-----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, GYW4rvphRDksLBavKY4LXBjOn4Pk1aHpKIYV/bgJ2XfbtbLvxnW//zr4Furs++bO A7wlM52zK/JBTAVYtZpgLg== 0001169232-08-002997.txt : 20080812 0001169232-08-002997.hdr.sgml : 20080812 20080812101908 ACCESSION NUMBER: 0001169232-08-002997 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080812 DATE AS OF CHANGE: 20080812 EFFECTIVENESS DATE: 20080812 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: 081008405 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 d74681_13fhr.txt 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30 2008 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 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. Person Signing this Report on Behalf of Reporting Manager: Name: Nick Johnson Title: Senior Project Manager Phone: 00-44-151-243-7155 Signature, Place, and Date of Signing: /s/ Nick Johnson LIVERPOOL, UK August 1 2008 -------------------------------- -------------------- ----------------- [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: ONE Form 13F Information Table Entry Total: 145 Form 13F Information Table Value Total: 348,793 (THOUSAND) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 1 028-00000 RATHBONE BROTHERS PLC FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ----------------------- -------- --------- -------- ------- --- ---- ------- ---------- -------- -------- ------- ABBOTT LABS COM 002824100 11067 208940 SH SOLE 208940 AMERICAN EXPRESS CO COM 025816109 486 12913 SH SOLE 12913 AMERICAN INTL GROUP INC COM 026874107 442 16731 SH SOLE 16731 AMETEK INC NEW COM 031100100 424 9000 SH SOLE 9000 ANHEUSER BUSCH COS INC COM 035229103 1329 21400 SH SOLE 21400 APACHE CORP COM 037411105 908 6536 SH SOLE 6536 APPLE COMPUTER INC COM 037833100 1770 10574 SH SOLE 10574 AVERY DENNISON CORP COM 053611109 527 12000 SH SOLE 12000 BP PLC SPONSORED ADR COM 055622104 5219 75064 SH SOLE 75064 BE AEROSPACE INC COM 073302101 1979 85000 SH SOLE 85000 BECTON DICKINSON & CO COM 075887109 520 6400 SH SOLE 6400 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 724 6 SH SOLE 6 BERKSHIRE HATHAWAY INC DEL CL B COM 084670207 617 154 SH SOLE 154 BOEING CO COM 097023105 208 3176 SH SOLE 3176 BRISTOL MYERS SQUIBB CO COM 110122108 607 29605 SH SOLE 29605 BROWN FORMAN CORP CL B COM 115637209 377 5000 SH SOLE 5000 BUCYRUS INTL INC NEW CL A COM 118759109 262 3600 SH SOLE 3600 CVS CORP COM 126650100 276 6993 SH SOLE 6993 CATERPILLAR INC DEL COM 149123101 2009 27215 SH SOLE 27215 CENTRAL EUROPEAN DIST CORP COM 153435102 444 6000 SH SOLE 6000 CHESAPEAKE CORP COM 165159104 62 26500 SH SOLE 26500 CHEVRON CORP NEW COM 166764100 11692 117949 SH SOLE 117949 CITIGROUP INC COM 172967101 293 17494 SH SOLE 17494 COCA COLA CO COM 191216100 1489 28657 SH SOLE 28657 COLGATE PALMOLIVE CO COM 194162103 2159 31252 SH SOLE 31252 DEERE & CO COM 244199105 3011 41756 SH SOLE 41756 DENBURY RES INC NEW COM 247916208 4197 115000 SH SOLE 115000 DIEBOLD INC COM 253651103 2739 77000 SH SOLE 77000 DOVER CORP COM 260003108 619 12800 SH SOLE 12800 DU PONT E I DE NEMOURS & CO COM 263534109 752 17534 SH SOLE 17534 E M C CORP MASS COM 268648102 697 47500 SH SOLE 47500 EMERITUS CORP COM 291005106 219 15000 SH SOLE 15000 EMERSON ELEC CO COM 291011104 5214 105460 SH SOLE 105460 EXPEDITORS INTL WASH INC COM 302130109 301 7000 SH SOLE 7000 FX ENERGY INC COM 302695101 172 32724 SH SOLE 32724 FLUOR CORP NEW COM 343412102 5224 28075 SH SOLE 28075 GALLAGHER ARTHUR J & CO COM 363576109 3180 131990 SH SOLE 131990 GENERAL AMERN INVS INC COM 368802104 827 25562 SH SOLE 25562 GENERAL ELEC CO COM 369604103 9336 349804 SH SOLE 349804 GENERAL MLS INC COM 370334104 143 2360 SH SOLE 2360 GILEAD SCIENCES INC COM 375558103 365 6894 SH SOLE 6894 HSBC HLDGS PLC SPON ADR NEW COM 404280406 1917 25000 SH SOLE 25000 HALLIBURTON CO COM 406216101 290 5480 SH SOLE 5480 HEINZ H J CO COM 423074103 908 18992 SH SOLE 18992 HEWLETT PACKARD CO COM 428236103 653 14776 SH SOLE 14776 HOME DEPOT INC COM 437076102 2234 95400 SH SOLE 95400 HONEYWELL INTL INC COM 438516106 7137 141946 SH SOLE 141946 ITT INDS INC IND COM 450911102 6269 99000 SH SOLE 99000 ILLINOIS TOOL WKS INC COM 452308109 209 4400 SH SOLE 4400 INTEL CORP COM 458140100 940 43802 SH SOLE 43802 INTERNATIONAL BUSINESS MACHS COM 459200101 10432 88017 SH SOLE 88017 ISHARES INC MSCI UTD KINGD COM 464286699 454 21950 SH SOLE 21950 ISHARES INC MSCI GERMAN COM 464286806 3820 129785 SH SOLE 129785 ISHARES INC MSCI JAPAN COM 464286848 225 18100 SH SOLE 18100 ISHARES TR DJ SEL DIV INX COM 464287168 2146 43585 SH SOLE 43585 ISHARES TR MSCI EMERG MKT COM 464287234 432 3187 SH SOLE 3187 ISHARES TR 1-3 YR TRS BD COM 464287457 272 3290 SH SOLE 3290 IVANHOE ENERGY INC COM 465790103 2924 821588 SH SOLE 821588 JOHNSON & JOHNSON COM 478160104 8846 137492 SH SOLE 137492 KIMBERLY CLARK CORP COM 494368103 4842 81000 SH SOLE 81000 LEHMAN BROS HLDGS INC COM 524908100 2476 125000 SH SOLE 125000 LEXICON GENETICS INC COM 528872104 22 14000 SH SOLE 14000 LILLY ELI & CO COM 532457108 262 5684 SH SOLE 5684 LOEWS CORP COM 540424108 1139 24300 SH SOLE 24300 MARATHON OIL CORP COM 565849106 622 12000 SH SOLE 12000 MARSH & MCLENNAN COS INC COM 571748102 7307 275225 SH SOLE 275225 MCCORMICK & CO INC VTG COM 579780107 292 8200 SH SOLE 8200 MCCORMICK & CO INC NON VTG COM 579780206 427 12000 SH SOLE 12000 MCDONALDS CORP COM 580135101 943 16780 SH SOLE 16780 MEDTRONIC INC COM 585055106 864 16710 SH SOLE 16710 MERCK & CO INC COM 589331107 993 26365 SH SOLE 26365 MICROSOFT CORP COM 594918104 1362 49528 SH SOLE 49528 MORGAN STANLEY NEW COM 617446448 320 8876 SH SOLE 8876 NATIONAL OILWELL VARCO INC COM 637071101 212 2400 SH SOLE 2400 NEWMONT MINING CORP COM 651639106 9874 189315 SH SOLE 189315 OCCIDENTAL PETE CORP DEL COM 674599105 3619 40280 SH SOLE 40280 PPG INDS INC COM 693506107 3359 58550 SH SOLE 58550 PARKER HANNIFIN CORP COM 701094104 7413 103950 SH SOLE 103950 PEPSICO INC COM 713448108 4804 75550 SH SOLE 75550 PFIZER INC COM 717081103 2595 148588 SH SOLE 148588 PITNEY BOWES INC COM 724479100 3273 96000 SH SOLE 96000 POLYMET MINING CORP COM 731916102 58 15000 SH SOLE 15000 PROCTER & GAMBLE CO COM 742718109 5420 89138 SH SOLE 89138 PRUDENTIAL FINL INC COM 744320102 224 3750 SH SOLE 3750 RAYTHEON CO NEW COM 755111507 8592 152666 SH SOLE 152666 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 4646 58000 SH SOLE 58000 SCHLUMBERGER LTD COM 806857108 6165 57387 SH SOLE 57387 SOTHEBYS HLDGS INC CL A COM 835898107 1196 45355 SH SOLE 45355 SULPHCO INC COM 865378103 29 12850 SH SOLE 12850 SYSCO CORP COM 871829107 1844 67050 SH SOLE 67050 TJX COS INC NEW COM 872540109 282 8980 SH SOLE 8980 THERMO ELECTRON CORP COM 883556102 279 5018 SH SOLE 5018 TORCHMARK CORP COM 891027104 351 6000 SH SOLE 6000 TOYOTA MOTOR CORP SP ADR REP2COM COM 892331307 413 4400 SH SOLE 4400 TRI CONTL CORP COM 895436103 175 10627 SH SOLE 10627 UNITED TECHNOLOGIES CORP COM 913017109 1147 18592 SH SOLE 18592 WMS INDS INC COM COM 929297109 2530 85000 SH SOLE 85000 WAL MART STORES INC COM 931142103 1714 30500 SH SOLE 30500 WALGREEN CO COM 931422109 344 10610 SH SOLE 10610 WAVE SYSTEMS CORP COM 943526301 140 142228 SH SOLE 142228 WEYERHAEUSER CO COM 962166104 3042 59500 SH SOLE 59500 WHOLE FOODS MKT INC COM 966837106 676 28540 SH SOLE 28540 WILMINGTON TRUST CORP COM 971807102 285 10800 SH SOLE 10800 WRIGLEY WM JR CO COM 982526105 966 12426 SH SOLE 12426 WYETH COM 983024100 4647 96912 SH SOLE 96912 BT GROUP PLC ADR COM 05577E101 544 13700 SH SOLE 13700 DR PEPPER SNAPPLE GROUP INC US$0.01 Common Stock COM 26138E109 7734 368644 SH SOLE 368644 AMDL INC COM PAR 2006 COM 00167K500 104 36145 SH SOLE 36145 ALTRIA GROUP INC COM 02209S103 939 45715 SH SOLE 45715 AMERICA MOVIL S A DE C V SPON ADR L SHS COM 02364W105 237 4500 SH SOLE 4500 ANGLO AMERN PLC ADR NEW COM 03485P201 490 13850 SH SOLE 13850 CISCO SYS INC COM 17275R102 1353 58206 SH SOLE 58206 CONOCOPHILLIPS COM 20825C104 6659 70553 SH SOLE 70553 CURAGEN CORP COM 23126R101 19 20000 SH SOLE 20000 DEVON ENERGY CORP NEW COM 25179M103 4100 34125 SH SOLE 34125 DOLBY LABORATORIES INC COM 25659T107 2619 65000 SH SOLE 65000 DOMINION RES INC VA NEW COM 25746U109 536 11300 SH SOLE 11300 EXXON MOBIL CORP COM 30231G102 27498 312024 SH SOLE 312024 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 3591 30643 SH SOLE 30643 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 626 14169 SH SOLE 14169 GOLDMAN SACHS GROUP INC COM 38141G104 2738 15655 SH SOLE 15655 GOOGLE INC CL A COM 38259P508 272 518 SH SOLE 518 JPMORGAN & CHASE & CO COM 46625H100 4716 137461 SH SOLE 137461 KRAFT FOODS INC CL A COM 50075N104 3926 138000 SH SOLE 138000 MGT CAPITAL INVTS INC COM COM 55302P103 226 112273 SH SOLE 112273 MONSANTO CO NEW COM 61166W101 13815 109265 SH SOLE 109265 MOSAIC CO COM COM 61945A107 3963 27390 SH SOLE 27390 NVIDIA CORP COM 67066G104 486 26000 SH SOLE 26000 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR COM 71654V408 412 5820 SH SOLE 5820 SPDR TR UNIT SER 1 COM 78462F103 5306 41464 SH SOLE 41464 SIRIUS SATELLITE RADIO INC COM 82966U103 28 14700 SH SOLE 14700 3M CO COM 88579Y101 547 7870 SH SOLE 7870 VERIZON COMMUNICATIONS COM 92343V104 244 6905 SH SOLE 6905 VODAFONE GROUP ADR COM 92857W209 1883 63942 SH SOLE 63942 FOSTER WHEELER LTD SHS NEW COM G36535139 4389 60000 SH SOLE 60000 INVESCO LTD SHS COM G491BT108 3618 150912 SH SOLE 150912 TRANSOCEAN INC NEW SHS COM G90073100 1230 8076 SH SOLE 8076 TSAKOS ENERGY NAVIGATION LTD SHS COM G9108L108 3893 105000 SH SOLE 105000 XINHUA FINANCE MEDIA ADS Each Rep 2 US$0.001 Shs COM 983982109 53 23000 SH SOLE 23000 PROSHARES TRUST Ultra Financials Proshares COM 74347R743 201 10000 SH SOLE 10000 PROGRESS ENERGY INC NPV Common Stock COM 743263105 209 5000 SH SOLE 5000 PHILIP MORRIS INTL INC NPV Common Stock COM 718172109 3861 78205 SH SOLE 78205 PAN AMERICAN SILVER CORP NPV Common Stock COM 697900108 279 8070 SH SOLE 8070 CHYRON CORP US$0.01 Common Stock COM 171605306 98 16667 SH SOLE 16667 ABITIBIBOWATER INC US$1.00 Common Stock COM 003687100 172 18465 SH SOLE 18465
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