-----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, E3nRCaZD8j38hCjKgBtvfIUwWkhz2LLIZyvNHEvgqpi1PrQQiwR3papIUDrf89YP wDOWDOzMibfEykfAAYeOHQ== 0001047469-10-001911.txt : 20100309 0001047469-10-001911.hdr.sgml : 20100309 20100309090400 ACCESSION NUMBER: 0001047469-10-001911 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100309 DATE AS OF CHANGE: 20100309 EFFECTIVENESS DATE: 20100309 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BROOKFIELD INVESTMENT MANAGEMENT INC. CENTRAL INDEX KEY: 0001273887 IRS NUMBER: 133519673 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13826 FILM NUMBER: 10665370 BUSINESS ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281-1010 BUSINESS PHONE: 2125498400 MAIL ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281-1010 FORMER COMPANY: FORMER CONFORMED NAME: Brookfield Investment Management Inc. DATE OF NAME CHANGE: 20091001 FORMER COMPANY: FORMER CONFORMED NAME: Hyperion Brookfield Asset Management, Inc. DATE OF NAME CHANGE: 20090716 FORMER COMPANY: FORMER CONFORMED NAME: HYPERION CAPITAL MANAGEMENT INC DATE OF NAME CHANGE: 20031218 13F-HR/A 1 a2197175z13f-hra.txt 13F-HR/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F-HR FORM 13F-HR COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2009 ----------------------- Check Here if Amendment /X/; Amendment Number: 1 --------- This Amendment (Check only one): /X/ is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Brookfield Investment Management Inc. ------------------------------------- Address: Three World Financial Center ------------------------------------- 200 Vesey Street ------------------------------------- New York, NY 10281 ------------------------------------- Form 13F File Number: 028-13826 --------------------- 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: Seth Gelman ------------------------------- Title: Chief Compliance Officer ------------------------------- Phone: 212-549-8415 ------------------------------- Signature, Place, and Date of Signing: /s/ Seth A. Gelman New York, NY March 8, 2010 ------------------------------- ----------------- ------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------------- Form 13F Information Table Entry Total: 119 -------------------- Form 13F Information Table Value Total: 1,936,789 -------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name (1) 028-13827 AMP Capital Brookfield (US) LLC ------ ---------------- --------------------------------- FORM 13F INFORMATION TABLE FORM 13F-HR As of 12/31/2009
Voting Authority Value Shares/ Sh/ Put/ Invstmt Other ------------------- Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - --------------------- -------------- ------ ------ ----- -- --- ----- ------- ------ ----- ----- 7 Days Group Holdings Lt -ADR COM 81783J101 10,406 833,850 SH Defined (1) 668400 165450 Alexander's Inc COM 014752109 2,618 8,600 SH Defined (1) 4600 4000 ALTRIA GROUP INC. COM 02209S103 986 50 SH Sole 50 AMERICAN ELECTRIC POWER CO INC COM 025537101 1,034 29,730 SH Sole 30 American Tower Corp COM 029912201 64,367 1,489,639 SH Defined (1) 278678 1210961 American Water Works Co Inc COM 030420103 1,497 66,800 SH Defined (1) 66800 AT&T COM 00206R102 2,131 76,025 SH Sole 76 AvalonBay Communities Inc COM 053484101 93,326 1,136,599 SH Defined (1) 174232 962367 B&G FOODS INC COM 05508R106 205 22,285 SH Sole 22 Boston Properties Inc COM 101121101 201,323 3,001,688 SH Defined (1) 510307 2491381 BP AMOCO PLC - SPONSORED ADR COM 055622104 984 16,975 SH Sole 17 Brandywine Realty Trust COM 105368203 52,848 4,635,800 SH Defined (1) 685250 3950550 BRISTOL-MYERS SQUIBB COMPANY COM 110122108 1,031 40,825 SH Sole 41 BRITISH AMERICAN TOBACCO PLC COM 110448107 970 15,000 SH Sole 15 Brookfield Properties Corp COM 112900105 78,592 6,484,489 SH Defined (1) 973320 5511169 Camden Property Trust COM 133131102 79,826 1,884,023 SH Defined (1) 310783 1573240 Canadian National Railway Co COM 136375102 478 8,800 SH Defined (1) 8800 China Real Estate Inform - ADR COM 16948Q103 4,676 425,855 SH Defined (1) 198900 226955 COCA-COLA CO/THE COM 191216100 1,170 20,525 SH Sole 21 Colonial Properties Trust COM 195872106 2,330 198,642 SH Defined (1) 198642 Crown Castle International Cor COM 228227104 1,575 40,350 SH Defined (1) 40350 DCT Industrial Trust Inc COM 233153105 517 103,000 SH Defined (1) 103000 Developers Diversified Realty COM 251591103 3,446 372,100 SH Defined (1) 124200 247900 Douglas Emmett Inc COM 25960P109 81,240 5,701,029 SH Defined (1) 1084452 4616577 Duke Realty Corp COM 264411505 63,069 5,182,303 SH Defined (1) 848389 4333914 EastGroup Properties Inc COM 277276101 52,333 1,367,112 SH Defined (1) 256802 1110310 Enbridge Inc COM 29250N105 2,826 61,090 SH Defined (1) 61090 Entertainment Properties Trust COM 29380T105 950 26,935 SH Defined (1) 1055 25880 EPR 5.75% Pfd Series C PFD 29380T402 827 50,000 SH Defined (1) 50000 EPR 9% Pfd Series E PFD 29380T600 8,700 349,800 SH Defined (1) 236900 112900 Equity Residential COM 29476L107 48,326 1,430,620 SH Defined (1) 97120 1333500 Federal Realty Investment Trus COM 313747206 95,723 1,413,507 SH Defined (1) 216476 1197031 FelCor Lodging 8% Pfd Series A PFD 31430F200 1,336 122,900 SH Defined (1) 117800 5100 First Industrial Realty Trust COM 32054K103 7,616 1,456,300 SH Defined (1) 811200 645100 Forest City Enterprises Inc COM 345550107 30,646 2,601,510 SH Defined (1) 190211 2411299 FRANCE TELECOM SA COM 35177Q105 958 37,975 SH Sole 38 FRONTIER COMMUNICATIONS CORP COM 35906A108 497 63,700 SH Sole 64 GENERAL ELECTRIC COMPANY COM 369604103 1,034 68,345 SH Sole 68
GLAXOSMITHKLINE PLC COM 37733W105 987 23,350 SH Sole 23 Glimcher Realty Trust COM 379302102 7,824 2,897,930 SH Defined (1) 1474030 1423900 HCP Inc COM 40414L109 113,278 3,709,175 SH Defined (1) 501170 3208005 Health Care REIT Inc COM 42217K106 71,421 1,611,484 SH Defined (1) 254929 1356555 Hospitality Properties Trust COM 44106M102 3,687 155,500 SH Defined (1) 71900 83600 Host Hotels & Resorts Inc COM 44107P104 16,006 1,371,519 SH Defined (1) 605394 766124 Inland Real Estate Corp COM 457461200 7,688 943,360 SH Defined (1) 284500 658860 ISHARES COM 464287507 484 6,680 SH Sole 7 ISHARES COM 464287465 831 15 SH Sole 15 ISHARES COM 464287622 926 15,100 SH Sole 15 ISHARES COM 464287879 970 16,610 SH Sole 17 ISHARES COM 464287887 1,042 18,240 SH Sole 18 ISHARES COM 464287408 1,227 23,145 SH Sole 23 ISHARES COM 464287309 1,386 23,900 SH Sole 24 ISHARES COM 464287200 1,474 13,183 SH Sole 13 Kilroy Realty Corp COM 49427F108 74,442 2,427,182 SH Defined (1) 576923 1850259 Kimco Realty Corp COM 49446R109 32,720 2,418,305 SH Defined (1) 105517 2312788 Kinder Morgan Management LLC COM 49455U100 759 13,889 SH Defined (1) 13889 Kite Realty Group Trust COM 49803T102 1,559 383,101 SH Defined (1) 383101 Lexington Realty Trust COM 529043101 20,678 3,400,947 SH Defined (1) 1651828 1749119 Lexington Rlty Trst Pref 6.50% PFD 529043309 1,036 30,500 SH Defined (1) 30500 LORILLARD INC COM 544147101 1,000 12,470 SH Sole 12 Macerich Co/The COM 554382101 4,841 134,650 SH Defined (1) 26621 108029 MGM Mirage COM 552953101 1,885 206,700 SH Defined (1) 99000 107700 MIDCAP SPDR TR UNIT SFR 1 COM 595635103 2,045 15,520 SH Sole 16 Mission West Properties Inc COM 605203108 4,037 561,449 SH Defined (1) 277100 284349 National Grid PLC COM 636274300 943 17,344 SH Defined (1) 17344 National Health Investors Inc COM 63633D104 9,806 265,090 SH Defined (1) 125600 139490 National Retail Properties Inc COM 637417106 1,058 49,855 SH Defined (1) 2415 47440 Northeast Utilities COM 664397106 2,679 103,881 SH Defined (1) 103881 Retail Opportunity Investments COM 76131N101 3,150 311,600 SH Defined (1) 311600 Pebblebrook Hotel Trust COM 70509V100 979 44,500 SH Defined (1) 44500 PITNEY BOWES INC COM 724479100 931 40,885 SH Sole 41 Public Storage COM 74460D109 80,476 988,037 SH Defined (1) 159243 828794 QWEST COMMUNICATIONS INTERNATI COM 749121109 546 129,700 SH Sole 130 Ramco-Gershenson Properties Tr COM 751452202 935 98,012 SH Defined (1) 98012 Rayonier Inc COM 754907103 48,955 1,161,161 SH Defined (1) 182631 978530 ROYAL BANK SCOTLAND PFD 780097788 1,944 15,000 SH Sole 150 ROYAL DUTCH SHELL PLC-ADR COM 780259206 960 15,965 SH Sole 16 Simon Property Group Inc COM 828806109 318,131 3,986,601 SH Defined (1) 665865 3320736 SL Green Realty Corp COM 78440X101 62,038 1,234,841 SH Defined (1) 208536 1026305 SOUTHERN UNION CO COM 844030106 1,329 58,560 SH Sole 59 SPDR TRUST SERIES I COM 78462F103 1,744 15,653 SH Sole 16 Spectra Energy Corp COM 847560109 2,558 124,700 SH Defined (1) 124700 SPG 6% Pfd Series I PFD 828806802 3,488 51,300 SH Defined (1) 28900 22400 Starwood Hotels & Resorts Worl COM 85590A401 55,699 1,523,090 SH Defined (1) 179012 1344078 Starwood Property Trust COM 85571B105 31,503 1,667,690 SH Defined (1) 113263 1554427
STRATEGIC HOTEL PFD 86272T205 506 37,154 SH Sole 37 Taubman Centers Inc COM 876664103 132,292 3,683,992 SH Defined (1) 675696 3008296 TransCanada Corp COM 89353D107 3,652 106,100 SH Defined (1) 106100 UDR Inc COM 902653104 2,750 167,300 SH Defined (1) 97100 70200 US STEEL CORP COM 912909108 1,086 19,700 SH Sole 20 U-Store-It Trust COM 91274F104 2,762 377,260 SH Defined (1) 377260 VERIZON COMMUNICATIONS INC COM 92343V104 2,049 61,848 SH Sole 62 VODAFONE GROUP PLC COM 92857W209 997 43,180 SH Sole 43 Vornado Realty Trust COM 929042109 5,162 73,813 SH Defined (1) 60362 13451 Weingarten Realty Investors COM 948741103 55,265 2,792,584 SH Defined (1) 480754 2311830 WINDSTREAM CORP COM 97381W104 700 63,700 SH Sole 64 XCEL ENERGY INC COM 98389B100 1,030 48,540 SH Sole 49 REPORT SUMMARY 97 DATA RECORDS 2,214,753 1 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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