Operational Tax Manager

0001140361-16-083322.txt : 20161024 0001140361-16-083322.hdr.sgml : 20161024 20161024093719 ACCESSION NUMBER: 0001140361-16-083322 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161024 DATE AS OF CHANGE: 20161024 EFFECTIVENESS DATE: 20161024 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: 161947397 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 primary_doc.xml 13F-HR LIVE false true false 0001351991 XXXXXXXX 09-30-2016 09-30-2016 Rathbone Brothers plc

PORT OF LIVERPOOL BUILDING PIER HEAD LIVERPOOL X0 L31NW

13F HOLDINGS REPORT 028-11582 N Mike Hill Operational Tax Manager 00-44-151-243-7155 /s/ Mike Hill LIVERPOOL X0 10-24-2016 0 309 1936035 false INFORMATION TABLE 2 form13fInfoTable.xml 3M COMPANY USD0.01 Common Stock COM 88579Y101 6899 39147 SH SOLE 39147 0 0 ABBOTT LABORATORIES NPV Common Stock COM 002824100 9140 216136 SH SOLE 216136 0 0 ABBVIE INC USD0.01 Common Stock COM 00287Y109 8577 135994 SH SOLE 135994 0 0 ABIOMED INC USD0.01 Common Stock COM 003654100 759 5900 SH SOLE 5900 0 0 ACTIVISION BLIZZARD INC USD0.000001 Common Stock COM 00507V109 29085 656551 SH SOLE 656551 0 0 ADAPTIMMUNE THERAPEUTICS PLC Spon ADS Each Rep 6 Ord Shs COM 00653A107 2327 330125 SH SOLE 330125 0 0 ADOBE SYSTEMS INC NPV Common Stock COM 00724F101 25625 236085 SH SOLE 236085 0 0 AGNICO EAGLE MINES LTD NPV Common Stock COM 008474108 3346 61970 SH SOLE 61970 0 0 ALBEMARLE CORP USD0.01 Common Stock COM 012653101 411 4810 SH SOLE 4810 0 0 ALEXION PHARMACEUTICALS INC USD0.0001 Common Stock COM 015351109 232 1890 SH SOLE 1890 0 0 ALIBABA GROUP HOLDINGS LTD Spon ADS Each Rep 1 Ord COM 01609W102 2747 25970 SH SOLE 25970 0 0 ALIGN TECHNOLOGY INC USD0.0001 Common Stock COM 016255101 24356 259800 SH SOLE 259800 0 0 ALLEGHENY TECHNOLOGY INC USD0.10 Common Stock COM 01741R102 257 14250 SH SOLE 14250 0 0 ALLIANCE RESOURCE PARTNERS SBI Stock COM 01877R108 394 17745 SH SOLE 17745 0 0 ALMADEN MINERALS LTD NPV Cls B Common Stock COM 020283305 84 60000 SH SOLE 60000 0 0 ALPHABET INC USD0.001 Cls A Common Stock COM 02079K305 21387 26599 SH SOLE 26599 0 0 ALPHABET INC USD0.001 Cls C Common Stock COM 02079K107 8219 10574 SH SOLE 10574 0 0 ALTRIA GROUP INC USD0.333333 Common Stock COM 02209S103 8777 138810 SH SOLE 138810 0 0 AMAZON COM INC USD0.01Common Stock COM 023135106 65662 78420 SH SOLE 78420 0 0 AMERICAN EXPRESS CORP USD0.20 Common Stock COM 025816109 451 7037 SH SOLE 7037 0 0 AMERICAN WATER WORKS USD0.01 Common Stock COM 030420103 236 3150 SH SOLE 3150 0 0 AMETEK INC NPV Common Stock COM 031100100 692 14475 SH SOLE 14475 0 0 AMGEN INC USD0.0001 Common Stock COM 031162100 25212 151145 SH SOLE 151145 0 0 AMPHENOL CORP USD0.001 Cls A Common Stock COM 032095101 18372 283000 SH SOLE 283000 0 0 ANADARKO PETROLEUM CORP USD0.10 Common Stock COM 032511107 1277 20160 SH SOLE 20160 0 0 ANGLOGOLD ASHANTI LTD LVL1 ADR Rep 1 ZAR0.25 Com Stk COM 035128206 315 19758 SH SOLE 19758 0 0 ANHEUSER-BUSCH INBEV ADR Each Rep 1 NPV Ord Shs COM 03524A108 237 1802 SH SOLE 1802 0 0 ANTHEM INC USD0.01 Common Stock COM 036752103 227 1810 SH SOLE 1810 0 0 APACHE CORP USD1.25 Common Stock COM 037411105 610 9550 SH SOLE 9550 0 0 APPFOLIO INC USD0.0001 Cls A Common Stock COM 03783C100 267 13750 SH SOLE 13750 0 0 APPLE INC NPV Common Stock COM 037833100 57085 504953 SH SOLE 504953 0 0 ARATANA THERAPEUTICS INC US$0.001 Common Stock COM 03874P101 168 17900 SH SOLE 17900 0 0 ARCELORMITTAL NY Registry Shares COM 03938L104 142 23500 SH SOLE 23500 0 0 ARCHER-DANIELS-MIDLAND CO NPV Common Stock COM 039483102 211 5000 SH SOLE 5000 0 0 AT&T INC USD1 Common Stock COM 00206R102 4890 120411 SH SOLE 120411 0 0 BAKER HUGHES INC USD1 Common Stock COM 057224107 475 9418 SH SOLE 9418 0 0 BALL CORP NPV Common Stock COM 058498106 3834 46790 SH SOLE 46790 0 0 BANCO SANTANDER SA ADR Rep 1 EUR0.50 Ord Shares COM 05964H105 63 14384 SH SOLE 14384 0 0 BANK OF AMERICA CORP NPV Common Stock COM 060505104 2654 169573 SH SOLE 169573 0 0 BANK OF MONTREAL NPV Common Stock COM 063671101 3801 58118 SH SOLE 58118 0 0 BANK OF NOVA SCOTIA NPV Common Stock COM 064149107 13900 262763 SH SOLE 262763 0 0 BANKUNITED INC USD0.01 Common Stock COM 06652K103 41179 1363533 SH SOLE 1363533 0 0 BANRO CORP NPV Common Stock COM 066800103 88 275000 SH SOLE 275000 0 0 BARRICK GOLD CORP NPV Common Stock (CADD) COM 067901108 522 29529 SH SOLE 29529 0 0 BCE INC NPV Common Stock COM 05534B760 2834 61481 SH SOLE 61481 0 0 BECTON DICKINSON & CO NPV Common Stock COM 075887109 11189 62255 SH SOLE 62255 0 0 BERKSHIRE HATHAWAY INC USD0.0033 Cls B Common Stock COM 084670702 23208 160645 SH SOLE 160645 0 0 BERKSHIRE HATHAWAY INC USD5 Class A Common Stock COM 084670108 1946 9 SH SOLE 9 0 0 BIOGEN IDEC INC USD0.0005 Common Stock COM 09062X103 431 1377 SH SOLE 1377 0 0 BLACKROCK INC NPV Class A Common Stock COM 09247X101 266 734 SH SOLE 734 0 0 BLACKSTONE GROUP LP Common Units COM 09253U108 1533 60033 SH SOLE 60033 0 0 BOEING CO USD5 Common Stock COM 097023105 1555 11801 SH SOLE 11801 0 0 BRISTOL-MYERS SQUIBB CO NPV Common Stock COM 110122108 3746 69468 SH SOLE 69468 0 0 BRITISH AMERICAN TOBACCO PLC ADR Each Rep 2 25p Ord Shares COM 110448107 470 3685 SH SOLE 3685 0 0 BRITISH TELECOM GROUP PLC ADR Each Rep 10 Ord Shares COM 05577E101 702 27600 SH SOLE 27600 0 0 BROADRIDGE FINANCIAL SOLUTIONS USD0.01 Common Stock COM 11133T103 17275 254825 SH SOLE 254825 0 0 BROOKFIELD ASSET MGMT NPV Cls A Voting Shares COM 112585104 503 14326 SH SOLE 14326 0 0 BROWN-FORMAN CORP USD0.15 B Common Stock COM 115637209 506 10664 SH SOLE 10664 0 0 CAMECO CORP 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1452 44145 SH SOLE 44145 0 0 ELDORADO GOLD CORP NPV Common Stock COM 284902103 270 68651 SH SOLE 68651 0 0 ELECTRONIC ARTS INC USD0.01 Common Stock COM 285512109 28003 327900 SH SOLE 327900 0 0 EMERSON ELECTRIC CO USD0.50 Common Stock COM 291011104 1974 36206 SH SOLE 36206 0 0 EMPIRE STATE REALTY Partnership Units ES COM 292102100 209 10037 SH SOLE 10037 0 0 ENBRIDGE INC NPV Common Stock COM 29250N105 681 15522 SH SOLE 15522 0 0 ENCANA CORP NPV Common Stock COM 292505104 281 26936 SH SOLE 26936 0 0 ENDOLOGIX INC USD0.001 Common Stock COM 29266S106 223 17400 SH SOLE 17400 0 0 ENVISION HEALTHCARE HLDGS INC USD0.01 Common Stock COM 29413U103 12583 565000 SH SOLE 565000 0 0 EOG RESOURCES INC USD0.01 Common Stock COM 26875P101 272 2810 SH SOLE 2810 0 0 EPAM SYSTEMS INC USD0.001 Common Stock COM 29414B104 11575 167000 SH SOLE 167000 0 0 EQUIFAX INC USD1.25 Common Stock COM 294429105 18236 135500 SH SOLE 135500 0 0 ESTEE LAUDER COS USD0.01 Class A Common Stock COM 518439104 2136 24115 SH SOLE 24115 0 0 EXELIXIS INC USD0.001 Common Stock COM 30161Q104 265 20700 SH SOLE 20700 0 0 EXPEDIA INC USD0.001 Com Stk (Post-Split) COM 30212P303 701 6010 SH SOLE 6010 0 0 EXPEDITOR INTL OF WASHINGTON USD0.01 Common Stock COM 302130109 232 4500 SH SOLE 4500 0 0 EXXON MOBIL CORP NPV Common Stock COM 30231G102 25992 297800 SH SOLE 297800 0 0 FACEBOOK INC USD0.000006 Cls A Common Stock COM 30303M102 34478 268794 SH SOLE 268794 0 0 FIRST REP BANK SAN FRANCISCO USD0.01 Common Stock COM 33616C100 17350 225000 SH SOLE 225000 0 0 FIRST SOLAR INC USD0.001 Common Stock COM 336433107 389 9850 SH SOLE 9850 0 0 FITBIT INC USD0.0001 Cls A Common Stock COM 33812L102 332 22397 SH SOLE 22397 0 0 FORD MOTOR CO USD0.01 Common Stock COM 345370860 121 10000 SH SOLE 10000 0 0 FORTUNA SILVER MINING NPV Common Stock COM 349915108 80 11000 SH SOLE 11000 0 0 FORWARD INDUSTRIES INC USD0.01 Common Stock COM 349862300 22 15000 SH SOLE 15000 0 0 FREEPORT-MCMORAN INC USD0.10 Common Stock COM 35671D857 638 58786 SH SOLE 58786 0 0 GALECTIN THERAPEUTICS INC USD0.001 Common Stock COM 363225202 19 16400 SH SOLE 16400 0 0 GALLAGHER AJ & CO USD1 Common Stock COM 363576109 6160 121095 SH SOLE 121095 0 0 GENERAL AMERICAN INVESTORS CO USD1 Common Stock COM 368802104 319 9774 SH SOLE 9774 0 0 GENERAL DYNAMICS CORP USD1 Common Stock COM 369550108 303 1956 SH SOLE 1956 0 0 GENERAL ELECTRIC CORP USD0.06 Common Stock COM 369604103 38778 1309180 SH SOLE 1309180 0 0 GENERAL MILLS INC USD0.10 Common Stock COM 370334104 3321 51991 SH SOLE 51991 0 0 GILEAD SCIENCES INC USD0.001 Common Stock COM 375558103 1484 18760 SH SOLE 18760 0 0 GLAXOSMITHKLINE PLC Spon ADR (Cnv 2 Ord 25p) COM 37733W105 381 8826 SH SOLE 8826 0 0 GOLDCORP INC NPV Common Stock COM 380956409 868 52630 SH SOLE 52630 0 0 GOLDEN STAR RESOURCES NPV Common Stock COM 38119T104 84 100000 SH SOLE 100000 0 0 GOLDMAN SACHS GROUP USD0.01 Common Stock COM 38141G104 1025 6356 SH SOLE 6356 0 0 GRAN TIERRA ENERGY USD0.001 Common Stock COM 38500T101 72 23849 SH SOLE 23849 0 0 HALLIBURTON CORP NPV Common Stock COM 406216101 233 5186 SH SOLE 5186 0 0 HASBRO INC USD0.50 Common Stock COM 418056107 16501 208000 SH SOLE 208000 0 0 HOLLYFRONTIER CORP USD0.01 Common Stock COM 436106108 970 39586 SH SOLE 39586 0 0 HOME DEPOT INC USD0.05 Common Stock COM 437076102 16212 125984 SH SOLE 125984 0 0 HONEYWELL INTERNATIONAL INC USD1 Common Stock COM 438516106 9261 79429 SH SOLE 79429 0 0 HUNT (JB) TRANSPORT SVCS INC USD0.01 Common Stock COM 445658107 17323 213500 SH SOLE 213500 0 0 IAMGOLD CORP NPV Common Stock COM 450913108 81 20000 SH SOLE 20000 0 0 IBM CORP USD0.20 Common Stock COM 459200101 7881 49611 SH SOLE 49611 0 0 ILLINOIS TOOL WORKS INC NPV Common Stock COM 452308109 242 2018 SH SOLE 2018 0 0 IMPERIAL OIL NPV Common Stock COM 453038408 634 20310 SH SOLE 20310 0 0 INDEXIQ ETF TRUST IQ Hedge Macro Tracker ETF COM 45409B206 243 9650 SH SOLE 9650 0 0 INOTEK PHARMACEUTICALS CORP USD0.01 Common Stock COM 45780V102 95 10000 SH SOLE 10000 0 0 INTEL CORP 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