-----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, UgtflpQ9LN0fCaMUKWsgQBI3qW5IzBStuPIieohWkveMsBjJygzBBaxPyijXMXUw d15dDunqTAhY00q6eESTVQ== 0001140361-11-008034.txt : 20110211 0001140361-11-008034.hdr.sgml : 20110211 20110211104329 ACCESSION NUMBER: 0001140361-11-008034 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110211 EFFECTIVENESS DATE: 20110211 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: 11595652 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: 12/31/2010 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 2/3/2011 - --------------------------------- --------------------------------- ---------- [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: 131 Form 13F Information Table Value Total: $ 226,655 -------------- (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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- BRISTOL-MYERS SQUIBB CO NPV Common Stock COM 110122108 745 28143 SH SOLE 28143 0 0 BROWN-FORMAN CORP US$0.15 B Common Stock COM 115637209 435 6250 SH SOLE 6250 0 0 CVS CORP US$0.01 Common Stock COM 126650100 282 8105 SH SOLE 8105 0 0 CANADIAN IMPERIAL BANK NPV Common Stock COM 136069101 7076 89758 SH SOLE 89758 0 0 CATERPILLAR INC US$1 Common Stock COM 149123101 1327 14170 SH SOLE 14170 0 0 CEL-SCI CORP US$0.01 Common Stock COM 150837409 99 120000 SH SOLE 120000 0 0 CELL THERAPEUTICS INC NPV Shares COM 150934503 11 30000 SH SOLE 30000 0 0 CHEVRON CORP US$0.75 Common Stock COM 166764100 8159 89416 SH SOLE 89416 0 0 CITIGROUP INC US$0.01 Common Stock COM 172967101 543 114847 SH SOLE 114847 0 0 CLAUDE RESOURCES INC NPV Common Stock COM 182873109 38 17000 SH SOLE 17000 0 0 COCA-COLA CO US$0.25 Common Stock COM 191216100 7259 110377 SH SOLE 110377 0 0 COLGATE-PALMOLIVE CO NPV Common Stock COM 194162103 7429 92429 SH SOLE 92429 0 0 DEERE & CO US$1 Common Stock COM 244199105 1058 12743 SH SOLE 12743 0 0 DENISON MINES INC NPV Common Stock COM 248356107 121 35252 SH SOLE 35252 0 0 DIEBOLD INC US$1.25 Common Stock COM 253651103 240 7500 SH SOLE 7500 0 0 WALT DISNEY (HLDGS) CO US$0.1 Common COM 254687106 443 11800 SH SOLE 11800 0 0 Stock DOVER CORP US$1 Common Stock COM 260003108 701 12000 SH SOLE 12000 0 0 EMC CORP MASSACHUSETTS US$0.01 Common COM 268648102 607 26500 SH SOLE 26500 0 0 Stock EMERSON ELECTRIC CO US$0.50 Common Stock COM 291011104 1951 34120 SH SOLE 34120 0 0 ENCANA CORP NPV Common Stock COM 292505104 510 17428 SH SOLE 17428 0 0 EXPEDITOR INTL OF WASHINGTON US$0.01 COM 302130109 382 7000 SH SOLE 7000 0 0 Common Stock FRONTEER DEVELOPMENT GROUP INC NPV COM 359032109 232 19859 SH SOLE 19859 0 0 Common Stock GALLAGHER AJ & CO US$1 Common Stock COM 363576109 3673 126290 SH SOLE 126290 0 0 GENERAL AMERICAN INVESTORS CO US$1 COM 368802104 294 10975 SH SOLE 10975 0 0 Common Stock GENERAL ELECTRIC CORP US$0.06 Common COM 369604103 5374 293836 SH SOLE 293836 0 0 Stock GENERAL MILLS INC US$0.10 Common Stock COM 370334104 233 6560 SH SOLE 6560 0 0 GILEAD SCIENCES INC US$0.001 Common Stock COM 375558103 302 8340 SH SOLE 8340 0 0 HEINZ (HJ) CO US$0.25 Common Stock COM 423074103 608 12302 SH SOLE 12302 0 0 HEWLETT-PACKARD CORP NPV Common Stock COM 428236103 266 6310 SH SOLE 6310 0 0 HOME DEPOT INC US$0.05 Common Stock COM 437076102 526 15014 SH SOLE 15014 0 0 HONEYWELL INTERNATIONAL INC US$1 Common COM 438516106 4103 77180 SH SOLE 77180 0 0 Stock ITT INDUSTRIES INC US$1 Common Stock COM 450911102 391 7500 SH SOLE 7500 0 0 ILLINOIS TOOL WORKS INC NPV Common Stock COM 452308109 299 5600 SH SOLE 5600 0 0 IMPERIAL OIL NPV Common Stock COM 453038408 216 5300 SH SOLE 5300 0 0 INTEL CORP US$0.001 Common Stock COM 458140100 1743 82882 SH SOLE 82882 0 0 IBM CORP US$0.20 Common Stock COM 459200101 7777 52994 SH SOLE 52994 0 0 ISHARES INC MSCI Canada Index Fund COM 464286509 609 19660 SH SOLE 19660 0 0 ISHARES INC MSCI Pacific Ex Japan Index COM 464286665 239 5095 SH SOLE 5095 0 0 Fd ISHARES INC MSCI Germany Index Fund COM 464286806 742 30990 SH SOLE 30990 0 0 ISHARES INC MSCI Japan Index Fund COM 464286848 293 26860 SH SOLE 26860 0 0 ISHARES PLC S&P 100 Index Fund COM 464287101 326 5750 SH SOLE 5750 0 0 ISHARES TRUST Dow Jones Select Div Index COM 464287168 1503 30142 SH SOLE 30142 0 0 ISHARES INC S&P 500 Index Fund COM 464287200 230 1820 SH SOLE 1820 0 0 ISHARES TRUST MSCI Emerging Markets Index COM 464287234 410 8615 SH SOLE 8615 0 0 ISHARES TRUST DJ Intl Select Div Index COM 464288448 257 7630 SH SOLE 7630 0 0 Fund IVANHOE ENERGY INC NPV Common Stock COM 465790103 1388 506588 SH SOLE 506588 0 0 JOHNSON & JOHNSON US$1 Common Stock COM 478160104 5277 85323 SH SOLE 85323 0 0 KANDI TECHNOLOGIES US$0.001 Common Stock COM 483709101 58 11000 SH SOLE 11000 0 0 KIMBERLEY CLARK CORP NPV Common Stock COM 494368103 1327 21048 SH SOLE 21048 0 0 LEXICON GENETICS INC US$0.001 Common COM 528872104 24 16500 SH SOLE 16500 0 0 Stock
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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- LILLY (ELI) & CO NPV Common Stock COM 532457108 226 6439 SH SOLE 6439 0 0 LOCKHEED MARTIN CO US$1 Common Stock COM 539830109 367 5250 SH SOLE 5250 0 0 LOEWS CORP US$1 Common Stock COM 540424108 848 21800 SH SOLE 21800 0 0 LOWES COS INC US$0.50 Common Stock COM 548661107 261 10400 SH SOLE 10400 0 0 MARSH & MCLENNAN CO INC US$1 Common Stock COM 571748102 4847 177276 SH SOLE 177276 0 0 MCCORMICK & CO INC NPV Vtg Common Stock COM 579780107 331 7000 SH SOLE 7000 0 0 MCDONALD'S CORP US$0.01 Common Stock COM 580135101 1538 20040 SH SOLE 20040 0 0 MEDTRONIC INC US$0.10 Common Stock COM 585055106 289 7800 SH SOLE 7800 0 0 MICROSOFT CORP NPV Common Stock COM 594918104 4447 159323 SH SOLE 159323 0 0 MORGAN STANLEY US$0.01 Common Stock COM 617446448 213 7830 SH SOLE 7830 0 0 MYLAN INC US$0.50 Common Stock COM 628530107 533 25210 SH SOLE 25210 0 0 NATIONAL OILWELL VARCO INC US$0.01 COM 637071101 239 3554 SH SOLE 3554 0 0 Common Stock NEWMONT MINING CORP US$1.60 Common Stock COM 651639106 5263 85680 SH SOLE 85680 0 0 PPG INDUSTRIES INC US$1.666 Common Stock COM 693506107 1506 17910 SH SOLE 17910 0 0 PAN AMERICAN SILVER CORP NPV Common Stock COM 697900108 424 10296 SH SOLE 10296 0 0 PARKER-HANNIFIN CORP US$0.50 Common Stock COM 701094104 1282 14850 SH SOLE 14850 0 0 PEABODY ENERGY CORP US$0.01 Common Stock COM 704549104 342 5340 SH SOLE 5340 0 0 PEPSICO INC US$0.016666 Cap COM 713448108 4472 68448 SH SOLE 68448 0 0 PFIZER INC US$0.05 Common Stock COM 717081103 2801 159943 SH SOLE 159943 0 0 PHILIP MORRIS INTL INC NPV Common Stock COM 718172109 6610 112933 SH SOLE 112933 0 0 PITNEY BOWES INC US$1 Common Stock COM 724479100 411 17000 SH SOLE 17000 0 0 PROCTER & GAMBLE CO NPV Common Stock COM 742718109 5695 88530 SH SOLE 88530 0 0 RADIENT PHARMACEUTICALS INC US$0.001 COM 750341109 41 41000 SH SOLE 41000 0 0 Common Stock (2006) RAYTHEON CO US$0.01 Common Stock COM 755111507 3073 66320 SH SOLE 66320 0 0 RESMED INC US$0.004 Common Stock COM 761152107 253 7300 SH SOLE 7300 0 0 ROYAL BANK OF CANADA NPV Common Stock COM 780087102 16770 318521 SH SOLE 318521 0 0 ROYAL BANK OF SCOTLAND GROUP Spon ADR COM 780097879 2391 113200 SH SOLE 113200 0 0 Rep 1 Pref Ser H ROYAL DUTCH SHELL EUR0.07 ADR Ea Rep 2 COM 780259107 557 8350 SH SOLE 8350 0 0 Cls B Shs ROYAL DUTCH SHELL PLC ADR Ech Rep 2 Cl A COM 780259206 217 3250 SH SOLE 3250 0 0 EUR0.07 Shs ST JUDE MEDICAL INC US$0.10 Common Stock COM 790849103 289 6750 SH SOLE 6750 0 0 SCHLUMBERGER LTD US$0.01 Common Stock COM 806857108 5269 63103 SH SOLE 63103 0 0 SOTHEBY'S HOLDINGS A US$0.10 Common Stock COM 835898107 351 7790 SH SOLE 7790 0 0 SULPHCO INC US$0.001 Common Stock COM 865378103 2 12000 SH SOLE 12000 0 0 SUNCOR ENERGY INC New NPV Common Stock COM 867224107 625 16215 SH SOLE 16215 0 0 (CA$) SYSCO CORP NPV Common Stock COM 871829107 1358 46185 SH SOLE 46185 0 0 T.J.X. COMPANIES INC NPV Common Stock COM 872540109 386 8700 SH SOLE 8700 0 0 TATA MOTORS LTD ADR Each Rep 1 INR10 Ord COM 876568502 205 7000 SH SOLE 7000 0 0 Shs THERMO FISHER SCIENTIFIC INC US$1 Common COM 883556102 350 6328 SH SOLE 6328 0 0 Stock THOMSON REUTERS CORP NPV Common Stock COM 884903105 3320 88582 SH SOLE 88582 0 0 TORONTO-DOMINION BANK NPV Common Stock COM 891160509 1376 18410 SH SOLE 18410 0 0 TRANSWITCH CORP US0.01 Common Stock COM 894065309 45 20625 SH SOLE 20625 0 0 UTD TECHNOLOGIES CORP US$1 Common Stock COM 913017109 468 5941 SH SOLE 5941 0 0 WAL-MART STORES INC US$0.1 Common Stock COM 931142103 1545 28650 SH SOLE 28650 0 0 WAVE SYSTEMS CORP US$0.01 Class A Common COM 943526301 1124 285228 SH SOLE 285228 0 0 Stock WHOLE FOODS MARKET INC NPV Common Stock COM 966837106 551 10894 SH SOLE 10894 0 0 YUM BRANDS INC NPV Common Stock COM 988498101 496 10119 SH SOLE 10119 0 0 AT&T INC US$1 Common Stock COM 00206R102 570 19398 SH SOLE 19398 0 0 ALTRIA GROUP INC US$0.333333 Common Stock COM 02209S103 1098 44589 SH SOLE 44589 0 0 BCE INC NPV Common Stock COM 05534B760 735 20670 SH SOLE 20670 0 0 CAMECO CORP NPV Common Stock COM 13321L108 3458 85260 SH SOLE 85260 0 0 CANADIAN PACIFIC RAILWAYS NPV Common COM 13645T100 681 10474 SH SOLE 10474 0 0 Stock
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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- CENOVUS ENERGY INC NPV Common Stock COM 15135U109 652 19472 SH SOLE 19472 0 0 CISCO SYSTEMS INC Common Stock COM 17275R102 1404 69407 SH SOLE 69407 0 0 CONOCOPHILLIPS US$0.01 Common Stock COM 20825C104 1824 26788 SH SOLE 26788 0 0 DEVON ENERGY CORP US$0.10 Common Stock COM 25179M103 981 12500 SH SOLE 12500 0 0 ENBRIDGE INC NPV Common Stock COM 29250N105 410 7236 SH SOLE 7236 0 0 ENDOLOGIX INC US$0.001 Common Stock COM 29266S106 107 15000 SH SOLE 15000 0 0 ENTREE GOLD INC NPV Common Stock COM 29383G100 144 41380 SH SOLE 41380 0 0 EXXON MOBIL CORP NPV Common Stock COM 30231G102 14170 193794 SH SOLE 193794 0 0 GLAXOSMITHKLINE PLC Spon ADR (Cnv 2 Ord COM 37733W105 624 15919 SH SOLE 15919 0 0 25p) GOLDMAN SACHS GROUP US$0.01 Common Stock COM 38141G104 1423 8463 SH SOLE 8463 0 0 GOOGLE INC US$0.001 Class A Common Stock COM 38259P508 786 1324 SH SOLE 1324 0 0 IVANHOE MINES LTD NPV Common Stock COM 46579N103 357 15400 SH SOLE 15400 0 0 JP MORGAN CHASE & CO US$1 Common Stock COM 46625H100 2408 56777 SH SOLE 56777 0 0 KRAFT FOODS INC NPV Class A Common Stock COM 50075N104 13933 442174 SH SOLE 442174 0 0 LIFE TECH CORP US$0.01 Common Stock COM 53217V109 233 4207 SH SOLE 4207 0 0 MGT CAPITAL INVESTMENTS INC US$0.001 COM 55302P103 25 96773 SH SOLE 96773 0 0 Common Stock MANULIFE FINANCIAL CORP NPV Common Stock COM 56501R106 604 35000 SH SOLE 35000 0 0 MERCK & CO INC US$0.50 Common Stock COM 58933Y105 1371 38037 SH SOLE 38037 0 0 MONSANTO CO US$0.01 Common Stock COM 61166W101 2632 37795 SH SOLE 37795 0 0 ORACLE CORP US$0.01 Common Stock COM 68389X105 668 21346 SH SOLE 21346 0 0 PETROLEO BRASILEIRO SA ADS Each 1 Rep 2 COM 71654V408 2094 55340 SH SOLE 55340 0 0 NPV Com Stock POTASH CORP OF SASKATCHEWAN NPV Common COM 73755L107 994 6410 SH SOLE 6410 0 0 Stock PRUDENTIAL PLC ADR Rep 2 5p Ordinary COM 74435K204 574 27520 SH SOLE 27520 0 0 Shares SPDR TRUST S&P 500 ETF Trust COM 78462F103 4126 32812 SH SOLE 32812 0 0 SPECTRANETICS CORP US$0.001 Common Stock COM 84760C107 56 10800 SH SOLE 10800 0 0 3M COMPANY US$0.01 Common Stock COM 88579Y101 649 7520 SH SOLE 7520 0 0 VERIZON COMMS INC NPV Common Stock COM 92343V104 307 8593 SH SOLE 8593 0 0 VISA INC US$0.0001 Common Stock COM 92826C839 2476 35175 SH SOLE 35175 0 0 VODAFONE GROUP PLC SP Adr Rep 10 COM 92857W209 1778 67263 SH SOLE 67263 0 0 US$0.11428571 YAMANA GOLD INC NPV Common Stock (CA$) COM 98462Y100 160 12421 SH SOLE 12421 0 0
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