-----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, NzN6pX1+rZPzX4HcbGbF1F2PEvnuX/Ga2PfhxxYKthAIqbzPgo9D1z6kNkKm5odq Q+TOcgmohqOiMmf9V4jh7A== 0001169232-09-000889.txt : 20090213 0001169232-09-000889.hdr.sgml : 20090213 20090213153141 ACCESSION NUMBER: 0001169232-09-000889 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081230 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090213 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: 09602827 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 d76064_13f-hr.txt 13F HOLDINGS REPORT SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: DECEMBER 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 FEBRUARY 3 2009 --------------------------- -------------------- ----------------- [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: 121 Form 13F Information Table Value Total: 249,249 (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 (x1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ----------------------- -------- -------- -------- ------- --- ---- ------- ---------- ----- ------ ---- 3M CO COM 88579Y101 400 6953 SH Sole 6953 ABBOTT LABS COM 002824100 10162 190407 SH Sole 190407 ABITIBIBOWATER INC COM COM 003687100 9 18465 SH Sole 18465 ALTRIA GROUP INC COM 02209S103 721 47895 SH Sole 47895 AMDL INC COM PAR 2006 COM 00167K500 25 36145 SH Sole 36145 AMERICAN EXPRESS CO COM 025816109 240 12913 SH Sole 12913 AMETEK INC NEW COM 031100100 272 9000 SH Sole 9000 APPLE COMPUTER INC COM 037833100 512 5994 SH Sole 5994 BE AEROSPACE INC COM 073302101 731 95000 SH Sole 95000 BECTON DICKINSON & CO COM 075887109 438 6400 SH Sole 6400 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 1352 14 SH Sole 14 BERKSHIRE HATHAWAY INC DEL CL B COM 084670207 1009 314 SH Sole 314 BLACKSTONE GROUP COMMON UNITS COM 09255U108 469 71830 SH Sole 71830 BP PLC SPONSORED ADR COM 055622104 3678 78716 SH Sole 78716 BRISTOL MYERS SQUIBB CO COM 110122108 667 28684 SH Sole 28684 BROWN FORMAN CORP CL B COM 115637209 322 6250 SH Sole 6250 BT GROUP PLC ADR COM 05577E101 274 13700 SH Sole 13700 CATERPILLAR INC DEL COM 149123101 1143 25590 SH Sole 25590 CHEVRON CORP NEW COM 166764100 7957 107564 SH Sole 107564 CISCO SYS INC COM 17275R102 940 57655 SH Sole 57655 CITIGROUP INC COM 172967101 166 24776 SH Sole 24776 COCA COLA CO COM 191216100 1465 32367 SH Sole 32367 COLGATE PALMOLIVE CO COM 194162103 2176 31742 SH Sole 31742 CONOCOPHILLIPS COM 20825C104 3690 71240 SH Sole 71240 CROWN HOLDINGS INC COM 228368106 2016 105000 SH Sole 105000 CURAGEN CORP COM 23126R101 9 20000 SH Sole 20000 CVS CORP COM 126650100 201 6993 SH Sole 6993 DEERE & CO COM 244199105 304 7922 SH Sole 7922 DENBURY RES INC NEW COM 247916208 1365 125000 SH Sole 125000 DEVON ENERGY CORP NEW COM 25179M103 2127 32375 SH Sole 32375 DIEBOLD INC COM 253651103 1685 60000 SH Sole 60000 DISNEY WALT CO DISNEY COM 254687106 223 9820 SH Sole 9820 DOLBY LABORATORIES INC COM 25659T107 2647 80803 SH Sole 80803 DOMINION RES INC VA NEW COM 25746U109 348 9700 SH Sole 9700 DOVER CORP COM 260003108 395 12000 SH Sole 12000 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 5106 314223 SH Sole 314223 DU PONT E I DE NEMOURS & CO COM 263534109 446 17634 SH Sole 17634 E M C CORP MASS COM 268648102 497 47500 SH Sole 47500 EMERITUS CORP COM 291005106 150 15000 SH Sole 15000 EMERSON ELEC CO COM 291011104 3272 89370 SH Sole 89370 EXPEDITORS INTL WASH INC COM 302130109 233 7000 SH Sole 7000 EXXON MOBIL CORP COM 30231G102 24723 309691 SH Sole 309691 FLUOR CORP NEW COM 343412102 2609 58150 SH Sole 58150 FOSTER WHEELER LTD SHS NEW ADDED COM G36535139 1637 70000 SH Sole 70000 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 993 40643 SH Sole 40643 FX ENERGY INC COM 302695101 83 29724 SH Sole 29724 GALLAGHER ARTHUR J & CO COM 363576109 3420 131990 SH Sole 131990 GENERAL AMERN INVS INC COM 368802104 413 23733 SH Sole 23733 GENERAL ELEC CO COM 369604103 6015 371288 SH Sole 371288 GILEAD SCIENCES INC COM 375558103 353 6900 SH Sole 6900 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 528 14169 SH Sole 14169 HEINZ H J CO COM 423074103 545 14492 SH Sole 14492 HEWLETT PACKARD CO COM 428236103 536 14776 SH Sole 14776 HOME DEPOT INC COM 437076102 1736 75400 SH Sole 75400 HONEYWELL INTL INC COM 438516106 4164 126846 SH Sole 126846 HSBC HLDGS PLC SPON ADR NEW COM 404280406 1217 25000 SH Sole 25000 INTEL CORP COM 458140100 536 36543 SH Sole 36543 INTERNATIONAL BUSINESS MACHS COM 459200101 6763 80365 SH Sole 80365 INVESCO LTD SHS COM G491BT108 1763 122094 SH Sole 122094 ISHARES INC MSCI GERMAN COM 464286806 2163 112560 SH Sole 112560 ISHARES INC MSCI JAPAN COM 464286848 148 15400 SH Sole 15400 ISHARES INC MSCI UTD KINGD COM 464286699 241 19700 SH Sole 19700 ISHARES S&P 500 INDEX FUND COM 464287200 18106 200488 SH Sole 200488 ISHARES TR DJ SEL DIV INX COM 464287168 1705 41295 SH Sole 41295 ISHARES TR MSCI EMERG MKT COM 464287234 239 9561 SH Sole 9561 ITT INDS INC IND COM 450911102 4024 87500 SH Sole 87500 IVANHOE ENERGY INC COM 465790103 398 811588 SH Sole 811588 JOHNSON & JOHNSON COM 478160104 7646 127792 SH Sole 127792 JPMORGAN & CHASE & CO COM 46625H100 5208 165174 SH Sole 165174 KIMBERLY CLARK CORP COM 494368103 3599 68248 SH Sole 68248 KRAFT FOODS INC CL A COM 50075N104 3048 113502 SH Sole 113502 LEXICON GENETICS INC COM 528872104 20 14000 SH Sole 14000 LILLY ELI & CO COM 532457108 226 5684 SH Sole 5684 LOEWS CORP COM 540424108 686 24300 SH Sole 24300 MARATHON OIL CORP COM 565849106 328 12000 SH Sole 12000 MARSH & MCLENNAN COS INC COM 571748102 6084 250708 SH Sole 250708 MCCORMICK & CO INC VTG COM 579780107 261 8200 SH Sole 8200 MCDONALDS CORP COM 580135101 1044 16780 SH Sole 16780 MEDTRONIC INC COM 585055106 525 16710 SH Sole 16710 MERCK & CO INC COM 589331107 801 26355 SH Sole 26355 MGT CAPITAL INVTS INC COM COM 55302P103 62 107273 SH Sole 107273 MICROSOFT CORP COM 594918104 1097 56434 SH Sole 56434 MONSANTO CO NEW COM 61166W101 8499 120805 SH Sole 120805 NEWMONT MINING CORP COM 651639106 3292 80880 SH Sole 80880 OCCIDENTAL PETE CORP DEL COM 674599105 2416 40280 SH Sole 40280 PARKER HANNIFIN CORP COM 701094104 3848 90450 SH Sole 90450 PEPSICO INC COM 713448108 3840 70118 SH Sole 70118 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR COM 71654V408 202 8320 SH Sole 8320 PFIZER INC COM 717081103 2680 151327 SH Sole 151327 PHILIP MORRIS INTL INC COM COM 718172109 3972 91285 SH Sole 91285 PITNEY BOWES INC COM 724479100 1886 74000 SH Sole 74000 POLYMET MINING CORP COM 731916102 10 15000 SH Sole 15000 PPG INDS INC COM 693506107 2064 48634 SH Sole 48634 PRECISION CASTPARTS CORP COM 740189105 1784 30000 SH Sole 30000 PROCTER & GAMBLE CO COM 742718109 5836 94409 SH Sole 94409 PROSHARES TR ULTRA FINL PRO COM 74347R743 60 10000 SH Sole 10000 RAYTHEON CO NEW COM 755111507 7426 145500 SH Sole 145500 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 2983 58000 SH Sole 58000 SARA LEE CORP COM 803111103 101 10300 SH Sole 10300 SCHLUMBERGER LTD COM 806857108 2407 56857 SH Sole 56857 SOTHEBYS HLDGS INC CL A COM 835898107 417 46855 SH Sole 46855 SPDR TR UNIT SER 1 COM 78462F103 3894 43149 SH Sole 43149 SULPHCO INC COM 865378103 12 12850 SH Sole 12850 SYSCO CORP COM 871829107 1420 61900 SH Sole 61900 TELEFONICA S A SPONSORED ADR COM 879382208 277 4107 SH Sole 4107 TORCHMARK CORP COM 891027104 268 6000 SH Sole 6000 TOYOTA MOTOR CORP SP ADR REP2COM COM 892331307 288 4400 SH Sole 4400 TRANSWITCH CORP COM 894065101 82 292700 SH Sole 292700 TSAKOS ENERGY NAVIGATION LTD SHS COM G9108L108 2015 110000 SH Sole 110000 UNITED TECHNOLOGIES CORP COM 913017109 390 7283 SH Sole 7283 VERIZON COMMUNICATIONS COM 92343V104 241 7119 SH Sole 7119 VODAFONE GROUP ADR COM 92857W209 1282 62742 SH Sole 62742 WAL MART STORES INC COM 931142103 1905 34100 SH Sole 34100 WALGREEN CO COM 931422109 262 10610 SH Sole 10610 WAVE SYSTEMS CORP COM 943526301 62 167228 SH Sole 167228 WELLS FARGO & CO NEW COM 949746101 284 9622 SH Sole 9622 WEYERHAEUSER CO COM 962166104 1485 48500 SH Sole 48500 WHOLE FOODS MKT INC COM 966837106 265 28100 SH Sole 28100 WMS INDS INC COM COM 929297109 2690 100000 SH Sole 100000 WYETH COM 983024100 2840 75712 SH Sole 75712 XINHUA FIN MEDIA LTD SPONSORED ADR COM 983982109 29 46000 SH Sole 46000
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