-----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, K1V9hfoIaNP6ueOuYk095Ky+6QRRjIBd4ed+8e1e47sEU9fmsfpewAX+X6boZOAn xMit1mS3beMS0GQFa/jSnw== 0000765443-10-000004.txt : 20101101 0000765443-10-000004.hdr.sgml : 20101101 20101101105636 ACCESSION NUMBER: 0000765443-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101101 DATE AS OF CHANGE: 20101101 EFFECTIVENESS DATE: 20101101 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: 101153761 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 r20100930.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year of Quarter Ended: 9/30/2010 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 Chief Compliance Officer Phone 312-917-6541 Signature, Place, and Date of Signing: _/s/_Joyce_Riegel_ in Chicago, IL on 11/1/2010 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: 200 Form 13F Information Table Value Total (x 1000): 3,500,732 List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to wich this report is filled, other than the manager filing this report. NONE 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 1461 16850 SH SOLE 16850 Abbott Laboratories Common Stock 002824100 1906 36480 SH SOLE 36480 AGL Resources Inc Common Stock 001204106 19180 500000 SH SOLE 500000 Alcoa Inc Common Stock 013817101 292 24150 SH SOLE 24150 Alexandria R E Equities Inc REIT 015271109 20671 295300 SH SOLE 293886 1414 Alliant Energy Corp Common Stock 018802108 54525 1500000 SH SOLE 1500000 Allstate Corp Common Stock 020002101 400 12685 SH SOLE 12685 Altria Group Inc Common Stock 02209S103 1183 49260 SH SOLE 49260 Amazon.Com Inc Common Stock 023135106 1316 8380 SH SOLE 8380 AMB Property Corp REIT 00163T109 19953 753791 SH SOLE 750206 3585 American Campus Communities REIT 024835100 12694 417030 SH SOLE 415088 1942 American Express Co Common Stock 025816109 3843 91425 SH SOLE 91425 American Tower Corp Common Stock 029912201 1807 35250 SH SOLE 35250 Amgen Inc Common Stock 031162100 1249 22665 SH SOLE 22665 Apartment Investment & Mgt REIT 03748R101 19049 890954 SH SOLE 886757 4197 Apple Computer Inc Common Stock 037833100 6128 21595 SH SOLE 21595 AT & T Inc. Common Stock 00206R102 81320 2843342 SH SOLE 2843342 Atmos Energy Corp Common Stock 049560105 29250 1000000 SH SOLE 1000000 Automatic Data Processing Common Stock 053015103 2970 70673 SH SOLE 70673 Avalonbay Communities Inc REIT 053484101 37196 357893 SH SOLE 356261 1632 Avon Products Common Stock 054303102 3039 94639 SH SOLE 94639 Baker Hughes Inc Common Stock 057224107 431 10110 SH SOLE 10110 Bank of America Corp Common Stock 060505104 4815 367300 SH SOLE 367300 Bank of New York Mellon Corp Common Stock 064058100 2503 95796 SH SOLE 95796 Baxter International Inc Common Stock 071813109 658 13800 SH SOLE 13800 Berkshire Hathaway Common Stock 084670702 3378 40858 SH SOLE 40858 Best Buy Co Inc Common Stock 086516101 3274 80190 SH SOLE 80190 Biomed Realty Trust Inc REIT 09063H107 18271 1019561 SH SOLE 1014792 4769 Boeing Co Common Stock 097023105 1150 17290 SH SOLE 17290 Boston Properties Inc REIT 101121101 64330 773946 SH SOLE 770288 3658 BRE Properties REIT 05564E106 6924 166838 SH SOLE 166068 770 Bristol-Myers Squibb Co Common Stock 110122108 1097 40480 SH SOLE 40480 Capital One Financial Co Common Stock 14040H105 2918 73780 SH SOLE 73780 Caterpillar Inc Common Stock 149123101 4374 55595 SH SOLE 55595 Centerpoint Energy Inc Common Stock 15189T107 49076 3121890 SH SOLE 3121890 CenturyLink Inc Common Stock 156700106 47352 1200000 SH SOLE 1200000 Chevron Corp Common Stock 166764100 6738 83130 SH SOLE 83130 Cisco Systems Inc Common Stock 17275R102 5921 270350 SH SOLE 270350 Citigroup Inc Common Stock 172967101 2186 560390 SH SOLE 560390 CMS Energy Corp Common Stock 125896100 36891 2047240 SH SOLE 2047240 Coca-Cola Co Common Stock 191216100 3195 54590 SH SOLE 54590 Colgate-Palmolive Co Common Stock 194162103 891 11595 SH SOLE 11595 Comcast Corp Common Stock 20030N101 1202 66460 SH SOLE 66460 Conocophillips Common Stock 20825C104 5444 94796 SH SOLE 94796 Corp Office Pptys Tr Inc REIT 22002T108 22206 595183 SH SOLE 592333 2850 Costco Wholesale Corp Common Stock 22160K105 670 10395 SH SOLE 10395 Crown Castle Intl Corp Common Stock 228227104 1646 37280 SH SOLE 37280 CVS Caremark Corp Common Stock 126650100 1009 32075 SH SOLE 32075 Dell Inc Common Stock 24702R101 521 40205 SH SOLE 40205 Developers Diversified Rlty REIT 251591103 22427 1998875 SH SOLE 1989436 9439 Devon Energy Corporation Common Stock 25179M103 667 10310 SH SOLE 10310 Digital Realty Trust Inc REIT 253868103 55609 901274 SH SOLE 896932 4342 Dominion Resources Inc Common Stock 25746U109 61124 1400000 SH SOLE 1400000 DOW Chemical Co Common Stock 260543103 752 27390 SH SOLE 27390 DPL Inc Common Stock 233293109 28743 1100000 SH SOLE 1100000 DTE Energy Co Common Stock 233331107 633 13780 SH SOLE 13780 DU Pont [E I] De Nemours Common Stock 263534109 2938 65835 SH SOLE 65835 Duke Realty Corp REIT 264411505 5075 437843 SH SOLE 435556 2287 EMC Corp Common Stock 268648102 987 48590 SH SOLE 48590 Emerson Electric Co Common Stock 291011104 4485 85170 SH SOLE 85170 Enbridge Inc Foreign Common 29250N105 46450 888150 SH SOLE 888150 Entergy Corp Common Stock 29364G103 66386 867450 SH SOLE 867450 Entertainment Properties Tr REIT 29380T105 17605 407709 SH SOLE 405694 2015 Equity Lifestyle Properties REIT 29472R108 19615 360042 SH SOLE 358309 1733 Equity Residential REIT 29476L107 82579 1735942 SH SOLE 1727807 8135 Essex Property Trust REIT 297178105 31982 292233 SH SOLE 290879 1354 Exelon Corp Common Stock 30161N101 273 6410 SH SOLE 6410 Extra Space Storage Inc REIT 30225T102 25763 1606152 SH SOLE 1598552 7600 Exxon Mobil Corp Common Stock 30231G102 10470 169445 SH SOLE 169445 Federal Realty Invs Trust REIT 313747206 24089 294996 SH SOLE 293606 1390 Fedex Corp Common Stock 31428X106 626 7320 SH SOLE 7320 Firstenergy Corp Common Stock 337932107 45670 1185000 SH SOLE 1185000 Ford Motor Co Common Stock 345370860 992 81005 SH SOLE 81005 France Telecom ADRs 35177Q105 1094 50820 SH SOLE 50820 Freeprt McMoran Cop and Gld Common Stock 35671D857 949 11110 SH SOLE 11110 Frontier Communications Corp Common Stock 35906A108 29504 3611318 SH SOLE 3611318 General Dynamics Corp Common Stock 369550108 569 9055 SH SOLE 9055 General Electric Co Common Stock 369604103 6012 369963 SH SOLE 369963 Gilead Sciences Inc Common Stock 375558103 704 19780 SH SOLE 19780 Goldman Sachs Group Inc Common Stock 38141G104 1762 12190 SH SOLE 12190 Google Inc Common Stock 38259P508 3084 5865 SH SOLE 5865 Great Plains Energy Inc Common Stock 391164100 9450 500000 SH SOLE 500000 Halliburton Co Common Stock 406216101 4076 123255 SH SOLE 123255 HCP Inc REIT 40414L109 48231 1340501 SH SOLE 1334215 6286 Health Care Reit Inc REIT 42217K106 50262 1061734 SH SOLE 1056691 5043 Heinz [H J] Co Common Stock 423074103 358 7550 SH SOLE 7550 Hewlett-Packard Co Common Stock 428236103 2255 53600 SH SOLE 53600 Home Depot Inc Common Stock 437076102 1254 39580 SH SOLE 39580 Home Properties Inc REIT 437306103 11674 220679 SH SOLE 219633 1046 Honeywell International Inc Common Stock 438516106 796 18115 SH SOLE 18115 Host Hotels & Resorts Inc REIT 44107P104 64408 4448040 SH SOLE 4427323 20717 Illinois Tool Works Common Stock 452308109 2659 56540 SH SOLE 56540 Intel Corp Common Stock 458140100 5439 282855 SH SOLE 282855 Intl Business Machines Corp Common Stock 459200101 8700 64860 SH SOLE 64860 Intl Flavors & Fragrances Common Stock 459506101 3578 73745 SH SOLE 73745 iShares Exchange Traded 464287465 13892 252950 SH SOLE 252950 iShares Exchange Traded 464287606 3861 43820 SH SOLE 43820 iShares Exchange Traded 464287630 7198 116280 SH SOLE 116280 iShares Exchange Traded 464287648 3746 50120 SH SOLE 50120 iShares Exchange Traded 464287705 7236 101730 SH SOLE 101730 ITC Holdings Corp Common Stock 465685105 1012 16250 SH SOLE 16250 J P Morgan Chase & Co Common Stock 46625H100 7510 197270 SH SOLE 197270 Johnson & Johnson Common Stock 478160104 6971 112510 SH SOLE 112510 Kilroy Realty Corp REIT 49427F108 10384 313330 SH SOLE 311850 1480 Kimberly-Clark Corp Common Stock 494368103 2579 39650 SH SOLE 39650 Kimco Realty Corp REIT 49446R109 43285 2748234 SH SOLE 2735226 13008 Kraft Foods Inc Common Stock 50075N104 1272 41220 SH SOLE 41220 Lasalle Hotel Properties REIT 517942108 16354 699198 SH SOLE 695844 3354 Liberty Property Trust REIT 531172104 15488 485520 SH SOLE 483200 2320 Lilly [Eli] & Co Common Stock 532457108 1951 53420 SH SOLE 53420 Lockheed Martin Corp Common Stock 539830109 503 7050 SH SOLE 7050 Lowe's Companies Inc Common Stock 548661107 745 33440 SH SOLE 33440 Macerich Co REIT 554382101 34756 809210 SH SOLE 805360 3850 Mack-Cali Realty Corp REIT 554489104 15296 467618 SH SOLE 465391 2227 MasterCard Inc Common Stock 57636Q104 3723 16620 SH SOLE 16620 McDonald's Corp Common Stock 580135101 5275 70800 SH SOLE 70800 Medtronic Inc Common Stock 585055106 2323 69170 SH SOLE 69170 Merck & Co Inc. Common Stock 58933Y105 5932 161143 SH SOLE 161143 Metlife Inc Common Stock 59156R108 824 21420 SH SOLE 21420 Microsoft Corp Common Stock 594918104 7212 294493 SH SOLE 294493 Monsanto Co Common Stock 61166W101 612 12770 SH SOLE 12770 Morgan Stanley Common Stock 617446448 813 32945 SH SOLE 32945 National Grid Plc ADRs 636274300 8064 188673 SH SOLE 188673 National Oilwell Varco Inc Common Stock 637071101 436 9815 SH SOLE 9815 Nationwide Health Pptys REIT 638620104 32207 832856 SH SOLE 828896 3960 News Corp Cl A Common Stock 65248E104 701 53660 SH SOLE 53660 NextEra Energy Inc Common Stock 65339F101 83260 1530800 SH SOLE 1530800 Nike Inc Common Stock 654106103 730 9115 SH SOLE 9115 Nippon Telegraph & Telephone ADRs 654624105 734 33480 SH SOLE 33480 Norfolk Southern Corp Common Stock 655844108 517 8690 SH SOLE 8690 Northeast Utilities Common Stock 664397106 59769 2021270 SH SOLE 2021270 Northwest Natural Gas Co Common Stock 667655104 38698 815560 SH SOLE 815560 NStar Common Stock 67019E107 49503 1258020 SH SOLE 1258020 NV Energy Inc Common Stock 67073Y106 32257 2452990 SH SOLE 2452990 Occidental Petroleum Corp Common Stock 674599105 1501 19170 SH SOLE 19170 Omnicom Group Common Stock 681919106 3257 82510 SH SOLE 82510 Oneok Inc Common Stock 682680103 36643 813570 SH SOLE 813570 Oracle Corp Common Stock 68389X105 2458 91545 SH SOLE 91545 Pepco Holdings Inc Common Stock 713291102 37200 2000000 SH SOLE 2000000 Pepsico Inc Common Stock 713448108 5279 79455 SH SOLE 79455 Pfizer Inc Common Stock 717081103 5598 326043 SH SOLE 326043 Philip Morris International Common Stock 718172109 2442 43595 SH SOLE 43595 Piedmont Natural Gas Co Common Stock 720186105 29000 1000000 SH SOLE 1000000 Pinnacle West Capital Corp Common Stock 723484101 61905 1500000 SH SOLE 1500000 Plum Creek Timber Co Inc REIT 729251108 16999 481569 SH SOLE 479291 2278 Procter & Gamble Co Common Stock 742718109 4024 67105 SH SOLE 67105 Progress Energy Inc Common Stock 743263105 73146 1646700 SH SOLE 1646700 Prologis REIT 743410102 22166 1881626 SH SOLE 1872694 8932 Public Service Entrp Grp Inc Common Stock 744573106 60724 1835660 SH SOLE 1835660 Public Storage REIT 74460D109 70370 725166 SH SOLE 721781 3385 Qualcomm Inc Common Stock 747525103 1713 37965 SH SOLE 37965 Questar Corp Common Stock 748356102 446 25450 SH SOLE 25450 Rayonier Inc REIT 754907103 23553 469927 SH SOLE 467727 2200 Raytheon Co Common Stock 755111507 409 8950 SH SOLE 8950 Regency Centers Corp REIT 758849103 3522 89230 SH SOLE 88800 430 Regions Financial Corp Common Stock 7591EP100 211 28975 SH SOLE 28975 Sara Lee Corp Common Stock 803111103 210 15640 SH SOLE 15640 Schlumberger Ltd Common Stock 806857108 1984 32210 SH SOLE 32210 Sempra Energy Common Stock 816851109 55112 1024390 SH SOLE 1024390 Simon Property Group Inc REIT 828806109 151666 1635393 SH SOLE 1627657 7736 SL Green Realty Corp REIT 78440X101 27378 432313 SH SOLE 430291 2022 Southern Co Common Stock 842587107 75579 2029510 SH SOLE 2029510 Spectra Energy Corp Common Stock 847560109 26170 1160510 SH SOLE 1160510 Sprint Nextel Corp Common Stock 852061100 327 70580 SH SOLE 70580 Starwood Hotels & Resorts Wrld REIT 85590A401 11777 224110 SH SOLE 223060 1050 Sunstone Hotel Investors Inc REIT 867892101 6291 693630 SH SOLE 690420 3210 Tanger Factory Outlet Centers REIT 875465106 15068 319637 SH SOLE 318117 1520 Target Corp Common Stock 87612E106 926 17330 SH SOLE 17330 Taubman Centers Inc REIT 876664103 12959 290488 SH SOLE 289118 1370 TECO Energy Inc Common Stock 872375100 51960 3000000 SH SOLE 3000000 Telefonica SA ADRs 879382208 2009 27090 SH SOLE 27090 Texas Instruments Inc Common Stock 882508104 779 28720 SH SOLE 28720 Time Warner Inc Common Stock 887317303 820 26769 SH SOLE 26769 TJX Companies Inc Common Stock 872540109 2103 47125 SH SOLE 47125 Transcanada Corp Foreign Common 89353D107 40688 1096120 SH SOLE 1096120 U S Bancorp Common Stock 902973304 980 45327 SH SOLE 45327 UDR Inc REIT 902653104 25893 1226016 SH SOLE 1220232 5784 United Parcel Service Common Stock 911312106 1561 23410 SH SOLE 23410 United Technologies Corp Common Stock 913017109 1565 21975 SH SOLE 21975 UnitedHealth Group Inc Common Stock 91324P102 936 26665 SH SOLE 26665 Vanguard Exchange Traded 922042858 3913 86180 SH SOLE 86180 Vectren Corp Common Stock 92240G101 38805 1500000 SH SOLE 1500000 Ventas Inc REIT 92276F100 51095 990786 SH SOLE 986094 4692 Verizon Communications Inc Common Stock 92343V104 76367 2343253 SH SOLE 2343253 Vodafone Group PLC ADRs 92857W209 31206 1257800 SH SOLE 1257800 Vornado Realty Trust REIT 929042109 79467 929107 SH SOLE 924680 4427 Wal-Mart Stores Common Stock 931142103 4703 87880 SH SOLE 87880 Walgreen Co Common Stock 931422109 3261 97335 SH SOLE 97335 Walt Disney Co Common Stock 254687106 1498 45245 SH SOLE 45245 Weingarten Realty Invst REIT 948741103 25553 1171074 SH SOLE 1165519 5555 Wellpoint Inc Common Stock 94973V107 2586 45660 SH SOLE 45660 Wells Fargo & Co Common Stock 949746101 3898 155099 SH SOLE 155099 Westar Energy Inc Common Stock 95709T100 42402 1750000 SH SOLE 1750000 Weyerhaeuser Co Common Stock 962166104 200 12698 SH SOLE 12698 WGL Holdings Inc Common Stock 92924F106 37780 1000000 SH SOLE 1000000 Williams Cos Inc Common Stock 969457100 22293 1166580 SH SOLE 1166580 Windstream Corp Common Stock 97381W104 39613 3223230 SH SOLE 3223230 Wisconsin Energy Corp Common Stock 976657106 29816 515850 SH SOLE 515850 XCEL Energy Inc Common Stock 98389B100 69741 3036180 SH SOLE 3036180 Xerox Corp Common Stock 984121103 338 32620 SH SOLE 32620
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