOLE 447867 Essex Properties REIT 297178105 9852 157099 SH SOLE 157099 Exelon Corp Common Stock 30161N101 63649 1002352 SH SOLE 1002290 62 Exxon Mobil Corp Common Stock 30231G102 9307 254270 SH SOLE 252834 1436 Federal Natl Mortgage Assn Common Stock 313586109 6149 87600 SH SOLE 87600 First Data Corp Common Stock 319963104 5570 139400 SH SOLE 139400 First Tennessee Natl Corp Common Stock 337162101 516 12158 SH SOLE 12158 FirstEnergy Common Stock 337932107 63800 2000000 SH SOLE 2000000 Ford Motor Co Common Stock 345370860 4671 433728 SH SOLE 433318 410 Fortune Brands Inc Common Stock 349631101 481 8472 SH SOLE 8472 FPL Group Inc Convertible Pfd 302571203 28480 500000 SH SOLE 500000 FPL Group Inc Common Stock 302571104 37920 600000 SH SOLE 600000 General Electric Co Common Stock 369604103 8192 274745 SH SOLE 272640 2105 General Growth Properties REIT 370021107 36327 506662 SH SOLE 506662 Georgia-Pacific Corp Common Stock 373298108 6244 257600 SH SOLE 257600 Gillette Co Common Stock 375766102 247 7730 SH SOLE 7500 230 Goldman Sachs Common Stock 38141G104 293 3510 SH SOLE 3410 100 Halliburton Co Common Stock 406216101 4716 194500 SH SOLE 194400 100 Health Care PPTYS Invest Inc REIT 421915109 6698 143417 SH SOLE 143417 Health Care Reit Inc REIT 42217K106 2800 90738 SH SOLE 90738 Healthcare Realty Trust Inc REIT 421946104 7761 242683 SH SOLE 242683 Hewlett-Packard Co Common Stock 428236103 432 22330 SH SOLE 21680 650 Home Depot Inc Common Stock 437076102 545 17085 SH SOLE 16585 500 Home Properties of NY Inc REIT 437306103 8687 221660 SH SOLE 221660 Hospitality Properties Trust REIT 44106M102 6234 177707 SH SOLE 177707 Iberdrola SA Foreign Common 4424640$0 21142 1080000 SH SOLE 1080000 Illinois Tool Works Inc Common Stock 452308109 4109 62000 SH SOLE 62000 Ingersoll Rand Co Limited Common Stock G4776G101 490 9169 SH SOLE 9169 Intel Corp Common Stock 458140100 7262 263970 SH SOLE 262560 1410 Intl Business Machines Corp Common Stock 459200101 5126 58025 SH SOLE 57655 370 IStar Financial Inc REIT 45031U101 20712 531752 SH SOLE 531752 J P Morgan Chase & Co Common Stock 46625H100 8449 246110 SH SOLE 245680 430 Johnson & Johnson Co Common Stock 478160104 5386 108730 SH SOLE 108090 640 KB Home Common Stock 48666K109 549 9214 SH SOLE 9214 Keyspan Corp Convertible Pfd 49337W407 21548 412000 SH SOLE 412000 Keyspan Corp Common Stock 49337W100 35080 1000000 SH SOLE 1000000 Keystone Property Trust REIT 493596100 870 42942 SH SOLE 42942 Kimberly-Clark Corp Common Stock 494368103 4516 88000 SH SOLE 88000 Kimco Realty Corp REIT 49446R109 1153 28129 SH SOLE 28129 Lilly (Eli) & Co Common Stock 532457108 4466 75200 SH SOLE 75200 LSI Logic Corp Common Stock 502161102 411 45710 SH SOLE 45710 Lucent Technologies Inc Common Stock 549463107 56 25800 SH SOLE 25050 750 Macerich Co REIT 554382101 22201 588110 SH SOLE 588110 Mack-Cali Realty Corp W/Rts REIT 554489104 1526 38936 SH SOLE 38936 Maguire Properties Inc REIT 559775101 8184 399224 SH SOLE 399224 Masco Corp Common Stock 574599106 4754 194200 SH SOLE 194200 McDonald's Corp Common Stock 580135101 6320 268544 SH SOLE 268274 270 Medtronic Inc Common Stock 585055106 4950 105490 SH SOLE 105230 260 Merck & Co Inc Common Stock 589331107 4387 86670 SH SOLE 86190 480 Merrill Lynch & Co Inc Common Stock 590188108 340 6355 SH SOLE 6165 190 MGIC Investment Corp W/Rts Common Stock 552848103 6087 116900 SH SOLE 116900 Microsoft Corp Common Stock 594918104 9259 333190 SH SOLE 330910 2280 Morgan Stanley Common Stock 617446448 402 7975 SH SOLE 7735 240 National City Corp Common Stock 635405103 4360 148000 SH SOLE 148000 National Grid Group Spons ADRs 636274102 7024 215000 SH SOLE 215000 National Grid Transco PLC Foreign Common 3122387$0 8193 770000 SH SOLE 770000 Network Appliance Inc Common Stock 64120L104 458 22312 SH SOLE 22312 Nike Inc Common Stock 654106103 516 8479 SH SOLE 8479 NStar Common Stock 67019E107 62634 1318600 SH SOLE 1318600 Omnicom Group Inc Common Stock 681919106 5569 77500 SH SOLE 77500 Oneok Inc Convertible Pfd 682680202 22281 775000 SH SOLE 775000 Oracle Corp Common Stock 68389X105 441 39280 SH SOLE 38160 1120 Paccar Inc Common Stock 693718108 429 5733 SH SOLE 5733 Pan Pacific Retail Property REIT 69806L104 23365 543433 SH SOLE 543433 Peoples Energy Corp Common Stock 711030106 37242 900000 SH SOLE 900000 PepsiCo Inc Common Stock 713448108 4898 106890 SH SOLE 106520 370 Pfizer Inc Common Stock 717081103 7414 244029 SH SOLE 242323 1706 Pitney Bowes Inc Common Stock 724479100 4609 120300 SH SOLE 120300 Procter & Gamble Co Common Stock 742718109 885 9530 SH SOLE 9260 270 Progress Energy Inc Common Stock 743263105 61132 1375000 SH SOLE 1375000 Progressive Corp Common Stock 743315103 512 7408 SH SOLE 7408 Prologis Trust REIT 743410102 29720 982479 SH SOLE 982479 Public Serv Enterprises Grp Common Stock 744573106 42000 1000000 SH SOLE 1000000 Public Storage Inc REIT 74460D109 2449 62436 SH SOLE 62436 Qlogic Corp Common Stock 747277101 490 10437 SH SOLE 10437 Realty Income Corp REIT 756109104 5156 130063 SH SOLE 130063 Ryder System Inc Common Stock 783549108 551 18795 SH SOLE 18795 S L Green Realty Co REIT 78440X101 19518 540545 SH SOLE 540545 Safeco Corp Common Stock 786429100 484 13699 SH SOLE 13699 SBC Communications Inc Common Stock 78387G103 40374 1814553 SH SOLE 1813853 700 Schlumberger Ltd Common Stock 806857108 206 4240 SH SOLE 4120 120 Scottish & Southern Energy ADRs 81012K309 10101 100000 SH SOLE 100000 Scottish & Southern Energy Foreign Common 0790873$6 14267 850000 SH SOLE 850000 Scottish Power Plc ADRs 81013T705 4740 200000 SH SOLE 200000 Sempra Energy Preferred Stock 816851208 13800 500000 SH SOLE 500000 Shurgard Storage Centers REIT 82567D104 8399 237930 SH SOLE 237930 Sigma-Aldrich Common Stock 826552101 501 9631 SH SOLE 9631 Simon Property Group Inc REIT 828806109 30540 700770 SH SOLE 700770 Southern Co Common Stock 842587107 67589 2305220 SH SOLE 2305080 140 Southern Union Co Preferred Stock 844030304 9637 172700 SH SOLE 172700 Starwood Hotels & Resorts Common Stock 85590A203 507 14573 SH SOLE 14573 Tanger Factory Outlet Centers REIT 875465106 5941 161574 SH SOLE 161574 Telecom New Zealand ADRs 879278208 20910 856250 SH SOLE 856250 Telefonica SA-SPON ADRs 879382208 19852 560000 SH SOLE 560000 Telstra Corp ADRs 87969N204 17255 1068400 SH SOLE 1068400 Texas Instruments Inc Common Stock 882508104 289 12675 SH SOLE 12315 360 Town & Country Trust REIT 892081100 3188 135649 SH SOLE 135649 TXU Corp Convertible Pfd 873168504 13740 400000 SH SOLE 400000 TXU Corp Convertible Pfd 873168884 17765 500000 SH SOLE 500000 TYCO International Ltd Common Stock 902124106 299 14644 SH SOLE 14226 418 U S Bancorp Common Stock 902973304 338 14073 SH SOLE 13670 403 United Dominion Realty REIT 910197102 13857 756878 SH SOLE 756878 United Technologies Corp Common Stock 913017109 268 3470 SH SOLE 3370 100 Vectren Corp Common Stock 92240G101 35430 1500000 SH SOLE 1500000 Veritas Software Corp Common Stock 923436109 557 17703 SH SOLE 17703 Verizon Communications Inc Common Stock 92343V104 53116 1637370 SH SOLE 1636790 580 VF Corp Common Stock 918204108 506 13003 SH SOLE 13003 Viacom Inc Class B 925524308 493 12908 SH SOLE 12531 377 Vornado Realty Trust REIT 929042109 27761 577885 SH SOLE 577885 Walgreen Co Common Stock 931422109 6606 215600 SH SOLE 215600 Wal-Mart Stores Inc Common Stock 931142103 6867 122920 SH SOLE 121970 950 Weingarten Realty Invest REIT 948741103 19587 435274 SH SOLE 435274 Wellpoint Health Networks Inc Common Stock 94973H108 5426 70400 SH SOLE 70400 Wells Fargo Co Common Stock 949746101 641 12445 SH SOLE 12075 370 WGL Holdings Inc Common Stock 92924F106 27580 1000000 SH SOLE 1000000 Zimmer Holdings Inc Common Stock 98956P102 552 10005 SH SOLE 10005
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