0000765443-11-000021.txt : 20111101 0000765443-11-000021.hdr.sgml : 20111101 20111101105606 ACCESSION NUMBER: 0000765443-11-000021 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111101 DATE AS OF CHANGE: 20111101 EFFECTIVENESS DATE: 20111101 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: 111170087 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 r20110930.txt N/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year of Quarter Ended: 9/30/2011 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 11/1/2011 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): 4,100,629 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 1257 17505 SH SOLE 17505 Abbott Laboratories Common Stock 002824100 1965 38420 SH SOLE 38420 AGL Resources Inc Common Stock 001204106 20370 500000 SH SOLE 500000 Alcoa Inc Common Stock 013817101 251 26270 SH SOLE 26270 Alexandria R E Equities Inc REIT 015271109 12743 207582 SH SOLE 206528 1054 Allete Inc Common Stock 018522300 460 12560 SH SOLE 12560 Alliant Energy Corp Common Stock 018802108 58020 1500000 SH SOLE 1500000 Allstate Corp Common Stock 020002101 301 12700 SH SOLE 12700 Altria Group Inc Common Stock 02209S103 1372 51180 SH SOLE 51180 Amazon.Com Inc Common Stock 023135106 1935 8950 SH SOLE 8950 American Express Co Common Stock 025816109 4145 92315 SH SOLE 92315 American Tower Corp Common Stock 029912201 1705 31690 SH SOLE 31690 American Water Works Co Common Stock 030420103 30180 1000000 SH SOLE 1000000 Amgen Inc Common Stock 031162100 1252 22790 SH SOLE 22790 Apache Corp Common Stock 037411105 759 9465 SH SOLE 9465 Apartment Investment & Mgt REIT 03748R101 29408 1329479 SH SOLE 1322672 6807 Apple Computer Inc Common Stock 037833100 7784 20420 SH SOLE 20420 AT & T Inc. Common Stock 00206R102 107303 3762362 SH SOLE 3762362 Automatic Data Processing Common Stock 053015103 3332 70673 SH SOLE 70673 Avalonbay Communities Inc REIT 053484101 52327 458804 SH SOLE 456442 2362 Avon Products Common Stock 054303102 1866 95209 SH SOLE 95209 Baker Hughes Inc Common Stock 057224107 497 10770 SH SOLE 10770 Bank of America Corp Common Stock 060505104 2327 380180 SH SOLE 380180 Bank of New York Mellon Corp Common Stock 064058100 1806 97166 SH SOLE 97166 Baxter International Inc Common Stock 071813109 787 14025 SH SOLE 14025 Berkshire Hathaway Common Stock 084670702 3084 43408 SH SOLE 43408 Biomed Realty Trust Inc REIT 09063H107 19748 1191783 SH SOLE 1185694 6089 Boardwalk Pipeline Prtnrs Master Ltd Part 096627104 15439 602139 SH SOLE 602139 Boeing Co Common Stock 097023105 1106 18280 SH SOLE 18280 Boston Properties Inc REIT 101121101 65974 740453 SH SOLE 736705 3748 BRE Properties REIT 05564E106 19636 463774 SH SOLE 461404 2370 Bristol-Myers Squibb Co Common Stock 110122108 1321 42095 SH SOLE 42095 Buckeye Partners Master Ltd Part 118230101 25892 414200 SH SOLE 414200 Camden Property Trust REIT 133131102 31589 571642 SH SOLE 568702 2940 Campus Crest Communities REIT 13466Y105 2808 258133 SH SOLE 256829 1304 Capital One Financial Co Common Stock 14040H105 2946 74330 SH SOLE 74330 Caterpillar Inc Common Stock 149123101 4184 56660 SH SOLE 56660 Centerpoint Energy Inc Common Stock 15189T107 61153 3116870 SH SOLE 3116870 CenturyLink Inc Common Stock 156700106 88762 2680000 SH SOLE 2680000 Chevron Corp Common Stock 166764100 7868 85040 SH SOLE 85040 Cisco Systems Inc Common Stock 17275R102 4199 271090 SH SOLE 271090 Citigroup Inc Common Stock 172967424 1845 72013 SH SOLE 72013 CMS Energy Corp Common Stock 125896100 50316 2542500 SH SOLE 2542500 Coca-Cola Co Common Stock 191216100 3829 56675 SH SOLE 56675 Colgate-Palmolive Co Common Stock 194162103 1063 11985 SH SOLE 11985 Comcast Corp Common Stock 20030N101 1418 67865 SH SOLE 67865 Conocophillips Common Stock 20825C104 5930 93646 SH SOLE 93646 Copano Energy LLC Master Ltd Part 217202100 7103 238270 SH SOLE 238270 Costco Wholesale Corp Common Stock 22160K105 888 10815 SH SOLE 10815 Crown Castle Intl Corp Common Stock 228227104 1364 33540 SH SOLE 33540 CVS Caremark Corp Common Stock 126650100 1115 33190 SH SOLE 33190 DCP Midstream Partners Master Ltd Part 23311P100 7591 189684 SH SOLE 189684 DDR Corp REIT 23317H102 18836 1728046 SH SOLE 1719107 8939 Dell Inc Common Stock 24702R101 542 38270 SH SOLE 38270 Devon Energy Corporation Common Stock 25179M103 572 10310 SH SOLE 10310 Digital Realty Trust Inc REIT 253868103 19699 357116 SH SOLE 355293 1823 Dominion Resources Inc Common Stock 25746U109 72286 1423800 SH SOLE 1423800 DOW Chemical Co Common Stock 260543103 655 29150 SH SOLE 29150 DTE Energy Co Common Stock 233331107 31982 652420 SH SOLE 652420 DU Pont [E I] De Nemours Common Stock 263534109 2702 67595 SH SOLE 67595 Duke Energy Corp Common Stock 26441C105 31864 1594000 SH SOLE 1594000 Duke Realty Corp REIT 264411505 29545 2813767 SH SOLE 2799710 14057 EMC Corp Common Stock 268648102 1069 50950 SH SOLE 50950 Emerson Electric Co Common Stock 291011104 4277 103540 SH SOLE 103540 Enbridge Energy Partners Master Ltd Part 29250R106 22686 825861 SH SOLE 825861 Enbridge Inc Foreign Common 29250N105 55411 1735400 SH SOLE 1735400 Energy Transfer Partners Master Ltd Part 29273R109 18742 457000 SH SOLE 457000 Entergy Corp Common Stock 29364G103 85571 1290865 SH SOLE 1290865 Enterprise Prods Prtnrs Master Ltd Part 293792107 26093 649900 SH SOLE 649900 Equity Lifestyle Properties REIT 29472R108 33692 537354 SH SOLE 534596 2758 Equity Residential REIT 29476L107 77504 1494198 SH SOLE 1486483 7715 Essex Property Trust REIT 297178105 27039 225252 SH SOLE 224098 1154 Exelon Corp Common Stock 30161N101 294 6890 SH SOLE 6890 Extra Space Storage Inc REIT 30225T102 39238 2106148 SH SOLE 2095316 10832 Exxon Mobil Corp Common Stock 30231G102 12863 177105 SH SOLE 177105 Fedex Corp Common Stock 31428X106 530 7825 SH SOLE 7825 Firstenergy Corp Common Stock 337932107 83710 1863940 SH SOLE 1863940 Ford Motor Co Common Stock 345370860 907 93790 SH SOLE 93790 France Telecom ADRs 35177Q105 508 31040 SH SOLE 31040 Freeprt McMoran Cop and Gld Common Stock 35671D857 713 23400 SH SOLE 23400 Frontier Communications Corp Common Stock 35906A108 51254 8388491 SH SOLE 8388491 General Dynamics Corp Common Stock 369550108 508 8935 SH SOLE 8935 General Electric Co Common Stock 369604103 5775 378968 SH SOLE 378968 General Growth Pptys Inc REIT 370023103 23470 1939690 SH SOLE 1928963 10727 Gilead Sciences Inc Common Stock 375558103 737 19000 SH SOLE 19000 Goldman Sachs Group Inc Common Stock 38141G104 1178 12460 SH SOLE 12460 Google Inc Common Stock 38259P508 3197 6215 SH SOLE 6215 Great Plains Energy Inc Common Stock 391164100 9650 500000 SH SOLE 500000 Halliburton Co Common Stock 406216101 3798 124445 SH SOLE 124445 HCP Inc REIT 40414L109 39653 1131006 SH SOLE 1125140 5866 Health Care Reit Inc REIT 42217K106 23809 508741 SH SOLE 506108 2633 Heinz [H J] Co Common Stock 423074103 395 7820 SH SOLE 7820 Hewlett-Packard Co Common Stock 428236103 1150 51205 SH SOLE 51205 Home Depot Inc Common Stock 437076102 1265 38475 SH SOLE 38475 Honeywell International Inc Common Stock 438516106 848 19310 SH SOLE 19310 Host Hotels & Resorts Inc REIT 44107P104 46708 4269510 SH SOLE 4247593 21917 Illinois Tool Works Common Stock 452308109 2352 56540 SH SOLE 56540 Integrys Energy Group Inc Common Stock 45822P105 28540 587000 SH SOLE 587000 Intel Corp Common Stock 458140100 5990 280840 SH SOLE 280840 Intl Business Machines Corp Common Stock 459200101 11290 64505 SH SOLE 64505 Intl Flavors & Fragrances Common Stock 459506101 4146 73745 SH SOLE 73745 iShares Exchange Traded 464287465 12589 263635 SH SOLE 263635 iShares Exchange Traded 464287606 3937 43820 SH SOLE 43820 iShares Exchange Traded 464287630 6756 118460 SH SOLE 118460 iShares Exchange Traded 464287648 3682 50120 SH SOLE 50120 iShares Exchange Traded 464287705 6826 103410 SH SOLE 103410 ITC Holdings Corp Common Stock 465685105 1141 14730 SH SOLE 14730 J P Morgan Chase & Co Common Stock 46625H100 6013 199635 SH SOLE 199635 Johnson & Johnson Common Stock 478160104 7325 114970 SH SOLE 114970 Johnson Controls Inc Common Stock 478366107 1481 56145 SH SOLE 56145 Kilroy Realty Corp REIT 49427F108 40810 1303825 SH SOLE 1297160 6665 Kimberly-Clark Corp Common Stock 494368103 2816 39650 SH SOLE 39650 Kimco Realty Corp REIT 49446R109 29856 1986421 SH SOLE 1976263 10158 Kinder Morgan Energy Partners Master Ltd Part 494550106 20035 293000 SH SOLE 293000 Kinder Morgan Inc Common Stock 49456B101 38835 1500000 SH SOLE 1500000 Kraft Foods Inc Common Stock 50075N104 1464 43585 SH SOLE 43585 Lasalle Hotel Properties REIT 517942108 26079 1358257 SH SOLE 1351303 6954 Lilly [Eli] & Co Common Stock 532457108 1975 53420 SH SOLE 53420 Lockheed Martin Corp Common Stock 539830109 504 6935 SH SOLE 6935 Lowe's Companies Inc Common Stock 548661107 602 31120 SH SOLE 31120 Macerich Co REIT 554382101 20239 474750 SH SOLE 472310 2440 MasterCard Inc Common Stock 57636Q104 5385 16980 SH SOLE 16980 McDonald's Corp Common Stock 580135101 6233 70970 SH SOLE 70970 Medtronic Inc Common Stock 585055106 2317 69715 SH SOLE 69715 Merck & Co Inc. Common Stock 58933Y105 5377 164373 SH SOLE 164373 Metlife Inc Common Stock 59156R108 731 26100 SH SOLE 26100 Microsoft Corp Common Stock 594918104 7428 298428 SH SOLE 298428 Monsanto Co Common Stock 61166W101 792 13190 SH SOLE 13190 Morgan Stanley Common Stock 617446448 495 36640 SH SOLE 36640 National Grid Plc ADRs 636274300 9358 188673 SH SOLE 188673 National Oilwell Varco Inc Common Stock 637071101 534 10435 SH SOLE 10435 News Corp Cl A Common Stock 65248E104 873 56410 SH SOLE 56410 NextEra Energy Inc Common Stock 65339F101 74014 1370130 SH SOLE 1370130 Nike Inc Common Stock 654106103 801 9365 SH SOLE 9365 Nippon Telegraph & Telephone ADRs 654624105 724 30240 SH SOLE 30240 Nisource Inc Common Stock 65473P105 43602 2039380 SH SOLE 2039380 Norfolk Southern Corp Common Stock 655844108 524 8590 SH SOLE 8590 Northeast Utilities Common Stock 664397106 67944 2019140 SH SOLE 2019140 Northwest Natural Gas Co Common Stock 667655104 35899 814030 SH SOLE 814030 NV Energy Inc Common Stock 67073Y106 44834 3047860 SH SOLE 3047860 Occidental Petroleum Corp Common Stock 674599105 1433 20045 SH SOLE 20045 Omnicom Group Common Stock 681919106 3040 82510 SH SOLE 82510 Oneok Inc Common Stock 682680103 45387 687270 SH SOLE 687270 Oracle Corp Common Stock 68389X105 2802 97500 SH SOLE 97500 Pepco Holdings Inc Common Stock 713291102 67544 3570000 SH SOLE 3570000 Pepsico Inc Common Stock 713448108 5009 80920 SH SOLE 80920 Pfizer Inc Common Stock 717081103 5804 328273 SH SOLE 328273 Philip Morris International Common Stock 718172109 2703 43325 SH SOLE 43325 Piedmont Natural Gas Co Common Stock 720186105 28890 1000000 SH SOLE 1000000 Pinnacle West Capital Corp Common Stock 723484101 64410 1500000 SH SOLE 1500000 PPL Corp Common Stock 69351T106 72634 2545000 SH SOLE 2545000 Procter & Gamble Co Common Stock 742718109 4284 67810 SH SOLE 67810 Prologis Inc REIT 74340W103 60336 2488063 SH SOLE 2475285 12778 Public Service Entrp Grp Inc Common Stock 744573106 60971 1827130 SH SOLE 1827130 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