-----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, HZd9tmXDryqSd3qy7uRmRpcXIIj/ffQP9n0/QJaq+90Paz0McVWzyPiGJTAYe7WQ 92rNEa9C93l8LLzaE2yvQQ== 0001140361-10-020240.txt : 20100511 0001140361-10-020240.hdr.sgml : 20100511 20100511064154 ACCESSION NUMBER: 0001140361-10-020240 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100511 DATE AS OF CHANGE: 20100511 EFFECTIVENESS DATE: 20100511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Rathbone Brothers plc CENTRAL INDEX KEY: 0001351991 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11582 FILM NUMBER: 10818979 BUSINESS ADDRESS: STREET 1: PORT OF LIVERPOOL BUILDING STREET 2: PIER HEAD CITY: LIVERPOOL STATE: X0 ZIP: L31NW BUSINESS PHONE: 00441512437155 MAIL ADDRESS: STREET 1: PORT OF LIVERPOOL BUILDING STREET 2: PIER HEAD CITY: LIVERPOOL STATE: X0 ZIP: L31NW 13F-HR 1 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/2010 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: Rathbones Brothers Plc Address: Port of Liverpool Building Pier Head, Liverpool, UK L3 1NW Form 13F File Number: 28-00000 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Nick Johnson Title: Senior Projects Manager Phone: 00-44-151-243-7155 Signature, Place, and Date of Signing: /s/ Nick Johnson LIVERPOOL, UK 4/27/2010 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 129 Form 13F Information Table Value Total: $ 312,506 -------------- (In Thousands) 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 which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 028-00000 RATHBONE BROTHERS PLC - ---- -------------------- ----------------------------------------------------
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- AT&T INC COM 00206R102 2413 93383 SH SOLE 93383 0 0 ABBOTT LABS COM 002824100 10868 206310 SH SOLE 206310 0 0 ADOBE SYS INC COM 00724F101 2508 70900 SH SOLE 70900 0 0 ADVENTRX PHARMACEUTICALS INC COM 00764X103 138 635000 SH SOLE 635000 0 0 ALTRIA GROUP INC COM 02209S103 2508 122199 SH SOLE 122199 0 0 AMAZON COM 023135106 292 2150 SH SOLE 2150 0 0 AMERICA MOVIL S A DE C V SPON ADR L SHS COM 02364W105 227 4500 SH SOLE 4500 0 0 AMERICAN EXPRESS CO COM 025816109 533 12913 SH SOLE 12913 0 0 AMETEK INC NEW COM 031100100 373 9000 SH SOLE 9000 0 0 AMGEN INC COM 031162100 201 3355 SH SOLE 3355 0 0 ANADARKO PETE CORP COM 032511107 356 4890 SH SOLE 4890 0 0 APPLE COMPUTER INC COM 037833100 2119 9017 SH SOLE 9017 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 457 15800 SH SOLE 15800 0 0 BP PLC SPONSORED ADR COM 055622104 4337 75980 SH SOLE 75980 0 0 BANK OF AMERICA CORPORATION COM 060505104 444 24848 SH SOLE 24848 0 0 BAXTER INTL INC COM 071813109 250 4300 SH SOLE 4300 0 0 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 853 7 SH SOLE 7 0 0 BOEING CO COM 097023105 334 4606 SH SOLE 4606 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 772 28902 SH SOLE 28902 0 0 BROWN FORMAN CORP CL B COM 115637209 372 6250 SH SOLE 6250 0 0 CVS CORP COM 126650100 314 8591 SH SOLE 8591 0 0 CAMPBELL SOUP CO COM 134429109 2985 84440 SH SOLE 84440 0 0 CATERPILLAR INC DEL COM 149123101 1529 24320 SH SOLE 24320 0 0 CHEVRON CORP NEW COM 166764100 10082 132955 SH SOLE 132955 0 0 CISCO SYS INC COM 17275R102 1365 52429 SH SOLE 52429 0 0 CITIGROUP INC COM 172967101 87 21597 SH SOLE 21597 0 0 COCA COLA CO COM 191216100 2353 42779 SH SOLE 42779 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A COM 192446102 2549 50000 SH SOLE 50000 0 0 COLGATE PALMOLIVE CO COM 194162103 5133 60199 SH SOLE 60199 0 0 COMBINATORX INC COM 20010A103 208 175000 SH SOLE 175000 0 0 CONOCOPHILLIPS COM 20825C104 4114 80397 SH SOLE 80397 0 0 CROWN HOLDINGS INC COM 228368106 3100 115000 SH SOLE 115000 0 0 DEERE & CO COM 244199105 509 8560 SH SOLE 8560 0 0 DEVON ENERGY CORP NEW COM 25179M103 2937 45585 SH SOLE 45585 0 0 DIEBOLD INC COM 253651103 1906 60000 SH SOLE 60000 0 0 DISNEY WALT CO DISNEY COM 254687106 439 12570 SH SOLE 12570 0 0 DOLBY LABORATORIES INC COM 25659T107 4987 85000 SH SOLE 85000 0 0 DOVER CORP COM 260003108 561 12000 SH SOLE 12000 0 0 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 5922 168389 SH SOLE 168389 0 0 E M C CORP MASS COM 268648102 226 12500 SH SOLE 12500 0 0 EBAY INC COM 278642103 470 17425 SH SOLE 17425 0 0 EMERITUS CORP COM 291005106 305 15000 SH SOLE 15000 0 0 EMERSON ELEC CO COM 291011104 6009 119370 SH SOLE 119370 0 0 EXPEDITORS INTL WASH INC COM 302130109 258 7000 SH SOLE 7000 0 0 EXXON MOBIL CORP COM 30231G102 16142 241003 SH SOLE 241003 0 0 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 3395 40643 SH SOLE 40643 0 0 GALLAGHER ARTHUR J & CO COM 363576109 3116 126940 SH SOLE 126940 0 0 GENERAL AMERN INVS INC COM 368802104 588 23733 SH SOLE 23733 0 0 GENERAL ELEC CO COM 369604103 6526 358562 SH SOLE 358562 0 0 GENERAL MLS INC COM 370334104 289 4080 SH SOLE 4080 0 0 GILEAD SCIENCES INC COM 375558103 326 7160 SH SOLE 7160 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 613 15919 SH SOLE 15919 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1512 8864 SH SOLE 8864 0 0 GOOGLE INC CL A COM 38259P508 463 816 SH SOLE 816 0 0 GREENHILL & CO INC COM 395259104 2216 27000 SH SOLE 27000 0 0 HSBC HLDGS PLC SPON ADR NEW COM 404280406 1267 25000 SH SOLE 25000 0 0 HEINZ H J CO COM 423074103 567 12422 SH SOLE 12422 0 0 HEWLETT PACKARD CO COM 428236103 767 14424 SH SOLE 14424 0 0 HOME DEPOT INC COM 437076102 2413 74600 SH SOLE 74600 0 0 HONEYWELL INTL INC COM 438516106 7781 171880 SH SOLE 171880 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- ITT INDS INC IND COM 450911102 4691 87500 SH SOLE 87500 0 0 INTEL CORP COM 458140100 1003 45015 SH SOLE 45015 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 11696 91195 SH SOLE 91195 0 0 ISHARES INC MSCI GERMAN COM 464286806 2157 98610 SH SOLE 98610 0 0 ISHARES INC MSCI JAPAN COM 464286848 233 22300 SH SOLE 22300 0 0 ISHARES TR S&P 100 IDX FD COM 464287101 308 5750 SH SOLE 5750 0 0 ISHARES TR DJ SEL DIV INX COM 464287168 2313 50262 SH SOLE 50262 0 0 JPMORGAN & CHASE & CO COM 46625H100 3349 74829 SH SOLE 74829 0 0 JOHNSON & JOHNSON COM 478160104 11134 170762 SH SOLE 170762 0 0 KIMBERLY CLARK CORP COM 494368103 4364 69398 SH SOLE 69398 0 0 KRAFT FOODS INC CL A COM 50075N104 18222 602565 SH SOLE 602565 0 0 LEXICON GENETICS INC COM 528872104 25 16500 SH SOLE 16500 0 0 LIFE TECHNOLOGIES CORP COM COM 53217V109 220 4207 SH SOLE 4207 0 0 LILLY ELI & CO COM 532457108 206 5684 SH SOLE 5684 0 0 LOEWS CORP COM 540424108 906 24300 SH SOLE 24300 0 0 MGT CAPITAL INVTS INC COM COM 55302P103 26 102273 SH SOLE 102273 0 0 MARATHON OIL CORP COM 565849106 380 12000 SH SOLE 12000 0 0 MARSH & MCLENNAN COS INC COM 571748102 5388 220658 SH SOLE 220658 0 0 MCCORMICK & CO INC VTG COM 579780107 315 8200 SH SOLE 8200 0 0 MCDONALDS CORP COM 580135101 1079 16165 SH SOLE 16165 0 0 MEDTRONIC INC COM 585055106 752 16710 SH SOLE 16710 0 0 MICROS SYS INC COM 594901100 2631 80000 SH SOLE 80000 0 0 MICROSOFT CORP COM 594918104 1405 47970 SH SOLE 47970 0 0 MONSANTO CO NEW COM 61166W101 9732 136263 SH SOLE 136263 0 0 MORGAN STANLEY NEW COM 617446448 300 10250 SH SOLE 10250 0 0 MYLAN LABS INC COM 628530107 596 26240 SH SOLE 26240 0 0 NEWMONT MINING CORP COM 651639106 4303 84480 SH SOLE 84480 0 0 NUVASIVE INC COM 670704105 276 6100 SH SOLE 6100 0 0 PPG INDS INC COM 693506107 3172 48500 SH SOLE 48500 0 0 PAN AMERICAN SILVER CORP COM 697900108 240 10420 SH SOLE 10420 0 0 PARKER HANNIFIN CORP COM 701094104 5856 90450 SH SOLE 90450 0 0 PEPSICO INC COM 713448108 5152 77877 SH SOLE 77877 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED COM 71654V408 2602 58474 SH SOLE 58474 0 0 ADR PFIZER INC COM 717081103 2521 147017 SH SOLE 147017 0 0 PHILIP MORRIS INTL INC COM COM 718172109 6225 119340 SH SOLE 119340 0 0 PITNEY BOWES INC COM 724479100 2787 114000 SH SOLE 114000 0 0 POTASH CORP SASK INC COM 73755L107 998 8360 SH SOLE 8360 0 0 PROCTER & GAMBLE CO COM 742718109 5962 94226 SH SOLE 94226 0 0 PROSHARES TR ULTRA FINL PRO COM 74347R743 68 10000 SH SOLE 10000 0 0 PRUDENTIAL PLC ADR COM 74435K204 481 29020 SH SOLE 29020 0 0 RAYTHEON CO NEW COM 755111507 7785 136300 SH SOLE 136300 0 0 RESMED INC COM 761152107 236 3700 SH SOLE 3700 0 0 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 4390 79350 SH SOLE 79350 0 0 SPDR TR UNIT SER 1 COM 78462F103 3711 31721 SH SOLE 31721 0 0 ST JUDE MED INC COM 790849103 271 6600 SH SOLE 6600 0 0 SCHLUMBERGER LTD COM 806857108 5340 84142 SH SOLE 84142 0 0 SOTHEBYS HLDGS INC CL A COM 835898107 1407 45255 SH SOLE 45255 0 0 SULPHCO INC COM 865378103 3 12000 SH SOLE 12000 0 0 SYSCO CORP COM 871829107 1580 53550 SH SOLE 53550 0 0 TJX COS INC NEW COM 872540109 370 8700 SH SOLE 8700 0 0 TELEFONICA S A SPONSORED ADR COM 879382208 333 4677 SH SOLE 4677 0 0 TEVA PHARMACEUTICAL INDS LTD ADR COM 881624209 299 4739 SH SOLE 4739 0 0 THERMO ELECTRON CORP COM 883556102 295 5728 SH SOLE 5728 0 0 3M CO COM 88579Y101 676 8087 SH SOLE 8087 0 0 TORCHMARK CORP COM 891027104 321 6000 SH SOLE 6000 0 0 USA TREASURY NOTES COM 912828BH2 2706 25000 SH SOLE 25000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 444 6028 SH SOLE 6028 0 0 VODAFONE GROUP ADR COM 92857W209 1527 65527 SH SOLE 65527 0 0 WMS INDS INC COM COM 929297109 2726 65000 SH SOLE 65000 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------- -------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- WAL MART STORES INC COM 931142103 1824 32814 SH SOLE 32814 0 0 WALGREEN CO COM 931422109 394 10610 SH SOLE 10610 0 0 WAVE SYSTEMS CORP COM 943526301 1141 285228 SH SOLE 285228 0 0 WELLS FARGO & CO NEW COM 949746101 222 7122 SH SOLE 7122 0 0 WESTWAY GROUP INC COM 96169B100 50 11083 SH SOLE 11083 0 0 WEYERHAEUSER CO COM 962166104 2196 48500 SH SOLE 48500 0 0 WHOLE FOODS MKT INC COM 966837106 769 21260 SH SOLE 21260 0 0 INGERSOLL-RAND PLC SHS COM G47791101 6270 179800 SH SOLE 179800 0 0 INVESCO LTD SHS COM G491BT108 2141 97731 SH SOLE 97731 0 0 LAZARD LTD SHS A ADDED COM G54050102 2321 65000 SH SOLE 65000 0 0
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