0001169232-09-002640.txt : 20120202 0001169232-09-002640.hdr.sgml : 20120202 20090518122835 ACCESSION NUMBER: 0001169232-09-002640 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090518 DATE AS OF CHANGE: 20090518 EFFECTIVENESS DATE: 20090518 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-11582 FILM NUMBER: 09835920 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/A 1 d77022_13fhr-a.txt AMENDMENT NO. 1 TO 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: MARCH 31 2009 Check here if Amendment |X|; Amendment Number: 1 This Amendment (Check only one.): |X| 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: Paul Chavasse Title: Chief Operating Officer Phone: 00-44-151-243-7155 Signature, Place, and Date of Signing: /s/ Paul Chavasse LIVERPOOL, UK May 15 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: 117 Form 13F Information Table Value Total: 213,336 (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 ----------------------- -------- --------- -------- ------- --- ---- ------- -------- ------- -------- ------- 3M CO COM 88579Y101 412 8280 SH Sole 8280 ABBOTT LABS COM 002824100 8902 186627 SH Sole 186627 ABITIBIBOWATER INC COM COM 003687100 10 18465 SH Sole 18465 ADOBE SYS INC COM 00724F101 1298 60700 SH Sole 60700 ALTRIA GROUP INC COM 02209S103 838 52305 SH Sole 52305 AMDL INC COM PAR 2006 COM 00167K500 29 36145 SH Sole 36145 AMERICAN CAPITAL LTD US$0.01 COMMON STOCK COM 02503Y103 1277 682816 SH Sole 682816 AMERICAN EXPRESS CO COM 025816109 181 13273 SH Sole 13273 AMETEK INC NEW COM 031100100 281 9000 SH Sole 9000 APPLE COMPUTER INC COM 037833100 508 4834 SH Sole 4834 BANK OF AMERICA CORPORATION COM 060505104 88 12867 SH Sole 12867 BE AEROSPACE INC COM 073302101 910 105000 SH Sole 105000 BECTON DICKINSON & CO COM 075887109 430 6400 SH Sole 6400 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 1214 14 SH Sole 14 BERKSHIRE HATHAWAY INC DEL CL B COM 084670207 883 313 SH Sole 313 BP PLC SPONSORED ADR COM 055622104 2989 74496 SH Sole 74496 BRISTOL MYERS SQUIBB CO COM 110122108 627 28584 SH Sole 28584 BROWN FORMAN CORP CL B COM 115637209 243 6250 SH Sole 6250 BT GROUP PLC ADR COM 05577E101 113 10100 SH Sole 10100 CAMPBELL SOUP CO COM 134429109 1368 50000 SH Sole 50000 CATERPILLAR INC DEL COM 149123101 715 25590 SH Sole 25590 CHEVRON CORP NEW COM 166764100 9512 141460 SH Sole 141460 CISCO SYS INC COM 17275R102 910 54285 SH Sole 54285 CITIGROUP INC COM 172967101 45 17654 SH Sole 17654 COCA COLA CO COM 191216100 1361 30974 SH Sole 30974 COLGATE PALMOLIVE CO COM 194162103 1860 31542 SH Sole 31542 CONOCOPHILLIPS COM 20825C104 2816 71907 SH Sole 71907 CROWN HOLDINGS INC COM 228368106 2614 115000 SH Sole 115000 CURAGEN CORP COM 23126R101 18 20000 SH Sole 20000 DEERE & CO COM 244199105 216 6580 SH Sole 6580 DENBURY RES INC NEW COM 247916208 2006 135000 SH Sole 135000 DEVON ENERGY CORP NEW COM 25179M103 1447 32375 SH Sole 32375 DIEBOLD INC COM 253651103 1281 60000 SH Sole 60000 DOLBY LABORATORIES INC COM 25659T107 2927 85803 SH Sole 85803 DOMINION RES INC VA NEW COM 25746U109 301 9700 SH Sole 9700 DOVER CORP COM 260003108 317 12000 SH Sole 12000 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 4946 292462 SH Sole 292462 DU PONT E I DE NEMOURS & CO COM 263534109 392 17534 SH Sole 17534 E M C CORP MASS COM 268648102 543 47600 SH Sole 47600 EBAY INC COM 278642103 199 15825 SH Sole 15825 EMERITUS CORP COM 291005106 98 15000 SH Sole 15000 EMERSON ELEC CO COM 291011104 3126 109370 SH Sole 109370 EXXON MOBIL CORP COM 30231G102 19607 287915 SH Sole 287915 FLUOR CORP NEW COM 343412102 2251 65150 SH Sole 65150 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 1549 40643 SH Sole 40643 FX ENERGY INC COM 302695101 157 56474 SH Sole 56474 GALLAGHER ARTHUR J & CO COM 363576109 2244 131990 SH Sole 131990 GENERAL AMERN INVS INC COM 368802104 364 23733 SH Sole 23733 GENERAL ELEC CO COM 369604103 3905 386247 SH Sole 386247 GILEAD SCIENCES INC COM 375558103 327 7070 SH Sole 7070 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 429 13819 SH Sole 13819 GOOGLE INC CL A COM 38259P508 283 812 SH Sole 812 HEINZ H J CO COM 423074103 433 13092 SH Sole 13092 HEWLETT PACKARD CO COM 428236103 575 17939 SH Sole 17939 HOME DEPOT INC COM 437076102 1758 74600 SH Sole 74600 HONEYWELL INTL INC COM 438516106 4200 150756 SH Sole 150756 HSBC HLDGS PLC SPON ADR NEW COM 404280406 706 25000 SH Sole 25000 ILLUMINA INC COM 452327109 205 5500 SH Sole 5500 INTEL CORP COM 458140100 535 35595 SH Sole 35595 INTERNATIONAL BUSINESS MACHS COM 459200101 7717 79651 SH Sole 79651 INVESCO LTD SHS COM G491BT108 1672 120614 SH Sole 120614 ISHARES INC MSCI GERMAN COM 464286806 1643 109745 SH Sole 109745 ISHARES INC MSCI JAPAN COM 464286848 122 15400 SH Sole 15400 ISHARES TR DJ SEL DIV INX COM 464287168 1221 38982 SH Sole 38982 ITT INDS INC IND COM 450911102 3366 87500 SH Sole 87500 IVANHOE ENERGY INC COM 465790103 990 811588 SH Sole 811588 JOHNSON & JOHNSON COM 478160104 7871 149637 SH Sole 149637 JPMORGAN & CHASE & CO COM 46625H100 3560 133937 SH Sole 133937 KIMBERLY CLARK CORP COM 494368103 3147 68248 SH Sole 68248 KRAFT FOODS INC CL A COM 50075N104 2686 120520 SH Sole 120520 LEXICON GENETICS INC COM 528872104 15 14000 SH Sole 14000 LOEWS CORP COM 540424108 537 24300 SH Sole 24300 MARATHON OIL CORP COM 565849106 315 12000 SH Sole 12000 MARSH & MCLENNAN COS INC COM 571748102 4815 237798 SH Sole 237798 MCCORMICK & CO INC VTG COM 579780107 243 8200 SH Sole 8200 MCDONALDS CORP COM 580135101 894 16380 SH Sole 16380 MEDTRONIC INC COM 585055106 492 16710 SH Sole 16710 MERCK & CO INC COM 589331107 656 24510 SH Sole 24510 MGT CAPITAL INVTS INC COM COM 55302P103 54 107273 SH Sole 107273 MICROS SYSTEMS INC US$0.025 COMMON STOCK COM 594901100 1500 80000 SH Sole 80000 MICROSOFT CORP COM 594918104 811 44150 SH Sole 44150 MONSANTO CO NEW COM 61166W101 12168 146423 SH Sole 146423 MORGAN STANLEY NEW COM 617446448 220 9650 SH Sole 9650 NEWMONT MINING CORP COM 651639106 3697 82590 SH Sole 82590 PARKER HANNIFIN CORP COM 701094104 3073 90450 SH Sole 90450 PEPSICO INC COM 713448108 3927 76273 SH Sole 76273 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR COM 71654V408 234 7680 SH Sole 7680 PFIZER INC COM 717081103 2117 155402 SH Sole 155402 PHILIP MORRIS INTL INC COM COM 718172109 3819 107335 SH Sole 107335 PITNEY BOWES INC COM 724479100 1728 74000 SH Sole 74000 PPG INDS INC COM 693506107 1790 48500 SH Sole 48500 PRECISION CASTPARTS CORP COM 740189105 1797 30000 SH Sole 30000 PROCTER & GAMBLE CO COM 742718109 4259 90437 SH Sole 90437 PROSHARES TR ULTRA FINL PRO COM 74347R743 26 10000 SH Sole 10000 RAYTHEON CO NEW COM 755111507 5689 146100 SH Sole 146100 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 2529 58000 SH Sole 58000 SCHLUMBERGER LTD COM 806857108 3345 82343 SH Sole 82343 SOTHEBYS HLDGS INC CL A COM 835898107 422 46855 SH Sole 46855 SPDR TR UNIT SER 1 COM 78462F103 3805 47854 SH Sole 47854 SULPHCO INC COM 865378103 13 12000 SH Sole 12000 SYSCO CORP COM 871829107 1387 60850 SH Sole 60850 TELEFONICA S A SPONSORED ADR COM 879382208 245 4107 SH Sole 4107 TJX COS INC NEW COM 872540109 223 8700 SH Sole 8700 TOYOTA MOTOR CORP SP ADR REP2COM COM 892331307 279 4400 SH Sole 4400 TRANSWITCH CORP COM 894065101 236 787700 SH Sole 787700 TSAKOS ENERGY NAVIGATION LTD SHS COM G9108L108 1550 110000 SH Sole 110000 UNITED TECHNOLOGIES CORP COM 913017109 241 5600 SH Sole 5600 VERIZON COMMUNICATIONS COM 92343V104 206 6825 SH Sole 6825 VODAFONE GROUP ADR COM 92857W209 1101 63221 SH Sole 63221 WAL MART STORES INC COM 931142103 1620 31100 SH Sole 31100 WALGREEN CO COM 931422109 275 10610 SH Sole 10610 WAVE SYSTEMS CORP COM 943526301 90 167228 SH Sole 167228 WELLS FARGO & CO NEW COM 949746101 157 11050 SH Sole 11050 WEYERHAEUSER CO COM 962166104 1337 48500 SH Sole 48500 WHOLE FOODS MKT INC COM 966837106 396 23570 SH Sole 23570 WMS INDS INC COM COM 929297109 2091 100000 SH Sole 100000 WYETH COM 983024100 3138 72904 SH Sole 72904