UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q/A
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file
number
811-07358
Duff &
Phelps Utility and Corporate Bond Trust Inc.
(Exact name of registrant as specified in charter)
200 South Wacker Drive,
Suite 500, Chicago, Illinois 60606
(Address of principal executive
offices) (Zip code)
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Alan M. Meder
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Lawrence R. Hamilton
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Duff & Phelps Utility and Corporate Bond Trust Inc.
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Mayer Brown LLP
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200 South Wacker Drive, Suite 500
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71 South Wacker Drive
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Chicago, Illinois 60606
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Chicago, Illinois 60606
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(Name and address
of agents for service)
Registrants telephone number, including area code:
(800)
338-8214
Date of fiscal year end:
December
31
Date of reporting period:
March 31,
2011
EXPLANATORY NOTE
The Registrant is filing this amendment to its Form N-Q for the period ended March 31, 2011, originally filed with the Securities and Exchange Commission on May 16, 2011 (Accession Number
0001193125-11-141250), to correct the Level 2 total in Item 1, Note 1 of the Form N-Q. Other than the aforementioned revision, this Form N-Q/A does not reflect events occurring after the filing of the original Form N-Q, or modify or update the
disclosures therein in any way.
ITEM 1.
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SCHEDULE OF INVESTMENTS.
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DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
PORTFOLIO OF INVESTMENTS
March 31, 2011
(Unaudited)
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Principal
Amount
(000)
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Description
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Value
(Note 1)
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LONG-TERM INVESTMENTS - 155.8%
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U.S. Government and Agency Obligations - 6.7%
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Federal National Mortgage Association,
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$ 5,000
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6.00%,
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5/15/11
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$
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5,036,195
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188
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8.00%,
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10/01/30
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213,085
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647
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7.00%,
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12/01/31
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745,504
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Government National Mortgage Association
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Pass-Through Certificates,
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13
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7.00%,
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3/15/26
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14,766
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63
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8.00%,
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11/15/30
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73,789
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33
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8.00%,
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2/15/31
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38,964
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U.S. Treasury Note,
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5,000
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1.00%,
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7/31/11
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5,015,040
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10,000
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1.00%,
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8/31/11
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10,035,940
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Total U.S. Government and Agency Obligations
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(Cost $21,501,156)
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21,173,283
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Corporate Bonds - 142.0%
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Financial - 23.6%
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Boeing Capital Corp.,
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7,000
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(a)(b)
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6.50%,
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2/15/12
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7,357,560
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Caterpillar Financial Services Corp.,
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7,000
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(a)
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7.15%,
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2/15/19
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8,581,510
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DaimlerChrysler North America Holding Corp.,
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5,000
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6.50%,
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11/15/13
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5,587,260
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ERP Operating Limited Partnership,
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5,000
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6.625%,
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3/15/12
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5,259,535
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General Electric Capital Corp.,
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6,000
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4.80%,
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5/01/13
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6,378,228
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JPMorgan Chase & Co.,
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5,000
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5.375%,
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10/01/12
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5,311,840
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5,000
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4.75%,
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5/01/13
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5,314,160
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Keybank, N.A.,
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3,200
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7.30%,
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5/01/11
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3,214,582
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Morgan Stanley,
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5,000
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6.00%,
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4/28/15
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5,450,465
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NationsBank Capital Trust IV,
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10,000
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8.25%,
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4/15/27
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10,350,000
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US Bank, N.A.,
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6,000
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4.95%,
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10/30/14
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6,534,816
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Wachovia Bank NA,
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5,000
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6.00%,
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11/15/17
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5,559,155
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74,899,111
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DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
PORTFOLIO OF INVESTMENTS-(Continued)
March 31, 2011
(Unaudited)
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Principal
Amount
(000)
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Description
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Value
(Note 1)
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Industrial - 33.7%
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Archer-Daniels-Midland Company,
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$
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4,000
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(a)
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7.125%,
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3/01/13
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$
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4,435,352
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Coca-Cola Enterprises, Inc.,
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6,000
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(a)
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8.50%,
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2/01/12
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6,394,842
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Devon Financing Corp.,
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7,000
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(a)
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6.875%,
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9/30/11
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7,214,788
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Dow Chemical Company,
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6,000
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9.00%,
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4/01/21
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7,299,840
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Hewlett-Packard Co.,
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7,000
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(a)(b)
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6.125%,
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3/01/14
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7,845,915
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Kraft Foods, Inc.,
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1,827
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6.25%,
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6/01/12
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1,938,531
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Potash Corporation of Saskatchewan, Inc.,
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8,578
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(a)(b)
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7.75%,
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5/31/11
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8,674,245
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Premcor Refining Group, Inc.,
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5,000
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6.125%,
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5/01/11
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5,015,395
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Sun Company, Inc.,
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5,000
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(a)
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9.00%,
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11/01/24
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6,133,430
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Target Corp.,
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5,000
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6.00%,
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1/15/18
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5,730,055
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Tele-Communications, Inc.,
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5,275
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(a)
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10.125%,
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4/15/22
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7,190,089
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3,200
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(a)
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9.875%,
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6/15/22
|
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4,216,909
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Time Warner Cable, Inc.,
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5,000
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7.50%,
|
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4/01/14
|
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|
5,734,965
|
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Time Warner Entertainment Company, L.P.,
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5,000
|
(a)
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8.875%,
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10/01/12
|
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|
5,537,380
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Time Warner, Inc.,
|
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5,000
|
(a)
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|
9.15%,
|
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|
2/01/23
|
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|
6,581,170
|
|
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|
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Wal-Mart Stores, Inc.,
|
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|
|
|
5,000
|
|
|
|
6.75%,
|
|
|
10/15/23
|
|
|
6,092,525
|
|
|
|
|
|
|
Wellpoint, Inc.,
|
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5,000
|
|
|
|
6.80%,
|
|
|
8/01/12
|
|
|
5,350,715
|
|
|
|
|
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|
Xerox Corp.,
|
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|
|
|
|
5,000
|
|
|
|
6.35%,
|
|
|
5/15/18
|
|
|
5,661,580
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
107,047,726
|
|
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Telephone - 14.1%
|
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|
AT&T Wireless Services, Inc.,
|
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|
|
10,000
|
(a)(b)
|
|
|
8.125%,
|
|
|
5/01/12
|
|
|
10,765,740
|
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|
|
|
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|
Deutsche Telekom International Finance,
|
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|
5,000
|
|
|
|
5.25%,
|
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|
7/22/13
|
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|
5,406,355
|
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|
Rogers Communications, Inc.,
|
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|
6,000
|
(a)
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|
|
7.50%,
|
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|
3/15/15
|
|
|
7,088,868
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|
|
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|
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|
Telecom Italia Capital SA,
|
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|
|
5,000
|
|
|
|
5.25%,
|
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|
10/01/15
|
|
|
5,180,450
|
|
|
|
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|
Verizon Global Funding Corp.,
|
|
|
|
|
|
10,000
|
(a)(b)
|
|
|
7.375%,
|
|
|
9/01/12
|
|
|
10,883,000
|
|
|
|
|
|
|
Vodafone Group PLC,
|
|
|
|
|
|
5,000
|
|
|
|
5.000%,
|
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|
12/16/13
|
|
|
5,428,925
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
44,753,338
|
|
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|
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|
|
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|
|
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|
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Utilities - 70.6%
|
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American Water Capital Corp.,
|
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|
|
5,000
|
|
|
|
6.085%,
|
|
|
10/15/17
|
|
|
5,620,350
|
|
|
5,000
|
|
|
|
6.593%,
|
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|
10/15/37
|
|
|
5,325,315
|
|
|
|
|
|
|
Arizona Public Service Co.,
|
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|
|
|
|
5,000
|
(a)
|
|
|
6.875%,
|
|
|
8/01/36
|
|
|
5,677,120
|
|
|
|
|
|
|
Atmos Energy Corp.,
|
|
|
|
|
|
5,000
|
|
|
|
7.375%,
|
|
|
5/15/11
|
|
|
5,037,415
|
|
|
|
|
|
|
CalEnergy Company, Inc.,
|
|
|
|
|
|
10,000
|
(a)(b)
|
|
|
8.48%,
|
|
|
9/15/28
|
|
|
12,859,960
|
|
|
|
|
|
|
Cleveland Electric Illumination Co.,
|
|
|
|
|
|
6,713
|
(a)
|
|
|
8.875%,
|
|
|
11/15/18
|
|
|
8,498,759
|
|
|
|
|
|
|
Commonwealth Edison Co.,
|
|
|
|
|
|
5,000
|
|
|
|
6.95%,
|
|
|
7/15/18
|
|
|
5,530,730
|
|
|
|
|
|
|
Dominion Resources, Inc.
|
|
|
|
|
|
5,000
|
|
|
|
5.15%,
|
|
|
7/15/15
|
|
|
5,479,690
|
|
|
|
|
|
|
Entergy Texas, Inc.,
|
|
|
|
|
|
10,000
|
(a)(b)
|
|
|
7.125%,
|
|
|
2/01/19
|
|
|
11,664,410
|
|
|
|
|
|
|
EQT Corporation,
|
|
|
|
|
|
8,000
|
|
|
|
8.125%,
|
|
|
6/01/19
|
|
|
9,550,800
|
|
|
|
|
|
|
Exelon Generation Co. LLC,
|
|
|
|
|
|
5,475
|
(a)
|
|
|
6.20%,
|
|
|
10/01/17
|
|
|
6,072,936
|
|
|
|
|
|
|
FirstEnergy Corp.,
|
|
|
|
|
|
5,000
|
|
|
|
7.375%,
|
|
|
11/15/31
|
|
|
5,430,835
|
|
DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
PORTFOLIO OF INVESTMENTS-(Continued)
March 31, 2011
(Unaudited)
|
|
|
|
|
|
|
|
|
|
|
|
|
Principal
Amount
(000)
|
|
|
Description
|
|
Value
(Note 1)
|
|
|
|
|
|
|
Utilities (Continued)
|
|
|
|
|
|
|
|
|
|
FPL Group Capital Inc.,
|
|
|
|
|
$
|
6,000
|
(a)
|
|
|
5.625%,
|
|
|
9/01/11
|
|
$
|
6,120,858
|
|
|
4,000
|
|
|
|
7.875%,
|
|
|
12/15/15
|
|
|
4,750,084
|
|
|
|
|
|
|
Hydro-Quebec,
|
|
|
|
|
|
10,000
|
(a)(b)
|
|
|
7.50%,
|
|
|
4/01/16
|
|
|
12,228,420
|
|
|
|
|
|
|
Kinder Morgan Energy Partners,
|
|
|
|
|
|
5,000
|
(a)
|
|
|
7.75%,
|
|
|
3/15/32
|
|
|
5,833,370
|
|
|
|
|
|
|
National Grid PLC
|
|
|
|
|
|
6,000
|
|
|
|
6.30%,
|
|
|
8/01/16
|
|
|
6,822,726
|
|
|
|
|
|
|
National Rural Utilities Cooperative Finance Corp.,
|
|
|
|
|
|
6,500
|
(a)
|
|
|
5.50%,
|
|
|
7/01/13
|
|
|
7,095,809
|
|
|
|
|
|
|
Oncor Electric Delivery Co., LLC,
|
|
|
|
|
|
7,167
|
(a)(b)
|
|
|
6.375%,
|
|
|
5/01/12
|
|
|
7,532,417
|
|
|
|
|
|
|
ONEOK, Inc.,
|
|
|
|
|
|
4,060
|
|
|
|
7.125%,
|
|
|
4/15/11
|
|
|
4,066,342
|
|
|
|
|
|
|
ONEOK Partners, L.P.,
|
|
|
|
|
|
9,441
|
(a)
|
|
|
6.15%,
|
|
|
10/01/16
|
|
|
10,662,429
|
|
|
|
|
|
|
PPL Energy Supply LLC,
|
|
|
|
|
|
3,690
|
(a)
|
|
|
6.50%,
|
|
|
5/01/18
|
|
|
4,125,782
|
|
|
|
|
|
|
Progress Energy, Inc.,
|
|
|
|
|
|
10,000
|
(a)
|
|
|
7.05%,
|
|
|
3/15/19
|
|
|
11,812,400
|
|
|
|
|
|
|
PSEG Power LLC,
|
|
|
|
|
|
7,195
|
|
|
|
7.75%,
|
|
|
4/15/11
|
|
|
7,207,375
|
|
|
5,000
|
(a)
|
|
|
5.32%,
|
|
|
9/15/16
|
|
|
5,394,470
|
|
|
|
|
|
|
Sempra Energy
|
|
|
|
|
|
5,000
|
|
|
|
6.15%,
|
|
|
6/15/18
|
|
|
5,623,080
|
|
|
|
|
|
|
South Carolina Electric & Gas Co.,
|
|
|
|
|
|
5,685
|
|
|
|
6.50%,
|
|
|
11/01/18
|
|
|
6,674,770
|
|
|
|
|
|
|
Spectra Energy Capital LLC,
|
|
|
|
|
|
5,000
|
|
|
|
6.20%,
|
|
|
4/15/18
|
|
|
5,571,660
|
|
|
|
|
|
|
Trans-Canada Pipelines Limited,
|
|
|
|
|
|
10,000
|
|
|
|
9.875%,
|
|
|
1/01/21
|
|
|
13,834,940
|
|
|
|
|
|
|
Williams Partners L.P.,
|
|
|
|
|
|
5,150
|
|
|
|
7.25%,
|
|
|
2/01/17
|
|
|
6,038,720
|
|
|
|
|
|
|
Wisconsin Energy Corp.,
|
|
|
|
|
|
6,000
|
|
|
|
6.50%,
|
|
|
4/01/11
|
|
|
6,000,000
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
224,143,972
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Corporate Bonds
|
|
|
|
|
|
|
|
|
|
(Cost $446,439,933)
|
|
|
450,844,147
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Asset-Backed Securities - 1.8%
|
|
|
|
|
|
|
|
|
|
Detroit Edison Securitization Funding LLC 2001-1 A6,
|
|
|
|
|
|
5,000
|
|
|
|
6.62%,
|
|
|
3/01/16
|
|
|
5,738,292
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Asset-Backed Securities
|
|
|
|
|
|
|
|
|
|
(Cost $5,925,000)
|
|
|
5,738,292
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Non-Convertible Preferred Stock - 5.3%
|
|
|
|
|
|
|
|
|
|
Financial - 5.3%
|
|
|
|
|
|
|
|
|
|
Duke Realty Corp., Series M,
|
|
|
|
|
|
100,000
|
|
|
|
6.95%
|
|
|
|
|
|
2,461,000
|
|
|
|
|
|
|
Duke Realty Corp., Series N,
|
|
|
|
|
|
100,000
|
|
|
|
7.25%
|
|
|
|
|
|
2,499,000
|
|
|
|
|
|
|
Kimco Realty Corp., Series G,
|
|
|
|
|
|
100,000
|
|
|
|
7.75%
|
|
|
|
|
|
2,586,000
|
|
|
|
|
|
|
Public Storage, Inc., Series I,
|
|
|
|
|
|
120,000
|
|
|
|
7.25%
|
|
|
|
|
|
3,038,400
|
|
|
|
|
|
|
Realty Income Corp., Series D,
|
|
|
|
|
|
100,000
|
|
|
|
7.375%
|
|
|
|
|
|
2,556,000
|
|
|
|
|
|
|
UDR, Inc., Series G,
|
|
|
|
|
|
100,000
|
|
|
|
6.75%
|
|
|
|
|
|
2,522,000
|
|
|
|
|
|
|
Vornado Realty Trust, Series I,
|
|
|
|
|
|
50,000
|
|
|
|
6.625%
|
|
|
|
|
|
1,214,000
|
|
|
|
|
|
|
Total Non-Convertible Preferred Stock
|
|
|
|
|
|
|
|
|
|
(Cost $16,713,000)
|
|
|
16,876,400
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Investments - 155.8%
|
|
|
|
|
|
|
|
|
|
(Cost $490,579,089)
|
|
|
494,632,122
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Other Assets in Excess of Liabilities - 4.0%
|
|
|
12,647,980
|
|
|
|
|
|
|
Borrowings - (29.9)%
|
|
|
(95,000,000)
|
|
|
|
|
|
|
Liquidation Value of Preferred Shares - (29.9)%
|
|
|
(95,000,000)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Assets Applicable to Common Stock - 100%
|
|
$
|
317,280,102
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(a) All or a portion of this security has been segregated and made available for loan.
(b) All or a portion of this security has been loaned.
The percentage shown for each investment category is the total value of that category as a percentage of the net assets applicable to
common stock of the Fund.
Notes
(1) The Funds investments are carried at fair value which is defined as the price that the Fund would receive upon selling an investment in a timely transaction to an independent buyer in the
principal or most advantageous market of the investment. The three-tier hierarchy of inputs established to classify fair value measurements for disclosure purposes is summarized in the three broad levels listed below.
Level 1 quoted prices in active markets for identical securities.
Level 2 other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit
risks, etc.).
Level 3 significant unobservable inputs (including the Funds own
assumptions in determining fair value of investments).
The inputs or methodology used for valuing securities are not necessarily an indication
of the risk associated with investing in these
securities. The following is a summary of the inputs used to value each of the Funds
investments as of March 31, 2011:
|
|
|
|
|
|
|
|
|
|
|
Level 1
|
|
|
Level 2
|
|
Asset-backed securities
|
|
$
|
-
|
|
|
$
|
5,738,292
|
|
Corporate bonds
|
|
|
-
|
|
|
|
450,844,147
|
|
Non-convertible preferred stock
|
|
|
16,876,400
|
|
|
|
-
|
|
U.S. Government and Agency obligations
|
|
|
-
|
|
|
|
21,173,283
|
|
Total
|
|
$
|
16,876,400
|
|
|
$
|
477,755,722
|
|
|
|
There were no significant transfers between level 1 and level 2
during the quarter ended March 31, 2011.
(2) At December 31, 2010, the Funds most recent fiscal tax year end, based on a tax
cost of investments of $484,555,873, the Fund
had gross unrealized appreciation of $14,700,415 and gross unrealized depreciation of
$10,879,004, resulting in net unrealized appreciation of $3,821,411.
Other information regarding the Fund is available in the Funds
most recent semi-annual and annual reports. This information is
available on the Funds website at www.DUCfund.com or the Securities and
Exchange Commissions website at www.sec.gov.
ITEM 2.
|
CONTROLS AND PROCEDURES.
|
(a)
The registrants principal executive officer and principal financial officer have concluded that the registrants disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the 1940
Act)) are effective, based on an evaluation of those controls and procedures made as of a date within 90 days of the filing date of this report as required by Rule 30a-3(b) under the 1940 Act and Rule 13a-15(b) under the Securities Exchange
Act of 1934.
(b) There has been no change in the registrants internal control over financial reporting (as defined in
Rule 30a-3(d) under the 1940 Act) that occurred during the registrants last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrants internal control over financial reporting.
Exhibit 99.CERT-
Certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Attached hereto.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned,
thereunto duly authorized.
|
|
|
(Registrant)
|
|
DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
|
|
|
By (Signature and Title)
|
|
/s/ A
LAN
M. M
EDER
|
|
|
Alan M. Meder
|
|
|
Treasurer
|
|
|
(Principal Financial and Accounting Officer)
|
|
|
Date
|
|
May 18, 2011
|
Pursuant to the requirements
of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
|
|
|
By (Signature and Title)
|
|
/s/ N
ATHAN
I. P
ARTAIN
|
|
|
Nathan I. Partain
|
|
|
President and Chief Executive Officer
|
|
|
(Principal Executive Officer)
|
|
|
Date
|
|
May 18, 2011
|
|
|
By (Signature and Title)
|
|
/s/ A
LAN
M. M
EDER
|
|
|
Alan M. Meder
|
|
|
Treasurer
|
|
|
(Principal Financial and Accounting Officer)
|
|
|
Date
|
|
May 18, 2011
|
Duff and Phelps Utilitie... (NYSE:DUC)
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