-----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, KLPjclVZ0drx0OrCinzoN/M/kHLPdbqMHrxwn8WDYGh0LAnFbip1W0evFDSYXPPa mjMqVTfeoQnowrexc3yAgA== 0001047469-10-009788.txt : 20101115 0001047469-10-009788.hdr.sgml : 20101115 20101115160848 ACCESSION NUMBER: 0001047469-10-009788 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-13826 FILM NUMBER: 101192462 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 1 a2200970z13f-hr.txt 13F-HR 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: September 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: 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 November 15, 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: 0 -------------------- Form 13F Information Table Entry Total: 42 -------------------- Form 13F Information Table Value Total: 99,920 -------------------- (thousands) List of Other Included Managers: None 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. Brookfield Investment Management Inc. FORM 13F As of September 30, 2010
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 - ------------------------------ -------------- --------- -------- -------- --- ---- ------- -------- ------- ------- ----- AMEREN CORP COM 023608102 3621 127500 SH Sole 127500 AT&T COM 00206R102 3735 130586 SH Sole 130586 AUTOMATIC DATA PROCESSING COM 053015103 3707 88200 SH Sole 88200 CENTURYLINK INC COM 156700106 3834 97150 SH Sole 97150 CITIGROUP INC COM 172967101 143 36538 SH Sole 36538 DIAMOND OFFSHORE DRILL COM 25271C102 2685 39617 SH Sole 39617 DR HORTON COM 23331A109 267 24100 SH Sole 24100 DTE ENERGY COMPANY COM 233331107 3250 70758 SH Sole 70758 EASTERN INSURANCE HOLDINGS COM 276534104 1703 163900 SH Sole 163900 ELI LILLY & CO COM 532457108 3561 97470 SH Sole 97470 EXELON CORPORATION COM 30161N101 3573 83905 SH Sole 83905 FRANCE TELECOM SA COM 35177Q105 3384 157163 SH Sole 157163 FRONTIER COMMUNICATIONS CORP COM 35906A108 785 96075 SH Sole 96075 GLAXOSMITHKLINE PLC COM 37733W105 3602 91151 SH Sole 91151 HEINZ (HJ) CO COM 423074103 3546 74850 SH Sole 74850 HOVNANIAN ENTERPRISES INC COM 442487203 98 24900 SH Sole 24900 ISHARES COM 464287200 1721 15032 SH Sole 15032 ISHARES COM 464287309 1693 28517 SH Sole 28517 ISHARES COM 464287408 1521 28044 SH Sole 28044 ISHARES COM 464287465 1108 20177 SH Sole 20177 ISHARES COM 464287507 729 9103 SH Sole 9103 ISHARES COM 464287622 1173 18582 SH Sole 18582 ISHARES COM 464287879 1192 19167 SH Sole 19167 ISHARES COM 464287887 1199 19199 SH Sole 19199 JOHNSON & JOHNSON COM 478160104 3256 52558 SH Sole 52558 KRAFT FOODS COM 50075N104 3710 120225 SH Sole 120225 LORILLARD INC COM 544147101 3492 43478 SH Sole 43478 MERCK & CO INC COM 58933Y105 3662 99490 SH Sole 99490 NEW COMMUNICATIONS HLDGS COM 35906A108 229 27982 SH Sole 27982 NYSE EURONEXT COM 629491101 3345 117070 SH Sole 117070 PAETEC HOLDING CORP COM 695459107 62 15000 SH Sole 15000 PFIZER INC COM 717081103 3582 208618 SH Sole 208618 PP&L CORPORATION COM 69351T106 3566 130975 SH Sole 130975 PUBLIC SERVICES ENTERPRISES COM 744573106 3624 109550 SH Sole 109550 RYLAND GROUP INC COM 783764103 240 13400 SH Sole 13400 SPDR S&P MIDCAP 400 ETF TRUST COM 78467Y107 2277 15640 SH Sole 15640 SPDR TRUST SERIES I COM 78462F103 1935 16955 SH Sole 16955
TELEFONICA DE ESPANA S A COM 879382208 3880 52323 SH Sole 52323 UNILEVER PLC COM 904767704 3387 116375 SH Sole 116375 VERIZON COMMUNICATIONS COM 92343V104 3799 116575 SH Sole 116575 WASTE MANAGEMENT COM 94106L109 3597 100655 SH Sole 100655 WINDSTREAM CORP COM 97381W104 448 36500 SH Sole 36500 REPORT SUMMARY 42 DATA RECORDS 99,920 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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