-----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, FmcKQKx7ayoZ4svQinqpjEJFsHt7TPGeyDJx96FQmk2aBtioe1pfMTVIRyBcsBVA Z7JsZ18T9oUaug/iFichRw== 0000765443-09-000006.txt : 20091103 0000765443-09-000006.hdr.sgml : 20091103 20091103122605 ACCESSION NUMBER: 0000765443-09-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091103 DATE AS OF CHANGE: 20091103 EFFECTIVENESS DATE: 20091103 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: 091153577 BUSINESS ADDRESS: STREET 1: 200 SOUTH WACKER DRIVE STREET 2: SUITE 500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3122632610 MAIL ADDRESS: STREET 1: 200 SOUTH WACKER DRIVE STREET 2: SUITE 500 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 r20090930.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, 2009 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: 200 S. Wacker Dr. Suite 500 Chicago, IL 60606 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) 917-6541 Signature, Place, and Date of Signing: _/s/_Joyce_Riegel_ in Chicago, IL on 11/2/2009 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: 0 Form 13F Information Table Entry Total: 205 Form 13F Information Table Value Total (x 1000): 3,027,612 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 934 12645 SH SOLE 12645 Abbott Laboratories Common Stock 002824100 1391 28115 SH SOLE 28115 Alcoa Inc Common Stock 013817101 231 17695 SH SOLE 17695 Alexandria R E Equities Inc REIT 015271109 22232 409041 SH SOLE 407338 1703 Alliant Energy Corp Common Stock 018802108 41775 1500000 SH SOLE 1500000 Allstate Corp Common Stock 020002101 299 9775 SH SOLE 9775 Altria Group Inc Common Stock 02209S103 669 37610 SH SOLE 37610 Amazon.Com Inc Common Stock 023135106 548 5870 SH SOLE 5870 AMB Property Corp REIT 00163T109 22861 996118 SH SOLE 991948 4170 American Campus Communities REIT 024835100 6191 230663 SH SOLE 229683 980 American Express Co Common Stock 025816109 3013 88870 SH SOLE 88870 American Tower Corp Common Stock 029912201 1319 36240 SH SOLE 36240 American Water Works Co Common Stock 030420103 29910 1500000 SH SOLE 1500000 Amgen Inc Common Stock 031162100 1109 18405 SH SOLE 18405 Apartment Investment & Mgt REIT 03748R101 11653 790109 SH SOLE 786739 3370 Apple Computer Inc Common Stock 037833100 3007 16220 SH SOLE 16220 AT & T Inc. Common Stock 00206R102 74152 2745323 SH SOLE 2745323 Atmos Energy Corp Common Stock 049560105 28180 1000000 SH SOLE 1000000 Automatic Data Processing Common Stock 053015103 2798 71200 SH SOLE 71200 Avalonbay Communities Inc REIT 053484101 33394 459163 SH SOLE 457221 1942 Avon Products Common Stock 054303102 3160 93105 SH SOLE 93105 Baker Hughes Inc Common Stock 057224107 237 5550 SH SOLE 5550 Bank of America Corp Common Stock 060505104 4879 288295 SH SOLE 288295 Bank of New York Mellon Corp Common Stock 064058100 2801 96613 SH SOLE 96613 Baxter International Inc Common Stock 071813109 627 11000 SH SOLE 11000 Best Buy Co Inc Common Stock 086516101 3031 80795 SH SOLE 80795 Biomed Realty Trust Inc REIT 09063H107 10715 776507 SH SOLE 773223 3284 Boeing Co Common Stock 097023105 716 13215 SH SOLE 13215 Boston Properties Inc REIT 101121101 50872 776095 SH SOLE 772797 3298 BRE Properties REIT 05564E106 10056 321252 SH SOLE 319922 1330 Bristol-Myers Squibb Co Common Stock 110122108 813 36120 SH SOLE 36120 Burlington Northern Santa Fe Common Stock 12189T104 382 4785 SH SOLE 4785 Capital One Financial Co Common Stock 14040H105 2567 71815 SH SOLE 71815 Caterpillar Inc Common Stock 149123101 2687 52370 SH SOLE 52370 CBL & Associates Pptys Inc REIT 124830100 13992 1442559 SH SOLE 1436466 6093 Centerpoint Energy Inc Common Stock 15189T107 39085 3144400 SH SOLE 3144400 Centurytel Inc Common Stock 156700106 41491 1234840 SH SOLE 1234840 Chevron Corp Common Stock 166764100 5092 72280 SH SOLE 72280 Chunghwa Telecom Co Ltd ADRs 17133Q403 793 43981 SH SOLE 43981 Cisco Systems Inc Common Stock 17275R102 5681 241280 SH SOLE 241280 Citigroup Inc Common Stock 172967101 1141 235600 SH SOLE 235600 CMS Energy Corp Common Stock 125896100 14236 1062380 SH SOLE 1062380 Coca-Cola Co Common Stock 191216100 2258 42050 SH SOLE 42050 Colgate-Palmolive Co Common Stock 194162103 698 9140 SH SOLE 9140 Comcast Corp Common Stock 20030N101 883 52225 SH SOLE 52225 Computer Sciences Corp Common Stock 205363104 3528 66950 SH SOLE 66950 Conocophillips Common Stock 20825C104 3926 86941 SH SOLE 86941 Corp Office Pptys Tr Inc REIT 22002T108 14540 394243 SH SOLE 392593 1650 Costco Wholesale Corp Common Stock 22160K105 446 7895 SH SOLE 7895 Crown Castle Intl Corp Common Stock 228227104 1399 44600 SH SOLE 44600 CVS Caremark Corp Common Stock 126650100 935 26175 SH SOLE 26175 Dell Inc Common Stock 24702R101 478 31265 SH SOLE 31265 Devon Energy Corporation Common Stock 25179M103 545 8080 SH SOLE 8080 Digital Realty Trust Inc REIT 253868103 56502 1236112 SH SOLE 1230879 5233 Dominion Resources Inc Common Stock 25746U109 48300 1400000 SH SOLE 1400000 Douglas Emmett Inc REIT 25960P109 3903 317749 SH SOLE 316370 1379 DOW Chemical Co Common Stock 260543103 542 20790 SH SOLE 20790 DPL Inc Common Stock 233293109 28710 1100000 SH SOLE 1100000 DTE Energy Co Common Stock 233331107 886 25200 SH SOLE 25200 DU Pont [E I] De Nemours Common Stock 263534109 1971 61345 SH SOLE 61345 Duke Realty Corp REIT 264411505 15473 1288238 SH SOLE 1282741 5497 EastGroup Properties REIT 277276101 4637 121301 SH SOLE 120791 510 EMC Corp Common Stock 268648102 623 36600 SH SOLE 36600 Emerson Electric Co Common Stock 291011104 3436 85725 SH SOLE 85725 Enbridge Inc Common Stock 29250N105 4549 117250 SH SOLE 117250 Entergy Corp Common Stock 29364G103 57005 713815 SH SOLE 713815 Entertainment Properties Tr REIT 29380T105 11220 328698 SH SOLE 327348 1350 Equity Lifestyle Properties REIT 29472R108 4548 106307 SH SOLE 105887 420 Equity Residential REIT 29476L107 56574 1842815 SH SOLE 1835020 7795 Essex Property Trust REIT 297178105 14582 183241 SH SOLE 182487 754 Exelon Corp Common Stock 30161N101 52603 1060110 SH SOLE 1060110 Extra Space Storage Inc REIT 30225T102 15437 1463205 SH SOLE 1457092 6113 Exxon Mobil Corp Common Stock 30231G102 9233 134570 SH SOLE 134570 Federal Realty Invs Trust REIT 313747206 22773 371110 SH SOLE 369560 1550 Fedex Corp Common Stock 31428X106 426 5660 SH SOLE 5660 Firstenergy Corp Common Stock 337932107 55361 1210880 SH SOLE 1210880 Ford Motor Co Common Stock 345370860 422 58510 SH SOLE 58510 FPL Group Inc Common Stock 302571104 84834 1536020 SH SOLE 1536020 France Telecom ADRs 35177Q105 1643 61030 SH SOLE 61030 Frontier Communications Corp Common Stock 35906A108 22620 3000000 SH SOLE 3000000 General Dynamics Corp Common Stock 369550108 453 7005 SH SOLE 7005 General Electric Co Common Stock 369604103 5099 310545 SH SOLE 310545 Gilead Sciences Inc Common Stock 375558103 768 16475 SH SOLE 16475 Goldman Sachs Group Inc Common Stock 38141G104 1689 9160 SH SOLE 9160 Google Inc Common Stock 38259P508 2165 4365 SH SOLE 4365 Great Plains Energy Inc Common Stock 391164100 8975 500000 SH SOLE 500000 Halliburton Co Common Stock 406216101 3226 118935 SH SOLE 118935 HCP Inc REIT 40414L109 47156 1640795 SH SOLE 1633839 6956 Health Care Reit Inc REIT 42217K106 43886 1054464 SH SOLE 1050031 4433 Heinz [H J] Co Common Stock 423074103 228 5715 SH SOLE 5715 Hewlett-Packard Co Common Stock 428236103 2033 43055 SH SOLE 43055 Highwoods Properties Inc REIT 431284108 17942 570457 SH SOLE 568044 2413 Home Depot Inc Common Stock 437076102 823 30900 SH SOLE 30900 Home Properties Inc REIT 437306103 14551 337690 SH SOLE 336244 1446 Honeywell International Inc Common Stock 438516106 504 13545 SH SOLE 13545 Host Hotels & Resorts Inc REIT 44107P104 37164 3157551 SH SOLE 3144207 13344 Illinois Tool Works Common Stock 452308109 2432 56950 SH SOLE 56950 Intel Corp Common Stock 458140100 4964 253670 SH SOLE 253670 Intl Business Machines Corp Common Stock 459200101 7067 59090 SH SOLE 59090 Intl Flavors & Fragrances Common Stock 459506101 2817 74275 SH SOLE 74275 J P Morgan Chase & Co Common Stock 46625H100 7689 175465 SH SOLE 175465 Johnson & Johnson Common Stock 478160104 5955 97805 SH SOLE 97805 Kimberly-Clark Corp Common Stock 494368103 2355 39925 SH SOLE 39925 Kimco Realty Corp REIT 49446R109 41842 3208748 SH SOLE 3195135 13613 Kraft Foods Inc Common Stock 50075N104 705 26800 SH SOLE 26800 Lasalle Hotel Properties REIT 517942108 10116 514603 SH SOLE 512427 2176 Liberty Property Trust REIT 531172104 22544 693002 SH SOLE 690092 2910 Lilly [Eli] & Co Common Stock 532457108 1777 53800 SH SOLE 53800 Lockheed Martin Corp Common Stock 539830109 469 6000 SH SOLE 6000 Lowe's Companies Inc Common Stock 548661107 562 26830 SH SOLE 26830 Macerich Co REIT 554382101 24449 806119 SH SOLE 802816 3303 Mack-Cali Realty Corp REIT 554489104 21260 657654 SH SOLE 654867 2787 Masco Corp Common Stock 574599106 1174 90950 SH SOLE 90950 MasterCard Inc Common Stock 57636Q104 352 1735 SH SOLE 1735 McDonald's Corp Common Stock 580135101 4652 81520 SH SOLE 81520 Medtronic Inc Common Stock 585055106 2355 64015 SH SOLE 64015 Merck & Co Common Stock 589331107 4026 127315 SH SOLE 127315 Metlife Inc Common Stock 59156R108 566 14880 SH SOLE 14880 Microsoft Corp Common Stock 594918104 6621 255715 SH SOLE 255715 Monsanto Co Common Stock 61166W101 768 9920 SH SOLE 9920 Morgan Stanley Common Stock 617446448 759 24585 SH SOLE 24585 National Grid Plc ADRs 636274300 9198 188673 SH SOLE 188673 National Oilwell Varco Inc Common Stock 637071101 329 7625 SH SOLE 7625 National Retail Properties REIT 637417106 5163 240570 SH SOLE 239507 1063 Nationwide Health Pptys REIT 638620104 26197 845394 SH SOLE 841864 3530 Nicor Inc Common Stock 654086107 29272 800000 SH SOLE 800000 Nike Inc Common Stock 654106103 460 7115 SH SOLE 7115 Nippon Telegraph & Telephone Common Stock 654624105 924 40130 SH SOLE 40130 Norfolk Southern Corp Common Stock 655844108 290 6720 SH SOLE 6720 Northeast Utilities Common Stock 664397106 48085 2025490 SH SOLE 2025490 Northwest Natural Gas Co Common Stock 667655104 34108 818730 SH SOLE 818730 NStar Common Stock 67019E107 40163 1262190 SH SOLE 1262190 NV Energy Inc Common Stock 67073Y106 24001 2070860 SH SOLE 2070860 Occidental Petroleum Corp Common Stock 674599105 1156 14750 SH SOLE 14750 Omnicom Group Common Stock 681919106 3068 83040 SH SOLE 83040 Oneok Inc Common Stock 682680103 29296 800000 SH SOLE 800000 Oracle Corp Common Stock 68389X105 1477 70865 SH SOLE 70865 Pepco Holdings Inc Common Stock 713291102 29760 2000000 SH SOLE 2000000 Pepsico Inc Common Stock 713448108 4134 70480 SH SOLE 70480 Pfizer Inc Common Stock 717081103 4293 259385 SH SOLE 259385 Philip Morris International Common Stock 718172109 1713 35145 SH SOLE 35145 Piedmont Natural Gas Co Common Stock 720186105 23940 1000000 SH SOLE 1000000 Pinnacle West Capital Corp Common Stock 723484101 49230 1500000 SH SOLE 1500000 Plum Creek Timber Co Inc REIT 729251108 20313 662938 SH SOLE 660108 2830 Portland General Electric Co Common Stock 736508847 23664 1200000 SH SOLE 1200000 Procter & Gamble Co Common Stock 742718109 3071 53015 SH SOLE 53015 Progress Energy Inc Common Stock 743263105 62496 1600000 SH SOLE 1600000 Prologis REIT 743410102 33679 2825484 SH SOLE 2813542 11942 Public Service Entrp Grp Inc Common Stock 744573106 57937 1842790 SH SOLE 1842790 Public Storage REIT 74460D109 57302 761578 SH SOLE 758323 3255 Qualcomm Inc Common Stock 747525103 1357 30165 SH SOLE 30165 Questar Corp Common Stock 748356102 449 11960 SH SOLE 11960 Raytheon Co Common Stock 755111507 343 7170 SH SOLE 7170 Regency Centers Corp REIT 758849103 9319 251552 SH SOLE 250498 1054 Regions Financial Corp Common Stock 7591EP100 130 21005 SH SOLE 21005 Sara Lee Corp Common Stock 803111103 142 12770 SH SOLE 12770 Schering-Plough Corp Common Stock 806605101 837 29650 SH SOLE 29650 Schlumberger Ltd Common Stock 806857108 1298 21795 SH SOLE 21795 Scottish & Southern Energy ADRs 81012K309 18650 1000000 SH SOLE 1000000 Sempra Energy Common Stock 816851109 51354 1030990 SH SOLE 1030990 Simon Property Group Inc REIT 828806109 124676 1795709 SH SOLE 1788530 7179 SL Green Realty Corp REIT 78440X101 29376 669865 SH SOLE 667043 2822 Southern Co Common Stock 842587107 54901 1733520 SH SOLE 1733520 Spectra Energy Corp Common Stock 847560109 21734 1147520 SH SOLE 1147520 Sprint Nextel Corp Common Stock 852061100 206 52190 SH SOLE 52190 Sunstone Hotel Investors Inc REIT 867892101 3934 553896 SH SOLE 551349 2547 Tanger Factory Outlet Centers REIT 875465106 20636 552636 SH SOLE 550356 2280 Target Corp Common Stock 87612E106 640 13735 SH SOLE 13735 Taubman Centers Inc REIT 876664103 9685 268388 SH SOLE 267008 1380 TECO Energy Inc Common Stock 872375100 42240 3000000 SH SOLE 3000000 Telefonica SA ADRs 879382208 2700 32570 SH SOLE 32570 Texas Instruments Inc Common Stock 882508104 548 23150 SH SOLE 23150 Time Warner Inc Common Stock 887317303 628 21789 SH SOLE 21789 Transcanada Corp Foreign Common 89353D107 34894 1124880 SH SOLE 1124880 U S Bancorp Common Stock 902973304 756 34510 SH SOLE 34510 UDR Inc REIT 902653104 30933 1965276 SH SOLE 1957052 8224 United Parcel Service Common Stock 911312106 1023 18130 SH SOLE 18130 United Technologies Corp Common Stock 913017109 1043 17125 SH SOLE 17125 UnitedHealth Group Inc Common Stock 91324P102 530 21155 SH SOLE 21155 U-Store-It Trust REIT 91274F104 2520 403309 SH SOLE 401656 1653 Vectren Corp Common Stock 92240G101 34560 1500000 SH SOLE 1500000 Ventas Inc REIT 92276F100 39347 1021991 SH SOLE 1017649 4342 Verizon Communications Inc Common Stock 92343V104 75470 2493215 SH SOLE 2493215 Vodafone Group PLC ADRs 92857W209 28904 1284610 SH SOLE 1284610 Vornado Realty Trust REIT 929042109 77554 1204060 SH SOLE 1199019 5041 Walgreen Co Common Stock 931422109 3475 92795 SH SOLE 92795 Wal-Mart Stores Common Stock 931142103 3937 80195 SH SOLE 80195 Walt Disney Co Common Stock 254687106 926 33715 SH SOLE 33715 Wellpoint Inc Common Stock 94973V107 2180 46025 SH SOLE 46025 Wells Fargo & Co Common Stock 949746101 3399 120659 SH SOLE 120659 Westar Energy Inc Common Stock 95709T100 34142 1750000 SH SOLE 1750000 WGL Holdings Inc Common Stock 92924F106 33140 1000000 SH SOLE 1000000 Williams Cos Inc Common Stock 969457100 19918 1114640 SH SOLE 1114640 Windstream Corp Common Stock 97381W104 33201 3277490 SH SOLE 3277490 Wisconsin Energy Corp Common Stock 976657106 862 19080 SH SOLE 19080 Wyeth Common Stock 983024100 1181 24300 SH SOLE 24300 XCEL Energy Inc Common Stock 98389B100 68162 3542694 SH SOLE 3542694 Xerox Corp Common Stock 984121103 123 15785 SH SOLE 15785
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