-----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, M8oM3WH2VUOHNAr9I4X0ysstK0BPaHZFddiZUx1WwWrs57KPyWGAhJoqpGBQjeIL YImjarD77eybwjMxA3oKAg== 0001169232-08-004076.txt : 20081112 0001169232-08-004076.hdr.sgml : 20081111 20081112065730 ACCESSION NUMBER: 0001169232-08-004076 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081112 DATE AS OF CHANGE: 20081112 EFFECTIVENESS DATE: 20081112 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: 081178034 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 d75301_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: SEPTEMBER 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 NOVEMBER 4 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: 146 Form 13F Information Table Value Total: 304,855 (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 489 7153 SH Sole 7153 ABBOTT LABS COM 002824100 11649 202311 SH Sole 202311 ABITIBIBOWATER INC COM COM 003687100 71 18465 SH Sole 18465 ALTRIA GROUP INC COM 02209S103 960 48395 SH Sole 48395 AMDL INC COM PAR 2006 COM 00167K500 70 36145 SH Sole 36145 AMERICA MOVIL S A DE C V SPON ADR L SHS COM 02364W105 209 4500 SH Sole 4500 AMERICAN EXPRESS CO COM 025816109 458 12936 SH Sole 12936 AMERICAN INTL GROUP INC COM 026874107 49 14734 SH Sole 14734 AMETEK INC NEW COM 031100100 367 9000 SH Sole 9000 ANGLO AMERN PLC ADR NEW COM 03485P201 232 13850 SH Sole 13850 ANHEUSER BUSCH COS INC COM 035229103 1388 21400 SH Sole 21400 APACHE CORP COM 037411105 684 6556 SH Sole 6556 APPLE COMPUTER INC COM 037833100 758 6669 SH Sole 6669 AVERY DENNISON CORP COM 053611109 534 12000 SH Sole 12000 BARD C R INC COM 067383109 213 2250 SH Sole 2250 BAXTER INTL INC COM 071813109 203 3100 SH Sole 3100 BE AEROSPACE INC COM 073302101 1504 95000 SH Sole 95000 BECTON DICKINSON & CO COM 075887109 514 6400 SH Sole 6400 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 784 6 SH Sole 6 BERKSHIRE HATHAWAY INC DEL CL B COM 084670207 1187 270 SH Sole 270 BOEING CO COM 097023105 228 3976 SH Sole 3976 BP PLC SPONSORED ADR COM 055622104 3948 78616 SH Sole 78616 BRISTOL MYERS SQUIBB CO COM 110122108 617 29605 SH Sole 29605 BROWN FORMAN CORP CL B COM 115637209 359 5000 SH Sole 5000 BT GROUP PLC ADR COM 05577E101 397 13700 SH Sole 13700 CATERPILLAR INC DEL COM 149123101 1490 25008 SH Sole 25008 CENTRAL EUROPEAN DIST CORP COM 153435102 272 6000 SH Sole 6000 CHESAPEAKE CORP COM 165159104 18 26500 SH Sole 26500 CHEVRON CORP NEW COM 166764100 9114 110495 SH Sole 110495 CISCO SYS INC COM 17275R102 1341 59455 SH Sole 59455 CITIGROUP INC COM 172967101 399 19476 SH Sole 19476 COCA COLA CO COM 191216100 1554 29382 SH Sole 29382 COLGATE PALMOLIVE CO COM 194162103 2392 31742 SH Sole 31742 CONOCOPHILLIPS COM 20825C104 5236 71479 SH Sole 71479 CONSOLIDATED EDISON INC COM 209115104 215 5000 SH Sole 5000 CROWN HOLDINGS INC COM COM 228368106 2332 105000 SH Sole 105000 CURAGEN CORP COM 23126R101 16 20000 SH Sole 20000 CVS CORP COM 126650100 239 7100 SH Sole 7100 DEERE & CO COM 244199105 392 7922 SH Sole 7922 DENBURY RES INC NEW COM 247916208 2380 125000 SH Sole 125000 DEVON ENERGY CORP NEW COM 25179M103 3112 34125 SH Sole 34125 DIEBOLD INC COM 253651103 2549 77000 SH Sole 77000 DISNEY WALT CO DISNEY COM 254687106 219 7136 SH Sole 7136 DOLBY LABORATORIES INC COM COM 25659T107 2843 80803 SH Sole 80803 DOMINION RES INC VA NEW COM 25746U109 415 9700 SH Sole 9700 DOVER CORP COM 260003108 519 12800 SH Sole 12800 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 8472 319958 SH Sole 319958 DU PONT E I DE NEMOURS & CO COM 263534109 707 17534 SH Sole 17534 E M C CORP MASS COM 268648102 568 47500 SH Sole 47500 EMERITUS CORP COM 291005106 373 15000 SH Sole 15000 EMERSON ELEC CO COM 291011104 4383 107460 SH Sole 107460 EXPEDITORS INTL WASH INC COM 302130109 244 7000 SH Sole 7000 EXXON MOBIL CORP COM 30231G102 23505 302664 SH Sole 302664 FLUOR CORP NEW COM 343412102 3239 58150 SH Sole 58150 FOSTER WHEELER LTD SHS NEW COM G36535139 2528 70000 SH Sole 70000 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 1742 30643 SH Sole 30643 FX ENERGY INC COM 302695101 221 29724 SH Sole 29724 GALLAGHER ARTHUR J & CO COM 363576109 3387 131990 SH Sole 131990 GENERAL AMERN INVS INC COM 368802104 661 25562 SH Sole 25562 GENERAL ELEC CO COM 369604103 8938 350522 SH Sole 350522 GILEAD SCIENCES INC COM 375558103 315 6900 SH Sole 6900 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 616 14169 SH Sole 14169 GOLDMAN SACHS GROUP INC COM 38141G104 1387 10833 SH Sole 10833 GOOGLE INC CL A COM 38259P508 219 541 SH Sole 541 HEINZ H J CO COM 423074103 724 14492 SH Sole 14492 HEWLETT PACKARD CO COM 428236103 683 14776 SH Sole 14776 HOME DEPOT INC COM 437076102 2470 95400 SH Sole 95400 HONEYWELL INTL INC COM 438516106 6102 146869 SH Sole 146869 HSBC HLDGS PLC SPON ADR NEW COM 404280406 2021 25000 SH Sole 25000 ILLUMINA INC COM COM 452327109 223 5500 SH Sole 5500 INTEL CORP COM 458140100 700 37368 SH Sole 37368 INTERNATIONAL BUSINESS MACHS COM 459200101 10323 88265 SH Sole 88265 INVESCO LTD SHS COM G491BT108 2715 129419 SH Sole 129419 ISHARES INC MSCI GERMAN COM 464286806 2690 112560 SH Sole 112560 ISHARES INC MSCI JAPAN COM 464286848 193 18100 SH Sole 18100 ISHARES INC MSCI UTD KINGD COM 464286699 365 21950 SH Sole 21950 ISHARES TR 1-3 YR TRS BD COM 464287457 275 3290 SH Sole 3290 ISHARES TR DJ SEL DIV INX COM 464287168 2149 40365 SH Sole 40365 ISHARES TR MSCI EMERG MKT COM 464287234 327 9561 SH Sole 9561 ITT INDS INC IND COM 450911102 5505 99000 SH Sole 99000 IVANHOE ENERGY INC COM 465790103 1120 811588 SH Sole 811588 JOHNSON & JOHNSON COM 478160104 9763 140927 SH Sole 140927 JPMORGAN & CHASE & CO COM 46625H100 7759 166151 SH Sole 166151 KELLOGG CO COM COM 487836108 224 3984 SH Sole 3984 KIMBERLY CLARK CORP COM 494368103 5252 81000 SH Sole 81000 KRAFT FOODS INC CL A COM 50075N104 4535 138462 SH Sole 138462 LEXICON GENETICS INC COM 528872104 25 14000 SH Sole 14000 LILLY ELI & CO COM 532457108 247 5684 SH Sole 5684 LOEWS CORP COM 540424108 960 24300 SH Sole 24300 MARATHON OIL CORP COM 565849106 478 12000 SH Sole 12000 MARSH & MCLENNAN COS INC COM 571748102 8468 266640 SH Sole 266640 MCCORMICK & CO INC NON VTG COM 579780206 461 12000 SH Sole 12000 MCCORMICK & CO INC VTG COM 579780107 315 8200 SH Sole 8200 MCDONALDS CORP COM 580135101 1035 16780 SH Sole 16780 MEDTRONIC INC COM 585055106 838 16728 SH Sole 16728 MERCK & CO INC COM 589331107 799 25315 SH Sole 25315 MERRILL LYNCH & CO INC COM 590188108 219 8673 SH Sole 8673 MGT CAPITAL INVTS INC COM COM 55302P103 168 112273 SH Sole 112273 MICROSOFT CORP COM 594918104 1355 50764 SH Sole 50764 MONSANTO CO NEW COM 61166W101 12000 121240 SH Sole 121240 MORGAN STANLEY NEW COM 617446448 225 9788 SH Sole 9788 NEWMONT MINING CORP COM 651639106 3122 80550 SH Sole 80550 NUVASIVE INC COM 670704105 212 4300 SH Sole 4300 OCCIDENTAL PETE CORP DEL COM 674599105 2838 40280 SH Sole 40280 PARKER HANNIFIN CORP COM 701094104 5509 103950 SH Sole 103950 PEPSICO INC COM 713448108 5445 76400 SH Sole 76400 PFIZER INC COM 717081103 2670 144807 SH Sole 144807 PHILIP MORRIS INTL INC COM COM 718172109 3891 80885 SH Sole 80885 PITNEY BOWES INC COM 724479100 3193 96000 SH Sole 96000 POLYMET MINING CORP COM 731916102 33 15000 SH Sole 15000 PPG INDS INC COM 693506107 3420 58634 SH Sole 58634 PROCTER & GAMBLE CO COM 742718109 6236 89487 SH Sole 89487 PROGRESS ENERGY INC COM 743263105 216 5000 SH Sole 5000 PROSHARES TR ULTRA FINL PRO COM 74347R743 175 10000 SH Sole 10000 PRUDENTIAL FINL INC COM 744320102 270 3750 SH Sole 3750 RAYTHEON CO NEW COM 755111507 8169 152666 SH Sole 152666 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 3311 58000 SH Sole 58000 SARA LEE CORP COM 803111103 130 10300 SH Sole 10300 SCHLUMBERGER LTD COM 806857108 4346 55657 SH Sole 55657 SOTHEBYS HLDGS INC CL A COM 835898107 928 46255 SH Sole 46255 SOUTHERN CO COM 842587107 210 5583 SH Sole 5583 SPDR TR UNIT SER 1 COM 78462F103 5395 46509 SH Sole 46509 SULPHCO INC COM 865378103 26 12850 SH Sole 12850 SYSCO CORP COM 871829107 1998 64819 SH Sole 64819 THERMO ELECTRON CORP COM 883556102 276 5018 SH Sole 5018 TJX COS INC NEW COM 872540109 274 8980 SH Sole 8980 TORCHMARK CORP COM 891027104 359 6000 SH Sole 6000 TOYOTA MOTOR CORP SP ADR REP2COM COM 892331307 378 4400 SH Sole 4400 TRANSOCEAN INC NEW SHS COM G90073100 952 8670 SH Sole 8670 TRANSWITCH CORP COM COM 894065101 131 242700 SH Sole 242700 TRI CONTL CORP COM 895436103 155 10627 SH Sole 10627 TSAKOS ENERGY NAVIGATION LTD SHS COM G9108L108 3263 110000 SH Sole 110000 UNITED TECHNOLOGIES CORP COM 913017109 1128 18783 SH Sole 18783 VERIZON COMMUNICATIONS COM 92343V104 228 7119 SH Sole 7119 VODAFONE GROUP ADR COM 92857W209 1387 62742 SH Sole 62742 WAL MART STORES INC COM 931142103 1820 30506 SH Sole 30506 WALGREEN CO COM 931422109 328 10610 SH Sole 10610 WAVE SYSTEMS CORP COM 943526301 61 142228 SH Sole 142228 WELLS FARGO & CO NEW COM 949746101 260 6922 SH Sole 6922 WEYERHAEUSER CO COM 962166104 3605 59500 SH Sole 59500 WHOLE FOODS MKT INC COM 966837106 525 26200 SH Sole 26200 WILMINGTON TRUST CORP COM 971807102 311 10800 SH Sole 10800 WMS INDS INC COM COM 929297109 3057 100000 SH Sole 100000 WRIGLEY WM JR CO COM 982526105 987 12426 SH Sole 12426 WYETH COM 983024100 3462 93712 SH Sole 93712 XINHUA FIN MEDIA LTD SPONSORED ADR COM 983982109 30 23000 SH Sole 23000
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