0001752724-21-001381.txt : 20210111
0001752724-21-001381.hdr.sgml : 20210111
20210111162610
ACCESSION NUMBER: 0001752724-21-001381
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201031
FILED AS OF DATE: 20210111
DATE AS OF CHANGE: 20210111
EFFECTIVENESS DATE: 20210111
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DUFF & PHELPS UTILITY & CORPORATE BOND TRUST INC
CENTRAL INDEX KEY: 0000894239
IRS NUMBER: 363869274
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-07358
FILM NUMBER: 21521100
BUSINESS ADDRESS:
STREET 1: 200 SOUTH WACKER DRIVE
STREET 2: SUITE 500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 312-263-2610
MAIL ADDRESS:
STREET 1: 200 S WACKER DRIVE
STREET 2: SUITE 500
CITY: CHICAGO
STATE: IL
ZIP: 60606
N-CEN
1
primary_doc.xml
X0303
N-CEN
LIVE
0000894239
XXXXXXXX
811-07358
false
false
false
N-2
DUFF & PHELPS UTILITY & CORPORATE BOND TRUST INC
811-07358
0000894239
549300QV29DQ04EL0A12
200 SOUTH WACKER DRIVE
SUITE 500
CHICAGO
60606
US-IL
US
800-338-8214
Duff & Phelps Investment Management Co.
200 South Wacker Drive Suite 500
Chicago
60606
800-338-8214
Records related to its functions as investment adviser
Computershare Inc.
P.O. Box 505005
Louisville
40233-5005
866-221-1681
Records related to its functions as transfer agent and shareholder servicing agent
The Bank of New York Mellon
240 Greenwich Street
New York
10286
212-495-1784
Records related to its functions as custodian
Robert W. Baird & Co. Incorporated
500 West Jefferson Street
Louisville
40202
833-604-3163
Records related to its function as administrator
Mayer Brown LLP
71 South Wacker Drive
Chicago
60606-4637
312-782-0600
Records related to its functions as the Funds legal counsel
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Custody and Accounting Records.
N
N
N-2
Y
Geraldine M. McNamara
000000000
N
Nathan I. Partain
002683470
Y
David J. Vitale
000000000
N
Eileen A. Moran
000000000
N
Robert J. Genetski
000000000
N
Donald C. Burke
001849255
N
Philip R. McLoughlin
000000000
N
William J. Renahan
004009328
200 South Wacker Drive
Suite 500
Chicago
60606
XXXXXX
Y
N
N
N
N
N
N
Ernst & Young U.S. LLP
42
254900H1VLSDPE6LJK37
N
N
N
N
N
N
DUFF & PHELPS UTILITY & CORPORATE BOND TRUST INC
549300QV29DQ04EL0A12
N
0
0
0
N/A
N
N
Y
N
N
BNP Paribas Securities Services
549300WCGB70D06XZS54
N
N
Revenue sharing split
101184561.05000000
82872.00000000
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Duff & Phelps Investment Management Co.
801-14813
000107296
549300W01Z54L5RHPJ40
N
Computershare Inc.
084-05925
254900Y7PP3ZED9AUY94
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Ice Data Pricing & Reference Data, LLC
5493000NQ9LYLDBCTL34
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
Computershare Inc.
254900Y7PP3ZED9AUY94
N
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
N
VP Distributors, LLC
008-14100
000003036
549300IW1QX018U5W603
0.00000000
0.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
12551459.45000000
Hilltop Securities Inc.
8-45123
000006220
549300IXU82PMU6XZT45
1020000.00000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
51853625.47000000
MUFG Securities Americas Inc.
8-43026
000019685
K5HU16E3LMSVCCJJJ255
6184880.00000000
71609964.92000000
N
262650313.32000000
Common stock
Common Stock
N
N
N
N
N
N
0.70000000
1.79000000
9.10000000
9.55000000
true
INTERNAL CONTROL RPT
2
NCEN_4424104360250345.txt
Report of Independent Registered Public
Accounting Firm
To the Shareholders and Board of Directors of Duff &
Phelps Utility and Corporate Bond Trust Inc.
In planning and performing our audit of the financial
statements of Duff & Phelps Utility and Corporate Bond
Trust Inc. (the Fund) as of and for the year ended
October 31, 2020, in accordance with the standards of
the Public Company Accounting Oversight Board
(United States), we considered the Fund's internal
control over financial reporting, including controls over
safeguarding securities, as a basis for designing our
auditing procedures for the purpose of expressing our
opinion on the financial statements and to comply with
the requirements of Form N-CEN, but not for the
purpose of expressing an opinion on the effectiveness
of the Fund's internal control over financial reporting.
Accordingly, we express no such opinion.
The management of the Fund is responsible for
establishing and maintaining effective internal control
over financial reporting. In fulfilling this responsibility,
estimates and judgments by management are required
to assess the expected benefits and related costs of
controls. A company's internal control over financial
reporting is a process designed to provide reasonable
assurance regarding the reliability of financial reporting
and the preparation of financial statements for external
purposes in accordance with U.S. generally accepted
accounting principles. A company's internal control
over financial reporting includes those policies and
procedures that (1) pertain to the maintenance of
records that, in reasonable detail, accurately and fairly
reflect the transactions and dispositions of the assets
of the company; (2) provide reasonable assurance that
transactions are recorded as necessary to permit
preparation of financial statements in accordance with
U.S. generally accepted accounting principles, and that
receipts and expenditures of the company are being
made only in accordance with authorizations of
management and directors of the company; and (3)
provide reasonable assurance regarding prevention or
timely detection of unauthorized acquisition, use or
disposition of a company's assets that could have a
material effect on the financial statements.
Because of its inherent limitations, internal control
over financial reporting may not prevent or detect
misstatements. Also, projections of any evaluation of
effectiveness to future periods are subject to the risk
that controls may become inadequate because of
changes in conditions, or that the degree of
compliance with the policies or procedures may
deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a control does
not allow management or employees, in the normal
course of performing their assigned functions, to
prevent or detect misstatements on a timely basis. A
material weakness is a deficiency, or a combination of
deficiencies, in internal control over financial reporting,
such that there is a reasonable possibility that a
material misstatement of the company's annual or
interim financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Fund's internal control over
financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal control
that might be material weaknesses under standards
established by the Public Company Accounting
Oversight Board (United States). However, we noted
no deficiencies in the Fund's internal control over
financial reporting and its operation, including controls
over safeguarding securities, that we consider to be a
material weakness as defined above as of October
31, 2020.
This report is intended solely for the information and
use of management and the Board of Directors of Duff
& Phelps Utility and Corporate Bond Trust Inc. and the
Securities and Exchange Commission and is not
intended to be and should not be used by anyone
other than these specified parties.
/s/Ernst & Young LLP
Chicago, Illinois December 18, 2020