- Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (N-Q)
19 11월 2011 - 5:38AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
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:
September 30,
2011
ITEM 1.
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SCHEDULE OF INVESTMENTS.
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DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
STATEMENT OF NET ASSETS
September 30, 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 - 154.7%
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U.S. Government and Agency Obligations - 0.3%
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Federal National Mortgage Association,
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Pass-Through Certificates,
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$ 175
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8.00%,
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10/01/30
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$
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199,081
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604
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7.00%,
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12/01/31
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696,834
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Government National Mortgage Association
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Pass-Through Certificates,
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12
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7.00%,
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3/15/26
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14,366
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62
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8.00%,
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11/15/30
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73,668
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33
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8.00%,
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2/15/31
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38,928
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Total U.S. Government and Agency Obligations
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(Cost $912,516)
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1,022,877
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Corporate Bonds - 149.1%
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Financial - 35.3%
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5,000
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American Express Co.,
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6.15%,
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8/28/17
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5,722,350
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7,000
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Boeing Capital Corp.,
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6.50%,
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2/15/12 (a)(b)
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7,147,336
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6,000
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Caterpillar Financial Services Corp.,
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6.125%,
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2/17/14
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6,697,992
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5,000
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DaimlerChrysler North America Holding Corp.,
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6.50%,
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11/15/13
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5,492,315
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5,000
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Duke Realty Limited Partnership,
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6.25%,
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5/15/13
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5,223,035
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5,000
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ERP Operating Limited Partnership,
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6.625%,
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3/15/12
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5,117,795
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6,000
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General Electric Capital Corp.,
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4.80%,
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5/01/13 (a)
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6,303,672
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5,000
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The Goldman Sachs Group, Inc.,
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5.50%,
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11/15/14
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5,228,600
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5,000
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JPMorgan Chase & Co.,
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5.375%,
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10/01/12
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5,204,290
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5,000
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JPMorgan Chase & Co.,
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4.75%,
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5/01/13
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5,258,800
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5,000
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Kimco Realty Corp.,
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5.584%,
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11/23/15
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5,347,715
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5,000
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MetLife, Inc.,
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5.50%,
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6/15/14
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5,478,350
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6,000
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Morgan Stanley,
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6.00%,
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4/28/15
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5,976,384
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10,000
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NationsBank Capital Trust IV,
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8.25%,
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4/15/27
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9,350,000
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5,000
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National City Corp.,
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6.875%,
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5/15/19
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5,753,320
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5,000
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Northern Trust Corp.,
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5.50%,
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8/15/13
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5,425,525
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5,000
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Realty Income Corp.,
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6.75%,
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8/15/19
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5,826,510
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6,000
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US Bank, N.A.,
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4.95%,
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10/30/14
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6,534,996
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6,000
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Wachovia Bank NA,
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6.00%,
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11/15/17
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6,657,294
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113,746,279
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DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
STATEMENT OF NET ASSETS-(Continued)
September 30, 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 - 29.1%
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$
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4,000
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Archer-Daniels-Midland Company,
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7.125%,
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3/01/13 (a)
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$
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4,326,400
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6,000
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Coca-Cola Enterprises, Inc.,
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8.50%,
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2/01/12 (a)
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6,151,590
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5,000
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ConocoPhillips
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4.75%,
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2/01/14
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5,443,885
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6,000
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Dow Chemical Company,
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9.00%,
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4/01/21
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7,678,686
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7,000
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Hewlett-Packard Co.,
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6.125%,
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3/01/14 (a)(b)
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7,656,880
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1,827
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Kraft Foods, Inc.,
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6.25%,
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6/01/12
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1,891,963
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5,000
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Sun Company, Inc.,
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9.00%,
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11/01/24
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6,899,875
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5,000
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Target Corp.,
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6.00%,
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1/15/18
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6,064,740
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5,275
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Tele-Communications, Inc.,
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10.125%,
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4/15/22 (a)(b)
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7,573,502
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3,200
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Tele-Communications, Inc.,
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9.875%,
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6/15/22 (a)
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4,544,659
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5,000
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Time Warner Cable, Inc.,
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7.50%,
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4/01/14
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5,658,820
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5,000
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Time Warner Entertainment Company, L.P.,
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8.875%,
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10/01/12 (a)(b)
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5,364,445
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5,000
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Time Warner, Inc.,
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9.15%,
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2/01/23
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6,870,010
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5,000
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Wal-Mart Stores, Inc.,
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6.75%,
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10/15/23
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6,605,500
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5,000
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Wellpoint, Inc.,
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6.80%,
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8/01/12
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5,244,430
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5,000
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Xerox Corp.,
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6.35%,
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5/15/18
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5,691,040
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93,666,425
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Telephone - 13.5%
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10,000
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AT&T Wireless Services, Inc.,
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8.125%,
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5/01/12 (a)(b)
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10,405,050
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5,000
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Deutsche Telekom International Finance,
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5.25%,
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7/22/13
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5,282,665
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6,000
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Rogers Communications, Inc.,
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7.50%,
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3/15/15 (a)
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7,076,982
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5,000
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Telecom Italia Capital SA,
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5.25%,
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10/01/15
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4,771,115
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10,000
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Verizon Global Funding Corp.,
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7.375%,
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9/01/12 (a)(b)
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10,575,100
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5,000
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Vodafone Group PLC,
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5.000%,
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12/16/13
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5,396,075
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43,506,987
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Utilities - 71.2%
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5,000
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American Water Capital Corp.,
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6.085%,
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10/15/17
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5,867,915
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5,000
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American Water Capital Corp.,
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6.593%,
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10/15/37
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5,926,980
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5,000
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Arizona Public Service Co.,
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6.875%,
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|
8/01/36
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|
6,430,230
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DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
STATEMENT OF NET ASSETS-(Continued)
September 30, 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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$ 10,000
|
|
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CalEnergy Company, Inc.,
|
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8.48%,
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|
9/15/28 (a)(b)
|
|
$
|
13,980,850
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|
5,000
|
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|
CenterPoint Energy Resources Corp.,
|
|
|
|
|
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|
6.00%,
|
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|
5/15/18
|
|
|
5,794,815
|
|
|
10,713
|
|
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|
Cleveland Electric Illumination Co.,
|
|
|
|
|
|
|
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|
8.875%,
|
|
|
11/15/18 (a)
|
|
|
14,508,594
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|
|
5,000
|
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|
Commonwealth Edison Co.,
|
|
|
|
|
|
|
|
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|
6.95%,
|
|
|
7/15/18 (a)
|
|
|
5,818,375
|
|
|
5,000
|
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|
Dominion Resources, Inc.
|
|
|
|
|
|
|
|
|
|
5.15%,
|
|
|
7/15/15
|
|
|
5,614,215
|
|
|
8,000
|
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|
|
EQT Corporation,
|
|
|
|
|
|
|
|
|
|
8.125%,
|
|
|
6/01/19 (a)
|
|
|
9,713,504
|
|
|
10,000
|
|
|
|
Entergy Texas, Inc.,
|
|
|
|
|
|
|
|
|
|
7.125%,
|
|
|
2/01/19 (a)(b)
|
|
|
12,140,690
|
|
|
5,475
|
|
|
|
Exelon Generation Co. LLC,
|
|
|
|
|
|
|
|
|
|
6.20%,
|
|
|
10/01/17 (a)
|
|
|
6,181,335
|
|
|
7,750
|
|
|
|
FPL Group Capital Inc.,
|
|
|
|
|
|
|
|
|
|
7.875%,
|
|
|
12/15/15
|
|
|
9,254,136
|
|
|
10,000
|
|
|
|
Hydro-Quebec,
|
|
|
|
|
|
|
|
|
|
7.50%,
|
|
|
4/01/16 (a)(b)
|
|
|
12,431,530
|
|
|
5,000
|
|
|
|
Indiana Michigan Power Co.,
|
|
|
|
|
|
|
|
|
|
7.00%,
|
|
|
3/15/19
|
|
|
6,181,265
|
|
|
5,000
|
|
|
|
Kinder Morgan Energy Partners,
|
|
|
|
|
|
|
|
|
|
7.75%,
|
|
|
3/15/32 (a)
|
|
|
6,266,785
|
|
|
6,000
|
|
|
|
National Grid PLC
|
|
|
|
|
|
|
|
|
|
6.30%,
|
|
|
8/01/16
|
|
|
6,904,884
|
|
|
6,500
|
|
|
|
National Rural Utilities Cooperative Finance Corp.,
|
|
|
|
|
|
|
|
|
|
5.50%,
|
|
|
7/01/13 (a)
|
|
|
7,017,108
|
|
|
7,167
|
|
|
|
Oncor Electric Delivery Co., LLC,
|
|
|
|
|
|
|
|
|
|
6.375%,
|
|
|
5/01/12 (a)(b)
|
|
|
7,380,770
|
|
|
9,441
|
|
|
|
ONEOK Partners, L.P.,
|
|
|
|
|
|
|
|
|
|
6.15%,
|
|
|
10/01/16 (a)
|
|
|
10,737,703
|
|
|
3,690
|
|
|
|
PPL Energy Supply LLC,
|
|
|
|
|
|
|
|
|
|
6.50%,
|
|
|
5/01/18 (a)
|
|
|
4,322,278
|
|
|
5,000
|
|
|
|
PSEG Power LLC,
|
|
|
|
|
|
|
|
|
|
5.32%,
|
|
|
9/15/16 (a)
|
|
|
5,535,815
|
|
|
10,000
|
|
|
|
Progress Energy, Inc.,
|
|
|
|
|
|
|
|
|
|
7.05%,
|
|
|
3/15/19 (a)(b)
|
|
|
12,454,830
|
|
|
8,000
|
|
|
|
Sempra Energy
|
|
|
|
|
|
|
|
|
|
6.15%,
|
|
|
6/15/18
|
|
|
9,436,376
|
|
|
7,785
|
|
|
|
South Carolina Electric & Gas Co.,
|
|
|
|
|
|
|
|
|
|
6.50%,
|
|
|
11/01/18
|
|
|
9,790,221
|
|
|
5,000
|
|
|
|
Spectra Energy Capital LLC,
|
|
|
|
|
|
|
|
|
|
6.20%,
|
|
|
4/15/18
|
|
|
5,656,145
|
|
|
10,000
|
|
|
|
Trans-Canada Pipelines Limited,
|
|
|
|
|
|
|
|
|
|
9.875%,
|
|
|
1/01/21
|
|
|
15,026,790
|
|
|
7,821
|
|
|
|
Williams Partners L.P.,
|
|
|
|
|
|
|
|
|
|
7.25%,
|
|
|
2/01/17 (a)
|
|
|
9,079,696
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
229,453,835
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Corporate Bonds
|
|
|
|
|
|
|
|
|
|
(Cost $468,537,934)
|
|
|
480,373,526
|
|
DUFF & PHELPS UTILITY AND CORPORATE BOND TRUST INC.
STATEMENT OF NET ASSETS-(Continued)
September 30, 2011
(Unaudited)
|
|
|
|
|
|
|
|
|
|
|
|
|
Principal
Amount
(000)
|
|
|
Description
|
|
Value
(Note 1)
|
|
|
|
|
|
|
Asset-Backed Securities - 1.8%
|
|
|
|
|
|
$ 5,000
|
|
|
|
Detroit Edison Securitization Funding LLC 2001-1 A6,
|
|
|
|
|
|
|
|
|
|
6.62%,
|
|
|
3/01/16
|
|
$
|
5,769,888
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Asset-Backed Securities
|
|
|
|
|
|
|
|
|
|
(Cost $5,925,000)
|
|
|
5,769,888
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Non-Convertible Preferred Stock - 3.5%
|
|
|
|
|
|
|
|
|
|
Financial - 3.5%
|
|
|
|
|
|
100,000
|
|
|
|
Duke Realty Corp., Series M,
|
|
|
|
|
|
|
|
|
|
6.95%
|
|
|
|
|
|
2,519,000
|
|
|
100,000
|
|
|
|
Kimco Realty Corp., Series G,
|
|
|
|
|
|
|
|
|
|
7.75%
|
|
|
|
|
|
2,560,000
|
|
|
100,000
|
|
|
|
Realty Income Corp., Series D,
|
|
|
|
|
|
|
|
|
|
7.375%
|
|
|
|
|
|
2,571,000
|
|
|
100,000
|
|
|
|
UDR, Inc., Series G,
|
|
|
|
|
|
|
|
|
|
6.75%
|
|
|
|
|
|
2,525,000
|
|
|
50,000
|
|
|
|
Vornado Realty Trust, Series I,
|
|
|
|
|
|
|
|
|
|
6.625%
|
|
|
|
|
|
1,253,500
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Non-Convertible Preferred Stock
|
|
|
|
|
|
|
|
|
|
(Cost $11,158,000)
|
|
|
11,428,500
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Investments - 154.7%
|
|
|
|
|
|
|
|
|
|
(Cost $486,533,450)
|
|
|
498,594,791
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Other Assets in Excess of Liabilities - 4.3%
|
|
|
13,718,939
|
|
|
|
|
|
|
Borrowings - (29.5)%
|
|
|
(95,000,000)
|
|
|
|
|
|
|
Liquidation Value of Preferred Shares - (29.5)%
|
|
|
(95,000,000)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net Assets Applicable to Common Stock - 100%
|
|
$
|
322,313,730
|
|
|
|
|
|
|
|
|
|
|
|
(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 Fund's 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. For
more information about the Fund's policy regarding valuation of investments and other significant accounting policies, please refer to the Fund's most recent financial statements contained in its semi-annual report.
The following is a summary of the inputs used to value each of the Funds investments as of September 30, 2011:
|
|
|
|
|
|
|
|
|
|
|
Level 1
|
|
|
Level 2
|
|
Asset-backed securities
|
|
$
|
-
|
|
|
$
|
5,769,888
|
|
Corporate bonds
|
|
|
-
|
|
|
|
480,373,526
|
|
Non-convertible preferred stock
|
|
|
11,428,500
|
|
|
|
-
|
|
U.S. Government and Agency obligations
|
|
|
-
|
|
|
|
1,022,877
|
|
Total
|
|
$
|
11,428,500
|
|
|
$
|
487,166,291
|
|
|
|
There were no significant transfers between level 1 and level 2 during the nine months ended September 30, 2011.
(2) The United States federal income tax basis of the Fund's investments and the net unrealized appreciation as of September 30, 2011 were as
follows:
|
|
|
|
|
|
|
Tax Basis of Investments
|
|
Appreciation
|
|
Depreciation
|
|
Net Unrealized Appreciation
|
$486,533,450
|
|
$22,328,573
|
|
$10,267,232
|
|
$12,061,341
|
Other information regarding the Fund is available in the Fund's most recent semi-annual and annual reports. This
information is available on the Fund's website at www.ducfund.com or the Securities and Exchange Commission's 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
|
|
November 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
|
|
November 18, 2011
|
|
|
By (Signature and Title)
|
|
/
S
/ A
LAN
M. M
EDER
|
|
|
Alan M. Meder
|
|
|
Treasurer
|
|
|
(Principal Financial and Accounting Officer)
|
|
|
Date
|
|
November 18, 2011
|
Duff and Phelps Utilitie... (NYSE:DUC)
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