-----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, ENvsl7fmluk3T09WxLZ3Ezk0UbasnhiaxOJFAIMpkmScuMisqJJ3Bu9JHhIRbek5 KNb52Vo2nUTHGxAXIZ1mZQ== 0000765443-02-000011.txt : 20021112 0000765443-02-000011.hdr.sgml : 20021111 20021112113324 ACCESSION NUMBER: 0000765443-02-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021112 EFFECTIVENESS DATE: 20021112 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: 02816014 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 r20021111.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, 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 11/6/02 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: 278 Form 13F Information Table Value Total (x 1000): 1,941,598 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 829 7518 SH SOLE 6938 580 A T & T Corp Common Stock 001957109 285 23745 SH SOLE 22980 765 Abbott Laboratories W/Rts Common Stock 002824100 988 24459 SH SOLE 21630 2829 AGL Resources Inc Common Stock 001204106 20455 926000 SH SOLE 926000 Alexandria Real Estate W/Rts REIT 015271109 3081 72600 SH SOLE 72600 Allegheny Energy Inc Common Stock 017361106 17030 1300000 SH SOLE 1300000 Allete Inc Common Stock 018522102 21600 1000000 SH SOLE 1000000 Alltel Corp Common Stock 020039103 40636 1012605 SH SOLE 1011255 1350 Alltel Corp Convertible Pfd 020039822 8700 200000 SH SOLE 200000 Ameren Corp Convertible Pfd 023608201 20025 750000 SH SOLE 750000 Ameren Corp Common Stock 023608102 41692 1001000 SH SOLE 1001000 American Express Co Common Stock 025816109 4728 151620 SH SOLE 151330 290 American Intl Group Inc Common Stock 026874107 6334 115787 SH SOLE 112678 3109 American Standard Co Common Stock 029712106 832 13105 SH SOLE 11765 1340 Amgen Inc Common Stock 031162100 890 21333 SH SOLE 19788 1545 Anadarko Petroleum Corp Common Stock 032511107 562 12610 SH SOLE 11230 1380 Anheuser Busch Cos Inc Common Stock 035229103 276 5460 SH SOLE 5280 180 AOL Time Warner Inc Common Stock 00184A105 3910 334085 SH SOLE 329470 4615 Apache Corp Common Stock 037411105 1151 19360 SH SOLE 17200 2160 Apartment Investment & Mgt REIT 03748R101 7184 184910 SH SOLE 184910 Aquila Inc Common Stock 03840P102 9942 2425000 SH SOLE 2425000 Aquila Inc Convertible Pfd 03840P201 2525 450900 SH SOLE 450900 Archstone-Smith Trust REIT 039583109 6841 286505 SH SOLE 286505 Avalonbay Communities Inc REIT 053484101 1163 27800 SH SOLE 27800 Avon Products Inc Common Stock 054303102 7466 161970 SH SOLE 161920 50 Bank of America Corp Common Stock 060505104 6511 102055 SH SOLE 101730 325 Bank One Corp Common Stock 06423A103 272 7291 SH SOLE 7042 249 Becton Dickinson & Co Common Stock 075887109 642 22612 SH SOLE 20145 2467 Bell South Corp Common Stock 079860102 31763 1730000 SH SOLE 1730000 Best Buy Company Inc Common Stock 086516101 5069 227265 SH SOLE 225602 1663 Boeing Co Common Stock 097023105 758 22200 SH SOLE 22030 170 Boston Properties REIT 101121101 18294 491760 SH SOLE 491760 Bristol-Myers Squibb Co Common Stock 110122108 289 12110 SH SOLE 11690 420 Camden Property Trust REIT 133131102 6621 199700 SH SOLE 199700 Capital One Financial Corp Common Stock 14040H105 591 16868 SH SOLE 15203 1665 CBL & Associates REIT 124830100 22648 584448 SH SOLE 584448 CDW Computer Centers Inc Common Stock 125129106 805 19052 SH SOLE 17297 1755 Centerpoint Properties Corp REIT 151895109 20974 377921 SH SOLE 377921 Centurytel Inc Convertible Pfd 156700403 25512 1200000 SH SOLE 1200000 Chelsea Property Group Inc REIT 163421100 28084 832136 SH SOLE 832136 Cinergy Convertible Pfd 172474207 33189 626200 SH SOLE 626200 Cisco System Inc Common Stock 17275R102 3267 311778 SH SOLE 303679 8099 CIT Group Inc Common Stock 125581108 721 40149 SH SOLE 36264 3885 Citigroup Inc Common Stock 172967101 5337 179964 SH SOLE 173775 6189 Coca-Cola Co Common Stock 191216100 739 15435 SH SOLE 14905 530 Colonial Properties Trust REIT 195872106 6222 172000 SH SOLE 172000 Computer Sciences Corp Common Stock 205363104 4001 143965 SH SOLE 143925 40 Concord EFS Inc Common Stock 206197105 480 30153 SH SOLE 26769 3384 Conocophilips Common Stock 20825C104 3758 81290 SH SOLE 80252 1038 Consolidated Edison Co Common Stock 209115104 17226 428300 SH SOLE 428300 Constellation Energy Group Common Stock 210371100 569 23005 SH SOLE 20865 2140 Corporate Office Properties REIT 22002T108 3950 291600 SH SOLE 291600 Countrywide Credit Ind Inc Common Stock 222372104 1250 26530 SH SOLE 23725 2805 CVS Corp Common Stock 126650100 651 25660 SH SOLE 21400 4260 Danaher Corp Common Stock 235851102 1031 18100 SH SOLE 16135 1965 Dell Computer Corp Common Stock 247025109 746 31692 SH SOLE 27790 3902 Developers Div Rty W/PPRTS REIT 251591103 15702 713469 SH SOLE 713469 Disney (Walt) Co Common Stock 254687106 194 12805 SH SOLE 12355 450 Dominion Resources Inc Common Stock 25746U109 40381 796000 SH SOLE 796000 Dominion Resources Inc Convertible Pfd 25746U208 22856 450000 SH SOLE 450000 DTE Energy Co Common Stock 233331107 40700 1000000 SH SOLE 1000000 DTE Energy Co Convertible Pfd 233331206 25427 986700 SH SOLE 986700 Duke Capital Fin Trust III Preferred Stock 26439F201 17962 700000 SH SOLE 700000 Duke Energy Corp Convertible Pfd 264399585 14323 876000 SH SOLE 876000 Duke Realty Corp REIT 264411505 9860 400450 SH SOLE 400450 DuPont E I deNemours Common Stock 263534109 2753 76308 SH SOLE 76097 211 EIX Trust II Preferred Stock 26853P206 4392 223500 SH SOLE 223500 Electronic Data Systems Corp Common Stock 285661104 1813 129600 SH SOLE 129600 EMC Corp Common Stock 268648102 63 13900 SH SOLE 13450 450 Emerson Electric Co Common Stock 291011104 4038 91900 SH SOLE 90200 1700 Energy East Corp Common Stock 29266M109 21791 1100000 SH SOLE 1100000 Equity Office Properties REIT 294741103 8952 346701 SH SOLE 346701 Equity Residential REIT 29476L107 8083 337600 SH SOLE 337600 Essex Properties REIT 297178105 6612 133770 SH SOLE 133770 Exelon Corp Common Stock 30161N101 48504 1021140 SH SOLE 1018348 2792 Exxon Mobil Corp Common Stock 30231G102 7858 246316 SH SOLE 242178 4138 Federal Natl Mortgage Assn Common Stock 313586109 6293 105685 SH SOLE 103380 2305 First Data Corp Common Stock 319963104 3673 131400 SH SOLE 131400 First Industrial Realty Tr REIT 32054K103 5384 173700 SH SOLE 173700 Ford Motor Co Common Stock 345370860 3078 314148 SH SOLE 313738 410 FPL Group Inc Common Stock 302571104 48420 900000 SH SOLE 900000 FPL Group Inc Convertible Pfd 302571203 25750 500000 SH SOLE 500000 General Electric Co Common Stock 369604103 6841 277490 SH SOLE 272567 4923 General Growth Properties REIT 370021107 22194 430925 SH SOLE 430925 Georgia-Pacific Corp Common Stock 373298108 1466 111900 SH SOLE 111900 Halliburton Co Common Stock 406216101 2336 181010 SH SOLE 180910 100 Health Care PPTYS Invest Inc REIT 421915109 10897 255800 SH SOLE 255800 Healthcare Realty Trust Inc REIT 421946104 10612 341205 SH SOLE 341205 Hewlett-Packard Co Common Stock 428236103 1139 97620 SH SOLE 88155 9465 Home Depot Inc Common Stock 437076102 766 29360 SH SOLE 27158 2202 Home Properties of NY Inc REIT 437306103 768 23650 SH SOLE 23650 Hospitality Properties Trust REIT 44106M102 11340 342400 SH SOLE 342400 Iberdrola SA Foreign Common 4424640$0 22645 1750000 SH SOLE 1750000 Illinois Tool Works Inc Common Stock 452308109 3509 60140 SH SOLE 58740 1400 Intel Corp Common Stock 458140100 3825 275310 SH SOLE 271290 4020 Intl Business Machines Corp Common Stock 459200101 3205 54910 SH SOLE 54540 370 IStar Financial Inc REIT 45031U101 12141 434920 SH SOLE 434920 ITT Industries Inc Common Stock 450911102 837 13425 SH SOLE 12100 1325 J P Morgan Chase & Co Common Stock 46625H100 4416 232510 SH SOLE 232080 430 Johnson & Johnson Co Common Stock 478160104 5574 103050 SH SOLE 102410 640 Keyspan Corp Convertible Pfd 49337W407 9730 200000 SH SOLE 200000 Keyspan Corp Common Stock 49337W100 33555 1001640 SH SOLE 1001640 Kimberly-Clark Corp Common Stock 494368103 3410 60200 SH SOLE 60200 Kimco Realty Corp REIT 49446R109 2435 78304 SH SOLE 78304 Knight Ridder Inc Common Stock 499040103 336 5973 SH SOLE 4195 1778 Lilly (Eli) & Co Common Stock 532457108 4435 80163 SH SOLE 78437 1726 Limited Inc Common Stock 532716107 145 10075 SH SOLE 9985 90 Lucent Technologies Inc Common Stock 549463107 17 21510 SH SOLE 20760 750 Macerich Co REIT 554382101 9670 312150 SH SOLE 312150 Masco Corp Common Stock 574599106 2923 149500 SH SOLE 149500 Mattel Inc Common Stock 577081102 1022 56715 SH SOLE 50330 6385 McDonald's Corp Common Stock 580135101 2178 123295 SH SOLE 123025 270 MediaOne/Vodafone PIES Convertible Pfd 58440J500 7442 550000 SH SOLE 550000 Medtronic Inc Common Stock 585055106 4510 107043 SH SOLE 106783 260 Merck & Co Inc Common Stock 589331107 3880 84865 SH SOLE 82030 2835 MGIC Investment Corp W/Rts Common Stock 552848103 5412 132543 SH SOLE 130990 1553 Microsoft Corp Common Stock 594918104 8141 186123 SH SOLE 181580 4543 Morgan Stanley Common Stock 617446448 233 6875 SH SOLE 6635 240 National City Corp Common Stock 635405103 3003 105300 SH SOLE 105300 National Grid Group Foreign Common 3122387$0 5454 770000 SH SOLE 770000 National Grid Group Spons ADRs 636274102 7654 215000 SH SOLE 215000 Nisource Inc Common Stock 65473P105 38881 2256600 SH SOLE 2256600 Nisource Inc Convertible Pfd 65473P303 17225 500000 SH SOLE 500000 NStar Common Stock 67019E107 52151 1318600 SH SOLE 1318600 Omnicom Group Inc Common Stock 681919106 4031 72400 SH SOLE 72400 Oracle Corp Common Stock 68389X105 270 34430 SH SOLE 33250 1180 Pan Pacific Retail Property REIT 69806L104 16752 485850 SH SOLE 485850 Peoples Energy Corp Common Stock 711030106 30321 900000 SH SOLE 900000 Pepsi Bottling Group Common Stock 713409100 1186 50690 SH SOLE 45190 5500 PepsiCo Inc Common Stock 713448108 3640 98520 SH SOLE 98150 370 Pfizer Inc Common Stock 717081103 7084 244087 SH SOLE 242767 1320 Pharmacia Corp Common Stock 71713U102 314 8080 SH SOLE 7804 276 Philip Morris Cos Inc Common Stock 718154107 859 22135 SH SOLE 21685 450 Pinnacle West Capital Corp Common Stock 723484101 31091 1120000 SH SOLE 1120000 Pitney Bowes Inc Common Stock 724479100 2802 91900 SH SOLE 91900 PPG Industries Inc Common Stock 693506107 614 13745 SH SOLE 12215 1530 Procter & Gamble Co Common Stock 742718109 720 8060 SH SOLE 7790 270 Progress Energy Inc Common Stock 743263105 56196 1375000 SH SOLE 1375000 Prologis Trust REIT 743410102 19674 789800 SH SOLE 789800 Public Serv Enterprises Grp Common Stock 744573106 30500 1000000 SH SOLE 1000000 Public Storage Inc REIT 74460D109 1580 49515 SH SOLE 49515 Realty Income Corp REIT 756109104 6984 204550 SH SOLE 204550 Reckson Assoc Realty REIT 75621K304 4751 200045 SH SOLE 200045 Reckson Assoc Realty REIT 75621K106 2367 103900 SH SOLE 103900 S L Green Realty Co REIT 78440X101 13579 441750 SH SOLE 441750 SBC Communications Inc Common Stock 78387G103 35521 1767268 SH SOLE 1766568 700 Scottish & Southern Energy ADRs 81012K309 21545 200000 SH SOLE 200000 Scottish & Southern Energy Foreign Common 0790873$6 9123 850000 SH SOLE 850000 Sears Roebuck & Co Common Stock 812387108 890 22765 SH SOLE 20420 2345 Shurgard Storage Centers REIT 82567D104 6366 201350 SH SOLE 201350 Simon Property Group Inc REIT 828806109 21003 587765 SH SOLE 587765 SLM Corp Common Stock 78442P106 852 9148 SH SOLE 8183 965 Southern Co Common Stock 842587107 76315 2651690 SH SOLE 2651550 140 SPX Corp Common Stock 784635104 908 9002 SH SOLE 8057 945 St Jude Medical Inc Common Stock 790849103 446 12493 SH SOLE 11228 1265 Swisscom AG Spons ADRs 871013108 19285 700000 SH SOLE 700000 Telecom New Zealand ADRs 879278208 15926 856250 SH SOLE 856250 Telstra Corp ADRs 87969N204 13846 1068400 SH SOLE 1068400 Texas Instruments Inc Common Stock 882508104 191 13000 SH SOLE 12640 360 TJX Companies Inc Common Stock 872540109 835 49115 SH SOLE 43195 5920 Town & Country Trust REIT 892081100 803 38150 SH SOLE 38150 Travelers Prop Casualty Class A 89420G109 521 39463 SH SOLE 36502 2961 TXU Corp Convertible Pfd 873168884 21775 500000 SH SOLE 500000 TXU Corp Convertible Pfd 873168504 18376 400000 SH SOLE 400000 TXU Corp Common Stock 873168108 37288 893971 SH SOLE 893971 TYCO International Ltd Common Stock 902124106 177 12504 SH SOLE 12106 398 U S Bancorp Common Stock 902973304 281 15148 SH SOLE 14745 403 Union Pacific Corp Common Stock 907818108 890 15390 SH SOLE 13754 1636 United Dominion Realty REIT 910197102 14015 880900 SH SOLE 880900 United Technologies Corp Common Stock 913017109 850 15050 SH SOLE 14950 100 UnitedHealth Group Inc Common Stock 91324P102 882 10130 SH SOLE 8895 1235 Vectren Corp Common Stock 92240G101 33000 1500000 SH SOLE 1500000 Verizon Communications Inc Common Stock 92343V104 45639 1663293 SH SOLE 1658790 4503 Viacom Inc Class B 925524308 1288 31744 SH SOLE 29267 2477 Vornado Realty Trust REIT 929042109 20889 529510 SH SOLE 529510 Walgreen Co Common Stock 931422109 6251 203200 SH SOLE 203200 Wal-Mart Stores Inc Common Stock 931142103 5687 115470 SH SOLE 114520 950 Washington Mutual Inc Common Stock 939322103 247 7830 SH SOLE 6190 1640 Weingarten Realty Invest REIT 948741103 13186 360302 SH SOLE 360302 Wellpoint Health Networks Inc Common Stock 94973H108 5625 76750 SH SOLE 75710 1040 Wells Fargo Co Common Stock 949746101 1263 26204 SH SOLE 23529 2675 WGL Holdings Inc Common Stock 92924F106 23910 1000000 SH SOLE 1000000
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