-----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, NRqTKeDtkJmctG9CRG87I026SiV1s0xvUQzRC1muo8GtKIc0HbGMT0cLf9l5dj4G 9Sd3IjuOShhMENwBwkjjXg== 0000765443-03-000001.txt : 20030128 0000765443-03-000001.hdr.sgml : 20030128 20030128115036 ACCESSION NUMBER: 0000765443-03-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030128 EFFECTIVENESS DATE: 20030128 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: 03527211 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 r20021231.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, 2002 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 1/27/03 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: 289 Form 13F Information Table Value Total (x 1000): 2,084,373 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 912 7402 SH SOLE 7312 90 Abbott Laboratories W/Rts Common Stock 002824100 374 9349 SH SOLE 9349 AGL Resources Inc Common Stock 001204106 22502 926000 SH SOLE 926000 Alexandria Real Estate W/Rts REIT 015271109 4950 116170 SH SOLE 116170 Allete Inc Common Stock 018522102 22680 1000000 SH SOLE 1000000 Alltel Corp Common Stock 020039103 51439 1008617 SH SOLE 1008617 Alltel Corp Convertible Pfd 020039822 10266 200000 SH SOLE 200000 Ameren Corp Common Stock 023608102 41612 1001000 SH SOLE 1001000 Ameren Corp Convertible Pfd 023608201 20100 750000 SH SOLE 750000 American Express Co Common Stock 025816109 5392 152530 SH SOLE 152240 290 American Intl Group Inc Common Stock 026874107 6519 112652 SH SOLE 112093 559 American Standard Co Common Stock 029712106 615 8655 SH SOLE 8655 Amgen Inc Common Stock 031162100 934 19322 SH SOLE 19062 260 Anadarko Petroleum Corp Common Stock 032511107 472 9845 SH SOLE 9845 Anheuser Busch Cos Inc Common Stock 035229103 293 6050 SH SOLE 5870 180 AOL Time Warner Inc Common Stock 00184A105 4374 333802 SH SOLE 332852 950 Apache Corp Common Stock 037411105 884 15495 SH SOLE 15495 Apartment Investment & Mgt REIT 03748R101 6683 178341 SH SOLE 178341 Archstone-Smith Trust REIT 039583109 6612 280893 SH SOLE 280893 Avon Products Inc Common Stock 054303102 8735 162130 SH SOLE 162080 50 Bank of America Corp Common Stock 060505104 7147 102710 SH SOLE 102385 325 Bank One Corp Common Stock 06423A103 299 8181 SH SOLE 7932 249 Becton Dickinson & Co Common Stock 075887109 550 17920 SH SOLE 17920 Bell South Corp Common Stock 079860102 44755 1730000 SH SOLE 1730000 Best Buy Company Inc Common Stock 086516101 5137 212650 SH SOLE 212650 Boeing Co Common Stock 097023105 680 20585 SH SOLE 20415 170 Boston Properties REIT 101121101 19225 521558 SH SOLE 521558 BP Plc - Spons ADRs 055622104 361 8869 SH SOLE 8869 Bristol-Myers Squibb Co Common Stock 110122108 314 13540 SH SOLE 13120 420 Camden Property Trust REIT 133131102 6503 197084 SH SOLE 197084 Capital One Financial Corp Common Stock 14040H105 437 14723 SH SOLE 14723 CBL & Associates REIT 124830100 24870 620988 SH SOLE 620988 CDW Computer Centers Inc Common Stock 125129106 765 17464 SH SOLE 17464 Centerpoint Properties Corp REIT 151895109 23541 411911 SH SOLE 411911 Centurytel Inc Convertible Pfd 156700403 30840 1200000 SH SOLE 1200000 Chelsea Property Group Inc REIT 163421100 29035 871622 SH SOLE 871622 Cinergy Convertible Pfd 172474207 34691 626200 SH SOLE 626200 Cisco System Inc Common Stock 17275R102 4899 373889 SH SOLE 372349 1540 CIT Group Inc Common Stock 125581108 712 36296 SH SOLE 36296 Citigroup Inc Common Stock 172967101 6379 181303 SH SOLE 180237 1066 Coca-Cola Co Common Stock 191216100 763 17415 SH SOLE 16885 530 Colonial Properties Trust REIT 195872106 6444 189862 SH SOLE 189862 Computer Sciences Corp Common Stock 205363104 4916 142725 SH SOLE 142685 40 Concord EFS Inc Common Stock 206197105 448 28363 SH SOLE 28363 Conocophilips Common Stock 20825C104 4120 85165 SH SOLE 85165 Consolidated Edison Co Common Stock 209115104 42854 1000800 SH SOLE 1000800 Corporate Office Properties REIT 22002T108 8667 617871 SH SOLE 617871 Countrywide Credit Ind Inc Common Stock 222372104 1235 23901 SH SOLE 23901 CVS Corp Common Stock 126650100 540 21581 SH SOLE 21581 Danaher Corp Common Stock 235851102 1065 16224 SH SOLE 16224 Dell Computer Corp Common Stock 247025109 751 28094 SH SOLE 28094 Developers Div Rty W/PPRTS REIT 251591103 18057 821160 SH SOLE 821160 Disney (Walt) Co Common Stock 254687106 230 14185 SH SOLE 13735 450 Dominion Resources Inc Convertible Pfd 25746U208 24386 450000 SH SOLE 450000 Dominion Resources Inc Common Stock 25746U109 43700 796000 SH SOLE 796000 DQE Inc Common Stock 23329J104 14783 970000 SH SOLE 970000 DTE Energy Co Convertible Pfd 233331206 26927 986700 SH SOLE 986700 DTE Energy Co Common Stock 233331107 46400 1000000 SH SOLE 1000000 Duke Capital Fin Trust III Preferred Stock 26439F201 18088 700000 SH SOLE 700000 Duke Energy Corp Convertible Pfd 264399585 13937 876000 SH SOLE 876000 Duke Realty Corp REIT 264411505 7233 284248 SH SOLE 284248 DuPont E I deNemours Common Stock 263534109 3944 93008 SH SOLE 92797 211 EIX Trust II Preferred Stock 26853P206 5174 223500 SH SOLE 223500 Electronic Data Systems Corp Common Stock 285661104 3439 186600 SH SOLE 186600 EMC Corp Common Stock 268648102 95 15390 SH SOLE 14940 450 Emerson Electric Co Common Stock 291011104 4587 90200 SH SOLE 90200 Energy East Corp Common Stock 29266M109 24299 1100000 SH SOLE 1100000 Equity Office Properties REIT 294741103 7570 303025 SH SOLE 303025 Equity Residential REIT 29476L107 7749 315231 SH SOLE 315231 Essex Properties REIT 297178105 7988 157060 SH SOLE 157060 Exelon Corp Common Stock 30161N101 52886 1002202 SH SOLE 1002140 62 Exxon Mobil Corp Common Stock 30231G102 8779 251283 SH SOLE 249847 1436 Federal Natl Mortgage Assn Common Stock 313586109 6656 103450 SH SOLE 103450 First Data Corp Common Stock 319963104 4653 131400 SH SOLE 131400 FirstEnergy Common Stock 337932107 17507 531000 SH SOLE 531000 Ford Motor Co Common Stock 345370860 3625 389888 SH SOLE 389478 410 FPL Group Inc Common Stock 302571104 54117 900000 SH SOLE 900000 FPL Group Inc Convertible Pfd 302571203 27680 500000 SH SOLE 500000 General Electric Co Common Stock 369604103 6826 280297 SH SOLE 278192 2105 General Growth Properties REIT 370021107 23802 457711 SH SOLE 457711 Georgia-Pacific Corp Common Stock 373298108 3495 216300 SH SOLE 216300 Gillette Co Common Stock 375766102 223 7330 SH SOLE 7100 230 Goldman Sachs Common Stock 38141G104 228 3340 SH SOLE 3240 100 Halliburton Co Common Stock 406216101 3543 189320 SH SOLE 189220 100 HCA Inc Common Stock 404119109 583 14071 SH SOLE 13951 120 Health Care PPTYS Invest Inc REIT 421915109 10935 285499 SH SOLE 285499 Health Care Reit Inc REIT 42217K106 1381 51064 SH SOLE 51064 Healthcare Realty Trust Inc REIT 421946104 10638 363662 SH SOLE 363662 Hewlett-Packard Co Common Stock 428236103 1581 91018 SH SOLE 90398 620 Home Depot Inc Common Stock 437076102 395 16505 SH SOLE 16005 500 Home Properties of NY Inc REIT 437306103 3216 93339 SH SOLE 93339 Hospitality Properties Trust REIT 44106M102 13120 372680 SH SOLE 372680 Iberdrola SA Foreign Common 4424640$0 24512 1750000 SH SOLE 1750000 Illinois Tool Works Inc Common Stock 452308109 3811 58740 SH SOLE 58740 Intel Corp Common Stock 458140100 4016 257920 SH SOLE 256510 1410 Intl Business Machines Corp Common Stock 459200101 5122 66092 SH SOLE 65722 370 IStar Financial Inc REIT 45031U101 13534 482437 SH SOLE 482437 ITT Industries Inc Common Stock 450911102 630 10413 SH SOLE 10413 J P Morgan Chase & Co Common Stock 46625H100 5610 233760 SH SOLE 233330 430 Johnson & Johnson Co Common Stock 478160104 5644 105050 SH SOLE 104410 640 Keyspan Corp Convertible Pfd 49337W407 20835 412000 SH SOLE 412000 Keyspan Corp Common Stock 49337W100 35330 1002540 SH SOLE 1002540 Keystone Property Trust REIT 493596100 491 28900 SH SOLE 28900 Kimberly-Clark Corp Common Stock 494368103 3798 80000 SH SOLE 80000 Kimco Realty Corp REIT 49446R109 2063 67304 SH SOLE 67304 Knight Ridder Inc Common Stock 499040103 267 4230 SH SOLE 4230 Lexmark Intl Inc Common Stock 529771107 819 13532 SH SOLE 13532 Lilly (Eli) & Co Common Stock 532457108 4985 78517 SH SOLE 78517 Limited Inc Common Stock 532716107 142 10289 SH SOLE 10199 90 Lucent Technologies Inc Common Stock 549463107 30 23660 SH SOLE 22910 750 Macerich Co REIT 554382101 16553 538322 SH SOLE 538322 Masco Corp Common Stock 574599106 3794 180200 SH SOLE 180200 Mattel Inc Common Stock 577081102 972 50815 SH SOLE 50815 McDonald's Corp Common Stock 580135101 3604 224100 SH SOLE 223830 270 Medtronic Inc Common Stock 585055106 4482 98310 SH SOLE 98050 260 Merck & Co Inc Common Stock 589331107 4754 84000 SH SOLE 83520 480 Merrill Lynch & Co Inc Common Stock 590188108 227 5975 SH SOLE 5785 190 MGIC Investment Corp W/Rts Common Stock 552848103 5414 131040 SH SOLE 131040 Microsoft Corp Common Stock 594918104 9618 186019 SH SOLE 184879 1140 Morgan Stanley Common Stock 617446448 305 7615 SH SOLE 7375 240 National City Corp Common Stock 635405103 3721 136200 SH SOLE 136200 National Grid Group Foreign Common 3122387$0 5657 770000 SH SOLE 770000 National Grid Group Spons ADRs 636274102 7910 215000 SH SOLE 215000 Nisource Inc Common Stock 65473P105 45132 2256600 SH SOLE 2256600 Nisource Inc Convertible Pfd 65473P303 19200 500000 SH SOLE 500000 NStar Common Stock 67019E107 58533 1318600 SH SOLE 1318600 Office Depot Inc Common Stock 676220106 588 39781 SH SOLE 39781 Omnicom Group Inc Common Stock 681919106 4678 72400 SH SOLE 72400 Oracle Corp Common Stock 68389X105 411 37970 SH SOLE 36790 1180 Pan Pacific Retail Property REIT 69806L104 18993 519912 SH SOLE 519912 Peoples Energy Corp Common Stock 711030106 34785 900000 SH SOLE 900000 Pepsi Bottling Group Common Stock 713409100 1175 45753 SH SOLE 45753 PepsiCo Inc Common Stock 713448108 4386 103930 SH SOLE 103560 370 Pfizer Inc Common Stock 717081103 7844 256571 SH SOLE 255251 1320 Pharmacia Corp Common Stock 71713U102 376 8980 SH SOLE 8704 276 Philip Morris Cos Inc Common Stock 718154107 999 24639 SH SOLE 24189 450 Pitney Bowes Inc Common Stock 724479100 3563 109100 SH SOLE 109100 PPG Industries Inc Common Stock 693506107 614 12267 SH SOLE 12267 Praxair Inc Common Stock 74005P104 662 11439 SH SOLE 11439 Procter & Gamble Co Common Stock 742718109 781 9090 SH SOLE 8820 270 Progress Energy Inc Common Stock 743263105 59606 1375000 SH SOLE 1375000 Prologis Trust REIT 743410102 21923 871639 SH SOLE 871639 Public Serv Enterprises Grp Common Stock 744573106 32100 1000000 SH SOLE 1000000 Public Storage Inc REIT 74460D109 1695 52459 SH SOLE 52459 Realty Income Corp REIT 756109104 8509 243156 SH SOLE 243156 Reckson Assoc Realty REIT 75621K304 4482 200045 SH SOLE 200045 Reckson Assoc Realty REIT 75621K106 2292 108928 SH SOLE 108928 S L Green Realty Co REIT 78440X101 15850 501553 SH SOLE 501553 SBC Communications Inc Common Stock 78387G103 48836 1801338 SH SOLE 1800638 700 Scottish & Southern Energy ADRs 81012K309 21895 200000 SH SOLE 200000 Scottish & Southern Energy Foreign Common 0790873$6 9269 850000 SH SOLE 850000 Shurgard Storage Centers REIT 82567D104 6888 219803 SH SOLE 219803 Simon Property Group Inc REIT 828806109 21868 641808 SH SOLE 641808 SLM Corp Common Stock 78442P106 858 8260 SH SOLE 8260 Southern Co Common Stock 842587107 75295 2652160 SH SOLE 2652020 140 SPX Corp Common Stock 784635104 608 16249 SH SOLE 16249 St Jude Medical Inc Common Stock 790849103 637 16022 SH SOLE 16022 Swisscom AG Spons ADRs 871013108 19957 700000 SH SOLE 700000 Tanger Factory Outlet Centers REIT 875465106 2361 76111 SH SOLE 76111 Telecom New Zealand ADRs 879278208 16372 856250 SH SOLE 856250 Telstra Corp ADRs 87969N204 13334 1068400 SH SOLE 1068400 Texas Instruments Inc Common Stock 882508104 181 11995 SH SOLE 11635 360 TJX Companies Inc Common Stock 872540109 851 43556 SH SOLE 43556 Town & Country Trust REIT 892081100 2909 137839 SH SOLE 137839 Travelers Prop Casualty Class A 89420G109 534 36476 SH SOLE 36476 Tribune Co Common Stock 896047107 633 13900 SH SOLE 13900 TXU Corp Convertible Pfd 873168884 14375 500000 SH SOLE 500000 TXU Corp Convertible Pfd 873168504 11440 400000 SH SOLE 400000 TYCO International Ltd Common Stock 902124106 236 13784 SH SOLE 13386 398 U S Bancorp Common Stock 902973304 348 16363 SH SOLE 15960 403 Union Pacific Corp Common Stock 907818108 608 10205 SH SOLE 10205 United Dominion Realty REIT 910197102 16162 987849 SH SOLE 987849 United Technologies Corp Common Stock 913017109 952 15386 SH SOLE 15286 100 UnitedHealth Group Inc Common Stock 91324P102 614 7356 SH SOLE 7356 Vectren Corp Common Stock 92240G101 34500 1500000 SH SOLE 1500000 Verizon Communications Inc Common Stock 92343V104 64002 1651700 SH SOLE 1651140 560 Viacom Inc Class B 925524308 1259 30896 SH SOLE 30519 377 Vornado Realty Trust REIT 929042109 20041 538730 SH SOLE 538730 Walgreen Co Common Stock 931422109 5932 203200 SH SOLE 203200 Wal-Mart Stores Inc Common Stock 931142103 6003 118840 SH SOLE 117890 950 Washington Mutual Inc Common Stock 939322103 215 6212 SH SOLE 6212 Weingarten Realty Invest REIT 948741103 15500 420548 SH SOLE 420548 Wellpoint Health Networks Inc Common Stock 94973H108 5380 75629 SH SOLE 75629 Wells Fargo Co Common Stock 949746101 1180 25208 SH SOLE 24838 370 WGL Holdings Inc Common Stock 92924F106 23920 1000000 SH SOLE 1000000
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