-----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, HvJdbBLg0TsBB38edjxazm3PHLR2CHgfweJD6vtNCjTeH+ZyYPt1+iTYJ+33OcJf G5GtluMLGrQwCeld2ZpPHA== 0000765443-04-000004.txt : 20040803 0000765443-04-000004.hdr.sgml : 20040803 20040803103635 ACCESSION NUMBER: 0000765443-04-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040803 EFFECTIVENESS DATE: 20040803 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: 04946941 BUSINESS ADDRESS: STREET 1: 55 EAST MONROE STREET 2: SUITE 3600 CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3122632610 MAIL ADDRESS: STREET 1: 55 EAST MONROE STREET 2: SUITE 3600 CITY: CHICAGO STATE: IL ZIP: 60603 13F-HR 1 r20040630.txt 13F REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year of Quarter Ended: June 30, 2004 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 Address: 55 East Monroe St. Chicago, IL 60603 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) 630-4641 Signature, Place, and Date of Signing: _/s/_Joyce_Riegel_ in Chicago, IL on 8/3/2004 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: 1 Form 13F Information Table Entry Total: 247 Form 13F Information Table Value Total (x 1000): 2,767,683 List of Other Included Managers: No. 13F File Number: Name: 01 28-47829 Phoenix Investment Partners Ltd. 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 530 5890 SH SOLE 5660 230 Adobe Systems Inc Common Stock 00724F101 3539 76102 SH SOLE 76102 Aetna Inc Common Stock 00817Y108 3372 39677 SH SOLE 39677 AGL Resources Inc Common Stock 001204106 26900 926000 SH SOLE 926000 Alcoa Inc Common Stock 013817101 214 6490 SH SOLE 6240 250 Alexandria Real Estate W/Rts REIT 015271109 13316 234529 SH SOLE 234529 Allstate Corp Common Stock 020002101 3313 71152 SH SOLE 70942 210 Alltel Corp Convertible Pfd 020039822 10032 200000 SH SOLE 200000 Alltel Corp Common Stock 020039103 50620 1000000 SH SOLE 1000000 Altria Group Inc Common Stock 02209S103 772 15410 SH SOLE 14800 610 AMB Property Corp REIT 00163T109 8181 236280 SH SOLE 236280 Amerada Hess Corp Common Stock 023551104 3327 42004 SH SOLE 42004 Ameren Corp Convertible Pfd 023608201 19868 750000 SH SOLE 750000 Ameren Corp Common Stock 023608102 64483 1501000 SH SOLE 1501000 American Express Co Common Stock 025816109 8516 165730 SH SOLE 165340 390 American Intl Group Inc Common Stock 026874107 7667 107561 SH SOLE 106782 779 Amgen Inc Common Stock 031162100 523 9580 SH SOLE 9200 380 Anheuser Busch Cos Inc Common Stock 035229103 331 6140 SH SOLE 5890 250 Applied Materials Inc Common Stock 038222105 2841 144803 SH SOLE 144803 Archer Daniels Common Stock 039483102 3195 190391 SH SOLE 190391 Archstone-Smith Trust REIT 039583109 28407 968578 SH SOLE 968578 Arden Realty Inc REIT 039793104 6270 213119 SH SOLE 213119 Avon Products Inc Common Stock 054303102 18588 402842 SH SOLE 402702 140 Bank of America Corp Common Stock 060505104 9837 116240 SH SOLE 115630 610 Bank One Corp Common Stock 06423A103 430 8432 SH SOLE 8092 340 Bausch & Lomb Inc Common Stock 071707103 3736 57407 SH SOLE 57407 BCE Inc Foreign Common 05534B109 22044 1100000 SH SOLE 1100000 Bear Stearns Cos Inc Common Stock 073902108 3088 36622 SH SOLE 36622 Bell South Corp Common Stock 079860102 45361 1730000 SH SOLE 1730000 Best Buy Company Inc Common Stock 086516101 9242 182150 SH SOLE 182150 Boeing Co Common Stock 097023105 322 6295 SH SOLE 6045 250 Boston Properties REIT 101121101 31278 624552 SH SOLE 624552 Bristol-Myers Squibb Co Common Stock 110122108 358 14640 SH SOLE 14060 580 Brunswick Corp Common Stock 117043109 3084 75595 SH SOLE 75595 Camden Property Trust REIT 133131102 12732 277994 SH SOLE 277994 CANADIAN ZINC CORP Common Stock 136802105 17 30000 SH SOLE 30000 Capital One Financial Corp Common Stock 14040H105 2896 42347 SH SOLE 42347 CBL & Associates REIT 124830100 21146 384480 SH SOLE 384480 Centerpoint Energy Inc Common Stock 15189T107 3237 281509 SH SOLE 281509 Centerpoint Properties Corp REIT 151895109 38594 502844 SH SOLE 502844 Centurytel Inc Convertible Pfd 156700403 29796 1200000 SH SOLE 1200000 Chunghwa Telecom Co Ltd ADRs 17133Q205 22050 1250000 SH SOLE 1250000 Cinergy Common Stock 172474108 30400 800000 SH SOLE 800000 Cinergy Convertible Pfd 172474207 37228 626200 SH SOLE 626200 Cisco System Inc Common Stock 17275R102 8745 369000 SH SOLE 366970 2030 Citigroup Inc Common Stock 172967101 6994 150363 SH SOLE 148823 1540 CLIFTON MINING COMPANY Common Stock 186904108 14 15000 SH SOLE 15000 Coca-Cola Co Common Stock 191216100 925 18330 SH SOLE 17600 730 Colgate-Palmolive Co Common Stock 194162103 235 4005 SH SOLE 3845 160 Computer Sciences Corp Common Stock 205363104 7344 158135 SH SOLE 158075 60 ConocoPhillips Common Stock 20825C104 6040 79177 SH SOLE 79177 Consolidated Edison Co Common Stock 209115104 19880 500000 SH SOLE 500000 Corporate Office Properties REIT 22002T108 24991 1005716 SH SOLE 1005716 Costco Wholesale Corp Common Stock 22160K105 3443 83651 SH SOLE 83651 Danaher Corp Common Stock 235851102 3601 69438 SH SOLE 69438 Developers Div Rty W/PPRTS REIT 251591103 30555 863883 SH SOLE 863883 Disney (Walt) Co Common Stock 254687106 391 15365 SH SOLE 14755 610 Dominion Resources Inc Convertible Pfd 25746U208 24480 450000 SH SOLE 450000 Dominion Resources Inc Common Stock 25746U109 50212 796000 SH SOLE 796000 Dow Chemical Co Common Stock 260543103 285 7010 SH SOLE 6730 280 DTE Energy Co Common Stock 233331107 40540 1000000 SH SOLE 1000000 DTE Energy Co Convertible Pfd 233331206 24766 986700 SH SOLE 986700 Duke Energy Corp Common Stock 264399106 7158 352770 SH SOLE 352770 Duke Realty Corp REIT 264411505 9882 310667 SH SOLE 310667 DuPont E I deNemours Common Stock 263534109 4747 106887 SH SOLE 106587 300 ECU SILVER MINING INC Common Stock 26830P105 6 20000 SH SOLE 20000 EIX Trust II Preferred Stock 26853P206 5637 223500 SH SOLE 223500 Electronic Data Systems Corp Common Stock 285661104 4255 222200 SH SOLE 222200 EMC Corp Common Stock 268648102 205 18060 SH SOLE 17360 700 Emerson Electric Co Common Stock 291011104 6217 97800 SH SOLE 97800 Energy East Corp Common Stock 29266M109 26675 1100000 SH SOLE 1100000 Equity Office Properties REIT 294741103 6847 251770 SH SOLE 251770 Equity Residential REIT 29476L107 16030 539183 SH SOLE 539183 Essex Properties REIT 297178105 12706 185916 SH SOLE 185916 Exelon Corp Common Stock 30161N101 66746 2004960 SH SOLE 2004760 200 Exxon Mobil Corp Common Stock 30231G102 11095 249872 SH SOLE 247922 1950 FARALLON RESOURCES LTD Common Stock 30739T101 10 20000 SH SOLE 20000 Federal Natl Mortgage Assn Common Stock 313586109 6559 91900 SH SOLE 91900 First Data Corp Common Stock 319963104 6505 146100 SH SOLE 146100 FirstEnergy Common Stock 337932107 74820 2000000 SH SOLE 2000000 Ford Motor Co Common Stock 345370860 7109 454178 SH SOLE 453628 550 Fortune Brands Inc Common Stock 349631101 3377 44778 SH SOLE 44778 FPL Group Inc Convertible Pfd 302571203 27550 500000 SH SOLE 500000 FPL Group Inc Common Stock 302571104 38370 600000 SH SOLE 600000 General Electric Co Common Stock 369604103 9270 286090 SH SOLE 282940 3150 General Growth Properties REIT 370021107 37271 1260421 SH SOLE 1260421 Georgia-Pacific Corp Common Stock 373298108 13346 360890 SH SOLE 360890 Gillette Co Common Stock 375766102 321 7570 SH SOLE 7270 300 Goldman Sachs Common Stock 38141G104 342 3630 SH SOLE 3490 140 Great Plains Energy Inc Convertible Pfd 391164605 30000 1200000 SH SOLE 1200000 Halliburton Co Common Stock 406216101 6138 202890 SH SOLE 202760 130 Harrah's Entertainment Inc Common Stock 413619107 2914 53862 SH SOLE 53832 30 Health Care PPTYS Invest Inc REIT 421915109 7658 318577 SH SOLE 318577 Health Care Reit Inc REIT 42217K106 7253 223151 SH SOLE 223151 Healthcare Realty Trust Inc REIT 421946104 7797 208053 SH SOLE 208053 Hewlett-Packard Co Common Stock 428236103 483 22890 SH SOLE 21970 920 Home Depot Inc Common Stock 437076102 590 16770 SH SOLE 16100 670 Home Properties Inc REIT 437306103 10291 264048 SH SOLE 264048 Honeywell International Common Stock 438516106 236 6442 SH SOLE 6182 260 Hospitality Properties Trust REIT 44106M102 8741 206663 SH SOLE 206663 Host Marriott Corp REIT 44107P104 10743 869249 SH SOLE 869249 Iberdrola SA Foreign Common 4424640$0 22798 1080000 SH SOLE 1080000 Illinois Tool Works Inc Common Stock 452308109 6242 65100 SH SOLE 65100 Ingersoll Rand Co Limited Common Stock G4776G101 3288 48146 SH SOLE 48146 Intel Corp Common Stock 458140100 7529 272750 SH SOLE 270810 1940 Intl Business Machines Corp Common Stock 459200101 5227 59310 SH SOLE 58810 500 IStar Financial Inc REIT 45031U101 15130 378224 SH SOLE 378224 J P Morgan Chase & Co Common Stock 46625H100 10005 258050 SH SOLE 257440 610 Johnson & Johnson Co Common Stock 478160104 7381 132530 SH SOLE 131640 890 Keyspan Corp Common Stock 49337W100 36700 1000000 SH SOLE 1000000 Keyspan Corp Convertible Pfd 49337W407 21300 412000 SH SOLE 412000 Keystone Property Trust REIT 493596100 11821 491942 SH SOLE 491942 Kilroy Realty Corp REIT 49427F108 7802 228794 SH SOLE 228794 Kimberly-Clark Corp Common Stock 494368103 6075 92200 SH SOLE 92200 Kimco Realty Corp REIT 49446R109 3249 71373 SH SOLE 71373 LaSalle Hotel Properties REIT 517942108 6315 258820 SH SOLE 258820 Lehman Bros Holding Inc Common Stock 524908100 3042 40426 SH SOLE 40346 80 Lilly (Eli) & Co Common Stock 532457108 5508 78800 SH SOLE 78800 Lucent Technologies Inc Common Stock 549463107 120 31720 SH SOLE 30480 1240 Macerich Co REIT 554382101 25541 533535 SH SOLE 533535 Maguire Properties Inc REIT 559775101 11742 474097 SH SOLE 474097 Masco Corp Common Stock 574599106 6342 203400 SH SOLE 203400 McDonald's Corp Common Stock 580135101 9834 378217 SH SOLE 377837 380 Medtronic Inc Common Stock 585055106 5390 110590 SH SOLE 110230 360 Merck & Co Inc Common Stock 589331107 6586 138650 SH SOLE 137980 670 Merrill Lynch & Co Inc Common Stock 590188108 389 7235 SH SOLE 6955 280 MGIC Investment Corp W/Rts Common Stock 552848103 9292 122500 SH SOLE 122500 Microsoft Corp Common Stock 594918104 9885 346120 SH SOLE 342890 3230 MIRAMAR MINING CORPORATION Common Stock 60466E100 17 15000 SH SOLE 15000 Molex Inc Common Stock 608554101 2790 86990 SH SOLE 86990 Morgan Stanley Common Stock 617446448 433 8205 SH SOLE 7875 330 National City Corp Common Stock 635405103 5430 155100 SH SOLE 155100 National Grid Group Spons ADRs 636274102 8422 215000 SH SOLE 215000 National Grid Transco PLC Foreign Common 3122387$0 5938 770000 SH SOLE 770000 Nextel Communications Inc Common Stock 65332V103 219 8220 SH SOLE 7890 330 Nike Inc Common Stock 654106103 3527 46565 SH SOLE 46565 Nisource Inc Common Stock 65473P105 24744 1200000 SH SOLE 1200000 Nordstrom Inc Common Stock 655664100 3651 85671 SH SOLE 85671 Norfolk Southern Corp Common Stock 655844108 3504 132171 SH SOLE 132051 120 NStar Common Stock 67019E107 63135 1318600 SH SOLE 1318600 Occidental Petroleum Corp Common Stock 674599105 3324 68668 SH SOLE 68668 Omnicom Group Inc Common Stock 681919106 6161 81200 SH SOLE 81200 Oneok Inc Convertible Pfd 682680202 22467 775000 SH SOLE 775000 Oracle Corp Common Stock 68389X105 468 39300 SH SOLE 37730 1570 Paccar Inc Common Stock 693718108 2737 47193 SH SOLE 47193 Pan Pacific Retail Property REIT 69806L104 22307 441528 SH SOLE 441528 Peoples Energy Corp Common Stock 711030106 37935 900000 SH SOLE 900000 PepsiCo Inc Common Stock 713448108 5938 110210 SH SOLE 109700 510 Pfizer Inc Common Stock 717081103 8573 250090 SH SOLE 247810 2280 Phelps Dodge Corp Common Stock 717265102 3319 42814 SH SOLE 42814 Pinnacle West Capital Corp Common Stock 723484101 28273 700000 SH SOLE 700000 Pitney Bowes Inc Common Stock 724479100 5574 126000 SH SOLE 126000 Procter & Gamble Co Common Stock 742718109 1055 19380 SH SOLE 18610 770 Progress Energy Inc Common Stock 743263105 60569 1375000 SH SOLE 1375000 Progressive Corp Common Stock 743315103 3369 39495 SH SOLE 39495 Prologis Trust REIT 743410102 30130 915289 SH SOLE 915289 Public Serv Enterprises Grp Common Stock 744573106 40030 1000000 SH SOLE 1000000 Public Storage Inc REIT 74460D109 12893 280246 SH SOLE 280246 Realty Income Corp REIT 756109104 5591 134005 SH SOLE 134005 Reckson Assoc Realty REIT 75621K106 8281 301546 SH SOLE 301546 S L Green Realty Co REIT 78440X101 29930 639506 SH SOLE 639506 SAMEX MINING CORP Common Stock 795912104 16 20000 SH SOLE 20000 SBC Communications Inc Common Stock 78387G103 44303 1826943 SH SOLE 1825943 1000 Schlumberger Ltd Common Stock 806857108 280 4410 SH SOLE 4230 180 Scientific-Atlanta Inc Common Stock 808655104 3124 90553 SH SOLE 90553 Scottish & Southern Energy Foreign Common 0790873$6 10505 850000 SH SOLE 850000 Scottish & Southern Energy ADRs 81012K309 12359 1000000 SH SOLE 1000000 Scottish Power Plc ADRs 81013T705 10880 368700 SH SOLE 368700 Sempra Energy Preferred Stock 816851208 15150 500000 SH SOLE 500000 Shurgard Storage Centers REIT 82567D104 7036 188161 SH SOLE 188161 SILVERCREST MINES INC Common Stock 828365106 10 15000 SH SOLE 15000 Simon Property Group Inc REIT 828806109 50985 991574 SH SOLE 991574 Southern Co Common Stock 842587107 67205 2305500 SH SOLE 2305280 220 Southern Union Co Preferred Stock 844030304 11013 172700 SH SOLE 172700 Starwood Hotels & Resorts Common Stock 85590A203 11758 262185 SH SOLE 262185 Swisscom AG Spons ADRs 871013108 14949 450000 SH SOLE 450000 Symantec Corp Common Stock 871503108 3248 74178 SH SOLE 74178 Tanger Factory Outlet Centers REIT 875465106 5485 140283 SH SOLE 140283 Tektronix Inc Common Stock 879131100 3775 110970 SH SOLE 110970 Telecom New Zealand ADRs 879278208 25516 856250 SH SOLE 856250 Telstra Corp ADRs 87969N204 18889 1068400 SH SOLE 1068400 Texas Instruments Inc Common Stock 882508104 312 12875 SH SOLE 12355 520 Time Warner Inc Common Stock 887317105 6243 355120 SH SOLE 353770 1350 Town & Country Trust REIT 892081100 3469 137358 SH SOLE 137358 TXU Corp Common Stock 873168108 3749 92560 SH SOLE 92560 TXU Corp Convertible Pfd 873168504 19032 400000 SH SOLE 400000 TXU Corp Convertible Pfd 873168884 22780 500000 SH SOLE 500000 TYCO International Ltd Common Stock 902124106 494 14926 SH SOLE 14326 600 U S Bancorp Common Stock 902973304 396 14419 SH SOLE 13839 580 United Dominion Realty REIT 910197102 17791 899494 SH SOLE 899494 United Technologies Corp Common Stock 913017109 353 3860 SH SOLE 3710 150 UnitedHealth Group Inc Common Stock 91324P102 3219 51710 SH SOLE 51710 Vectren Corp Common Stock 92240G101 37635 1500000 SH SOLE 1500000 Verizon Communications Inc Common Stock 92343V104 59458 1642920 SH SOLE 1642090 830 Viacom Inc Class B 925524308 467 13066 SH SOLE 12536 530 Vornado Realty Trust REIT 929042109 38281 670289 SH SOLE 670289 Walgreen Co Common Stock 931422109 8185 226000 SH SOLE 226000 Wal-Mart Stores Inc Common Stock 931142103 6704 127040 SH SOLE 125760 1280 Weingarten Realty Invest REIT 948741103 18274 584226 SH SOLE 584226 Wellpoint Health Networks Inc Common Stock 94973H108 8367 74700 SH SOLE 74700 Wells Fargo Co Common Stock 949746101 728 12720 SH SOLE 12220 500 WGL Holdings Inc Common Stock 92924F106 28720 1000000 SH SOLE 1000000 WPS Resources Corp Common Stock 92931B106 26929 581000 SH SOLE 581000 XCEL Energy Inc Common Stock 98389B100 50118 2999304 SH SOLE 2999304
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