-----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, TaQZ3uTY9aVAoD7fcguQ25+lYxD/IAYj3qlX1BOKmEZPDE8va68jj2Jn8kfJFulU 77ecblY49RoQyK9C2xz2ZA== 0001169232-09-003504.txt : 20090730 0001169232-09-003504.hdr.sgml : 20090730 20090730142246 ACCESSION NUMBER: 0001169232-09-003504 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090730 DATE AS OF CHANGE: 20090730 EFFECTIVENESS DATE: 20090730 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: 09973236 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 d77442_13f-hr.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 2009 ------------------------ Check here if Amendment [x]; 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 July 24 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: 237,856 (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 - ----------------------- -------- --------- -------- ------- --- ---- ------- ---------- ----- ------ ---- AMDL INC COM PAR 2006 COM 00167K500 27 36145 SH Sole 36145 ABBOTT LABS COM 002824100 8641 183700 SH Sole 183700 ADOBE SYS INC COM 00724F101 2001 70700 SH Sole 70700 ALTRIA GROUP INC COM 02209S103 1808 110305 SH Sole 110305 AMERICAN EXPRESS CO COM 025816109 309 13273 SH Sole 13273 AMETEK INC NEW COM 031100100 311 9000 SH Sole 9000 APPLE COMPUTER INC COM 037833100 689 4834 SH Sole 4834 BP PLC SPONSORED ADR COM 055622104 3621 75921 SH Sole 75921 BT GROUP PLC ADR COM 05577E101 170 10100 SH Sole 10100 BANK OF AMERICA CORPORATION COM 060505104 199 15075 SH Sole 15075 BECTON DICKINSON & CO COM 075887109 456 6400 SH Sole 6400 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 1350 15 SH Sole 15 BERKSHIRE HATHAWAY INC DEL CL B COM 084670207 851 294 SH Sole 294 BRISTOL MYERS SQUIBB CO COM 110122108 581 28584 SH Sole 28584 BROWN FORMAN CORP CL B COM 115637209 269 6250 SH Sole 6250 CVS CORP COM 126650100 234 7343 SH Sole 7343 CAMPBELL SOUP CO COM 134429109 1471 50000 SH Sole 50000 CATERPILLAR INC DEL COM 149123101 822 24870 SH Sole 24870 CHEVRON CORP NEW COM 166764100 9178 138530 SH Sole 138530 CISCO SYS INC COM 17275R102 926 49635 SH Sole 49635 CITIGROUP INC COM 172967101 44 14779 SH Sole 14779 COCA COLA CO COM 191216100 1523 31729 SH Sole 31729 COLGATE PALMOLIVE CO COM 194162103 3823 54042 SH Sole 54042 CONOCOPHILLIPS COM 20825C104 3024 71907 SH Sole 71907 CROWN HOLDINGS INC COM 228368106 2776 115000 SH Sole 115000 CURAGEN CORP COM 23126R101 29 20000 SH Sole 20000 DEERE & CO COM 244199105 277 6930 SH Sole 6930 DENBURY RES INC NEW COM 247916208 1989 135000 SH Sole 135000 DEVON ENERGY CORP NEW COM 25179M103 1721 31585 SH Sole 31585 DIEBOLD INC COM 253651103 1582 60000 SH Sole 60000 DISNEY WALT CO DISNEY COM 254687106 295 12630 SH Sole 12630 DOLBY LABORATORIES INC COM 25659T107 3199 85803 SH Sole 85803 DOMINION RES INC VA NEW COM 25746U109 336 10050 SH Sole 10050 DOVER CORP COM 260003108 397 12000 SH Sole 12000 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 5520 260489 SH Sole 260489 DU PONT E I DE NEMOURS & CO COM 263534109 398 15534 SH Sole 15534 E M C CORP MASS COM 268648102 622 47500 SH Sole 47500 EBAY INC COM 278642103 279 16275 SH Sole 16275 EMERITUS CORP COM 291005106 198 15000 SH Sole 15000 EMERSON ELEC CO COM 291011104 3868 119370 SH Sole 119370 EXPEDITORS INTL WASH INC COM 302130109 233 7000 SH Sole 7000 EXXON MOBIL CORP COM 30231G102 19859 284065 SH Sole 284065 FX ENERGY INC COM 302695101 216 56474 SH Sole 56474 FLUOR CORP NEW COM 343412102 3342 65150 SH Sole 65150 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 2037 40643 SH Sole 40643 GALLAGHER ARTHUR J & CO COM 363576109 2799 131140 SH Sole 131140 GENERAL AMERN INVS INC COM 368802104 445 23733 SH Sole 23733 GENERAL ELEC CO COM 369604103 4437 378606 SH Sole 378606 GILEAD SCIENCES INC COM 375558103 335 7160 SH Sole 7160 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 566 16009 SH Sole 16009 GOOGLE INC CL A COM 38259P508 342 812 SH Sole 812 HSBC HLDGS PLC SPON ADR NEW COM 404280406 1061 25400 SH Sole 25400 HEINZ H J CO COM 423074103 467 13092 SH Sole 13092 HEWLETT PACKARD CO COM 428236103 455 11776 SH Sole 11776 HOME DEPOT INC COM 437076102 1763 74600 SH Sole 74600 HONEYWELL INTL INC COM 438516106 4729 150566 SH Sole 150566 ITT INDS INC IND COM 450911102 3894 87500 SH Sole 87500 ILLUMINA INC COM 452327109 214 5500 SH Sole 5500 INTEL CORP COM 458140100 655 39595 SH Sole 39595 INTERNATIONAL BUSINESS MACHS COM 459200101 8155 78095 SH Sole 78095 ISHARES INC MSCI GERMAN COM 464286806 1951 108485 SH Sole 108485 ISHARES INC MSCI JAPAN COM 464286848 310 32900 SH Sole 32900 ISHARES TR DJ SEL DIV INX COM 464287168 1807 51107 SH Sole 51107 IVANHOE ENERGY INC COM 465790103 1250 811588 SH Sole 811588 JPMORGAN & CHASE & CO COM 46625H100 4472 131112 SH Sole 131112 JOHNSON & JOHNSON COM 478160104 8353 147052 SH Sole 147052 KIMBERLY CLARK CORP COM 494368103 3578 68248 SH Sole 68248 KRAFT FOODS INC CL A COM 50075N104 3095 122120 SH Sole 122120 LEXICON GENETICS INC COM 528872104 17 14000 SH Sole 14000 LOEWS CORP COM 540424108 666 24300 SH Sole 24300 MGT CAPITAL INVTS INC COM COM 55302P103 45 107273 SH Sole 107273 MARATHON OIL CORP COM 565849106 362 12000 SH Sole 12000 MARSH & MCLENNAN COS INC COM 571748102 4695 233202 SH Sole 233202 MCCORMICK & CO INC VTG COM 579780107 266 8200 SH Sole 8200 MCDONALDS CORP COM 580135101 980 17040 SH Sole 17040 MEDTRONIC INC COM 585055106 583 16710 SH Sole 16710 MERCK & CO INC COM 589331107 673 24070 SH Sole 24070 MICROS SYS INC COM 594901100 2026 80000 SH Sole 80000 MICROSOFT CORP COM 594918104 1093 45980 SH Sole 45980 MONSANTO CO NEW COM 61166W101 11090 149183 SH Sole 149183 MORGAN STANLEY NEW COM 617446448 275 9650 SH Sole 9650 NEWMONT MINING CORP COM 651639106 3294 80590 SH Sole 80590 PPG INDS INC COM 693506107 2129 48500 SH Sole 48500 PARKER HANNIFIN CORP COM 701094104 3886 90450 SH Sole 90450 PEPSICO INC COM 713448108 4178 76023 SH Sole 76023 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR COM 71654V408 399 9680 SH Sole 9680 PFIZER INC COM 717081103 2263 150887 SH Sole 150887 PHILIP MORRIS INTL INC COM COM 718172109 4595 105335 SH Sole 105335 PITNEY BOWES INC COM 724479100 1623 74000 SH Sole 74000 PRECISION CASTPARTS CORP COM 740189105 2191 30000 SH Sole 30000 PROCTER & GAMBLE CO COM 742718109 4802 93971 SH Sole 93971 PROSHARES TR ULTRA FINL PRO COM 74347R743 39 10000 SH Sole 10000 RAYTHEON CO NEW COM 755111507 6491 146100 SH Sole 146100 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 2950 58000 SH Sole 58000 SPDR TR UNIT SER 1 COM 78462F103 4383 47662 SH Sole 47662 SCHERING PLOUGH CORP COM 806605101 262 10427 SH Sole 10427 SCHLUMBERGER LTD COM 806857108 4420 81693 SH Sole 81693 SOTHEBYS HLDGS INC CL A COM 835898107 647 45855 SH Sole 45855 SULPHCO INC COM 865378103 11 12000 SH Sole 12000 SYSCO CORP COM 871829107 1334 59350 SH Sole 59350 TJX COS INC NEW COM 872540109 274 8700 SH Sole 8700 TELEFONICA S A SPONSORED ADR COM 879382208 279 4107 SH Sole 4107 THERMO ELECTRON CORP COM 883556102 211 5168 SH Sole 5168 3M CO COM 88579Y101 458 7620 SH Sole 7620 TORCHMARK CORP COM 891027104 222 6000 SH Sole 6000 TOYOTA MOTOR CORP SP ADR REP2COM COM 892331307 332 4400 SH Sole 4400 TRANSWITCH CORP COM 894065101 439 887700 SH Sole 887700 UNITED TECHNOLOGIES CORP COM 913017109 291 5600 SH Sole 5600 VERIZON COMMUNICATIONS COM 92343V104 214 6973 SH Sole 6973 VODAFONE GROUP ADR COM 92857W209 1323 67877 SH Sole 67877 WMS INDS INC COM COM 929297109 3151 100000 SH Sole 100000 WAL MART STORES INC COM 931142103 1510 31100 SH Sole 31100 WALGREEN CO COM 931422109 312 10610 SH Sole 10610 WAVE SYSTEMS CORP COM 943526301 226 207728 SH Sole 207728 WELLS FARGO & CO NEW COM 949746101 212 8750 SH Sole 8750 WEYERHAEUSER CO COM 962166104 1476 48500 SH Sole 48500 WHOLE FOODS MKT INC COM 966837106 447 23570 SH Sole 23570 WYETH COM 983024100 3188 70228 SH Sole 70228 YAHOO INC COM 984332106 179 11400 SH Sole 11400 INVESCO LTD SHS COM G491BT108 2035 114186 SH Sole 114186 TSAKOS ENERGY NAVIGATION LTD SHS COM G9108L108 1775 110000 SH Sole 110000
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