-----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, MyDtPkuNBlVNl9k5Uo2VTFIwrPP6LhzBLitvL5tx+Q1dxjxgRshGqgo2ytwg+leV MoqE04aCVHLh7pVKEH0Wqg== 0001140361-10-031009.txt : 20100802 0001140361-10-031009.hdr.sgml : 20100802 20100802125202 ACCESSION NUMBER: 0001140361-10-031009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100802 DATE AS OF CHANGE: 20100802 EFFECTIVENESS DATE: 20100802 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: 10983455 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: 6/30/2010 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 7/27/2010 - --------------------------------- --------------------------------- ---------- [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: 127 Form 13F Information Table Value Total: $ 284,550 -------------- (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 2259 93383 SH SOLE 93383 0 0 ABBOTT LABS COM 002824100 10053 214910 SH SOLE 214910 0 0 ADOBE SYS INC COM 00724F101 1874 70900 SH SOLE 70900 0 0 ALTRIA GROUP INC COM 02209S103 2254 112464 SH SOLE 112464 0 0 AMAZON COM 023135106 489 4475 SH SOLE 4475 0 0 AMERICA MOVIL S A DE C V SPON ADR L SHS COM 02364W105 214 4500 SH SOLE 4500 0 0 AMERICAN EXPRESS CO COM 025816109 513 12913 SH SOLE 12913 0 0 AMETEK INC NEW COM 031100100 361 9000 SH SOLE 9000 0 0 ANADARKO PETE CORP COM 032511107 311 8605 SH SOLE 8605 0 0 APPLE COMPUTER INC COM 037833100 2406 9567 SH SOLE 9567 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 434 16800 SH SOLE 16800 0 0 BP PLC SPONSORED ADR COM 055622104 2773 96030 SH SOLE 96030 0 0 BANK OF AMERICA CORPORATION COM 060505104 335 23338 SH SOLE 23338 0 0 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 840 7 SH SOLE 7 0 0 BOEING CO COM 097023105 297 4731 SH SOLE 4731 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 721 28902 SH SOLE 28902 0 0 BROWN FORMAN CORP CL B COM 115637209 358 6250 SH SOLE 6250 0 0 CVS CORP COM 126650100 252 8591 SH SOLE 8591 0 0 CAMPBELL SOUP CO COM 134429109 3025 84440 SH SOLE 84440 0 0 CATERPILLAR INC DEL COM 149123101 1461 24320 SH SOLE 24320 0 0 CHEVRON CORP NEW COM 166764100 8953 131940 SH SOLE 131940 0 0 CISCO SYS INC COM 17275R102 3264 153149 SH SOLE 153149 0 0 CITIGROUP INC COM 172967101 188 50047 SH SOLE 50047 0 0 COCA COLA CO COM 191216100 3623 72289 SH SOLE 72289 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A COM 192446102 3004 60000 SH SOLE 60000 0 0 COLGATE PALMOLIVE CO COM 194162103 6422 81534 SH SOLE 81534 0 0 COMBINATORX INC COM 20010A103 305 210000 SH SOLE 210000 0 0 CONOCOPHILLIPS COM 20825C104 4058 82658 SH SOLE 82658 0 0 CROWN HOLDINGS INC COM 228368106 2880 115000 SH SOLE 115000 0 0 DEERE & CO COM 244199105 220 3960 SH SOLE 3960 0 0 DEL MONTE FOODS CO COM 24522P103 2015 140000 SH SOLE 140000 0 0 DEVON ENERGY CORP NEW COM 25179M103 2772 45500 SH SOLE 45500 0 0 DIEBOLD INC COM 253651103 2112 77500 SH SOLE 77500 0 0 DISNEY WALT CO DISNEY COM 254687106 363 11520 SH SOLE 11520 0 0 DOLBY LABORATORIES INC COM 25659T107 4415 70425 SH SOLE 70425 0 0 DOVER CORP COM 260003108 501 12000 SH SOLE 12000 0 0 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 6293 168305 SH SOLE 168305 0 0 E M C CORP MASS COM 268648102 485 26500 SH SOLE 26500 0 0 EBAY INC COM 278642103 302 15418 SH SOLE 15418 0 0 EMERITUS CORP COM 291005106 245 15000 SH SOLE 15000 0 0 EMERSON ELEC CO COM 291011104 5301 121340 SH SOLE 121340 0 0 EXPEDITORS INTL WASH INC COM 302130109 242 7000 SH SOLE 7000 0 0 EXXON MOBIL CORP COM 30231G102 11707 205137 SH SOLE 205137 0 0 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 2403 40643 SH SOLE 40643 0 0 GALLAGHER ARTHUR J & CO COM 363576109 3095 126940 SH SOLE 126940 0 0 GENERAL AMERN INVS INC COM 368802104 458 21408 SH SOLE 21408 0 0 GENERAL ELEC CO COM 369604103 5200 360576 SH SOLE 360576 0 0 GENERAL MLS INC COM 370334104 290 8160 SH SOLE 8160 0 0 GILEAD SCIENCES INC COM 375558103 277 8090 SH SOLE 8090 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 541 15919 SH SOLE 15919 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1090 8303 SH SOLE 8303 0 0 GOOGLE INC CL A COM 38259P508 343 771 SH SOLE 771 0 0 GREENHILL & CO INC COM 395259104 1651 27000 SH SOLE 27000 0 0 HEINZ H J CO COM 423074103 563 13022 SH SOLE 13022 0 0 HEWLETT PACKARD CO COM 428236103 852 19691 SH SOLE 19691 0 0 HOME DEPOT INC COM 437076102 2655 94600 SH SOLE 94600 0 0 HONEYWELL INTL INC COM 438516106 6623 169680 SH SOLE 169680 0 0 ITT INDS INC IND COM 450911102 3931 87500 SH SOLE 87500 0 0 ILLINOIS TOOL WKS INC COM 452308109 231 5600 SH SOLE 5600 0 0 INTEL CORP COM 458140100 1295 66565 SH SOLE 66565 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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- INTERNATIONAL BUSINESS MACHS COM 459200101 11911 96465 SH SOLE 96465 0 0 ISHARES INC MSCI GERMAN COM 464286806 1818 97165 SH SOLE 97165 0 0 ISHARES INC MSCI JAPAN COM 464286848 205 22300 SH SOLE 22300 0 0 ISHARES TR S&P 100 IDX FD COM 464287101 270 5750 SH SOLE 5750 0 0 ISHARES TR DJ SEL DIV INX COM 464287168 1293 30462 SH SOLE 30462 0 0 JPMORGAN & CHASE & CO COM 46625H100 2695 73612 SH SOLE 73612 0 0 JOHNSON & JOHNSON COM 478160104 9873 167167 SH SOLE 167167 0 0 KIMBERLY CLARK CORP COM 494368103 4899 80798 SH SOLE 80798 0 0 KRAFT FOODS INC CL A COM 50075N104 17685 631612 SH SOLE 631612 0 0 LEXICON GENETICS INC COM 528872104 21 16500 SH SOLE 16500 0 0 LOEWS CORP COM 540424108 726 21800 SH SOLE 21800 0 0 LOWES COS INC COM 548661107 217 10650 SH SOLE 10650 0 0 MGT CAPITAL INVTS INC COM COM 55302P103 21 102273 SH SOLE 102273 0 0 MARATHON OIL CORP COM 565849106 347 11150 SH SOLE 11150 0 0 MARSH & MCLENNAN COS INC COM 571748102 4771 211588 SH SOLE 211588 0 0 MCCORMICK & CO INC VTG COM 579780107 312 8200 SH SOLE 8200 0 0 MCDONALDS CORP COM 580135101 1331 20200 SH SOLE 20200 0 0 MCKESSON CORP COM 58155Q103 201 3000 SH SOLE 3000 0 0 MEDTRONIC INC COM 585055106 337 9300 SH SOLE 9300 0 0 MICROS SYS INC COM 594901100 2550 80000 SH SOLE 80000 0 0 MICROSOFT CORP COM 594918104 2125 92338 SH SOLE 92338 0 0 MONSANTO CO NEW COM 61166W101 1875 40575 SH SOLE 40575 0 0 MORGAN STANLEY NEW COM 617446448 222 9550 SH SOLE 9550 0 0 MYLAN LABS INC COM 628530107 430 25210 SH SOLE 25210 0 0 NEWMONT MINING CORP COM 651639106 5110 82760 SH SOLE 82760 0 0 NUVASIVE INC COM 670704105 216 6100 SH SOLE 6100 0 0 PPG INDS INC COM 693506107 2894 47910 SH SOLE 47910 0 0 PAN AMERICAN SILVER CORP COM 697900108 267 10581 SH SOLE 10581 0 0 PARKER HANNIFIN CORP COM 701094104 3319 59850 SH SOLE 59850 0 0 PEPSICO INC COM 713448108 4249 69712 SH SOLE 69712 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED COM 71654V408 2009 58540 SH SOLE 58540 0 0 ADR PETSMART INC COM 716768106 2112 70000 SH SOLE 70000 0 0 PFIZER INC COM 717081103 2388 167457 SH SOLE 167457 0 0 PHILIP MORRIS INTL INC COM COM 718172109 7775 169615 SH SOLE 169615 0 0 PITNEY BOWES INC COM 724479100 2569 117000 SH SOLE 117000 0 0 POTASH CORP SASK INC COM 73755L107 721 8360 SH SOLE 8360 0 0 POZEN INC COM 73941U102 70 10000 SH SOLE 10000 0 0 PRECISION CASTPARTS CORP COM 740189105 2058 20000 SH SOLE 20000 0 0 PROCTER & GAMBLE CO COM 742718109 5654 94269 SH SOLE 94269 0 0 PRUDENTIAL PLC ADR COM 74435K204 411 27520 SH SOLE 27520 0 0 RAYTHEON CO NEW COM 755111507 6620 136800 SH SOLE 136800 0 0 RESMED INC COM 761152107 225 3700 SH SOLE 3700 0 0 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 3831 79350 SH SOLE 79350 0 0 SPDR TR UNIT SER 1 COM 78462F103 4653 45076 SH SOLE 45076 0 0 ST JUDE MED INC COM 790849103 244 6750 SH SOLE 6750 0 0 SCHLUMBERGER LTD COM 806857108 3609 65210 SH SOLE 65210 0 0 SULPHCO INC COM 865378103 3 12000 SH SOLE 12000 0 0 SYSCO CORP COM 871829107 1385 48485 SH SOLE 48485 0 0 TJX COS INC NEW COM 872540109 365 8700 SH SOLE 8700 0 0 TELEFONICA S A SPONSORED ADR COM 879382208 260 4677 SH SOLE 4677 0 0 TEVA PHARMACEUTICAL INDS LTD ADR COM 881624209 241 4627 SH SOLE 4627 0 0 THERMO ELECTRON CORP COM 883556102 276 5628 SH SOLE 5628 0 0 3M CO COM 88579Y101 604 7647 SH SOLE 7647 0 0 TORCHMARK CORP COM 891027104 297 6000 SH SOLE 6000 0 0 USA TREASURY NOTES COM 912828BH2 2749 25000 SH SOLE 25000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 386 5941 SH SOLE 5941 0 0 VODAFONE GROUP ADR COM 92857W209 1452 70227 SH SOLE 70227 0 0 WMS INDS INC COM COM 929297109 2551 65000 SH SOLE 65000 0 0 WAL MART STORES INC COM 931142103 1627 33850 SH SOLE 33850 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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- WAVE SYSTEMS CORP COM 943526301 924 285228 SH SOLE 285228 0 0 WESTWAY GROUP INC COM 96169B100 45 11083 SH SOLE 11083 0 0 WEYERHAEUSER CO COM 962166104 1707 48500 SH SOLE 48500 0 0 WHOLE FOODS MKT INC COM 966837106 404 11206 SH SOLE 11206 0 0 YUM BRANDS INC COM 988498101 302 7745 SH SOLE 7745 0 0 INGERSOLL-RAND PLC SHS COM G47791101 6201 179800 SH SOLE 179800 0 0 INVESCO LTD SHS COM G491BT108 1498 88997 SH SOLE 88997 0 0 LAZARD LTD SHS A ADDED COM G54050102 1736 65000 SH SOLE 65000 0 0
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