-----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, C7cBBJUcPxL8zY7JRgRctvbV5mXTzuJy84SUmWnCzTzSYGEKPjGPn9YUE1Ey8giY pks4pZ2SEQ9c2FMGKKKVaw== 0001140361-09-026469.txt : 20091117 0001140361-09-026469.hdr.sgml : 20091117 20091117082746 ACCESSION NUMBER: 0001140361-09-026469 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091117 DATE AS OF CHANGE: 20091117 EFFECTIVENESS DATE: 20091117 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: 091189081 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 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2009 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 investment 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Nick Johnson Title: Senior Projects Manager Phone: 00-44-151-243-7155 Signature, Place, and Date of Signing: /s/ Nick Johnson LIVERPOOL, UK 11/5/2009 - --------------------------------- --------------------------------- ---------- [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: 1 Form 13F Information Table Entry Total: 131 Form 13F Information Table Value Total: $ 284,048.00 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 028-00000 RATHBONE BROTHERS PLC - ---- -------------------- ----------------------------------------------------
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------------- ----------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------- ----------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- AMDL INC COM PAR 2006 COM 00167K500 15 26000 SH SOLE 26000 0 0 AT&T INC COM 00206R102 2789 103390 SH SOLE 103390 0 0 ABBOTT LABS COM 002824100 10381 209850 SH SOLE 209850 0 0 ADOBE SYS INC COM 00724F101 2997 90700 SH SOLE 90700 0 0 ALTRIA GROUP INC COM 02209S103 1976 110955 SH SOLE 110955 0 0 AMERICAN EXPRESS CO COM 025816109 561 16773 SH SOLE 16773 0 0 AMETEK INC NEW COM 031100100 314 9000 SH SOLE 9000 0 0 APPLE COMPUTER INC COM 037833100 1411 7612 SH SOLE 7612 0 0 BP PLC SPONSORED ADR COM 055622104 4043 75921 SH SOLE 75921 0 0 BT GROUP PLC ADR COM 05577E101 210 10100 SH SOLE 10100 0 0 BANK OF AMERICA CORPORATION COM 060505104 264 15575 SH SOLE 15575 0 0 BECTON DICKINSON & CO COM 075887109 446 6400 SH SOLE 6400 0 0 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 1515 15 SH SOLE 15 0 0 BERKSHIRE HATHAWAY INC DEL CL B COM 084670207 871 262 SH SOLE 262 0 0 BOEING CO COM 097023105 201 3716 SH SOLE 3716 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 614 27252 SH SOLE 27252 0 0 BROWN FORMAN CORP CL B COM 115637209 301 6250 SH SOLE 6250 0 0 CVS CORP COM 126650100 262 7343 SH SOLE 7343 0 0 CAMPBELL SOUP CO COM 134429109 2365 72500 SH SOLE 72500 0 0 CATERPILLAR INC DEL COM 149123101 1277 24870 SH SOLE 24870 0 0 CHEVRON CORP NEW COM 166764100 9670 137305 SH SOLE 137305 0 0 CISCO SYS INC COM 17275R102 1247 52985 SH SOLE 52985 0 0 CITIGROUP INC COM 172967101 113 23282 SH SOLE 23282 0 0 COCA COLA CO COM 191216100 1722 32061 SH SOLE 32061 0 0 COLGATE PALMOLIVE CO COM 194162103 4120 54012 SH SOLE 54012 0 0 CONOCOPHILLIPS COM 20825C104 3280 72625 SH SOLE 72625 0 0 CONSOLIDATED EDISON INC COM 209115104 205 5000 SH SOLE 5000 0 0 CROWN HOLDINGS INC COM 228368106 3128 115000 SH SOLE 115000 0 0 CURAGEN CORP COM 23126R101 29 20000 SH SOLE 20000 0 0 DEERE & CO COM 244199105 297 6930 SH SOLE 6930 0 0 DEVON ENERGY CORP NEW COM 25179M103 2127 31585 SH SOLE 31585 0 0 DIEBOLD INC COM 253651103 1976 60000 SH SOLE 60000 0 0 DISNEY WALT CO DISNEY COM 254687106 347 12630 SH SOLE 12630 0 0 DOLBY LABORATORIES INC COM 25659T107 3277 85803 SH SOLE 85803 0 0 DOMINION RES INC VA NEW COM 25746U109 347 10050 SH SOLE 10050 0 0 DOVER CORP COM 260003108 465 12000 SH SOLE 12000 0 0 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 7148 249159 SH SOLE 249159 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 499 15534 SH SOLE 15534 0 0 E M C CORP MASS COM 268648102 809 47500 SH SOLE 47500 0 0 E TRADE FINANCIAL CORP COM 269246104 50 28609 SH SOLE 28609 0 0 EBAY INC COM 278642103 398 16875 SH SOLE 16875 0 0 EMERITUS CORP COM 291005106 329 15000 SH SOLE 15000 0 0 EMERSON ELEC CO COM 291011104 4784 119370 SH SOLE 119370 0 0 EXPEDITORS INTL WASH INC COM 302130109 246 7000 SH SOLE 7000 0 0 EXXON MOBIL CORP COM 30231G102 19137 278926 SH SOLE 278926 0 0 FX ENERGY INC COM 302695101 182 56474 SH SOLE 56474 0 0 FLUOR CORP NEW COM 343412102 3313 65150 SH SOLE 65150 0 0 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 2960 43143 SH SOLE 43143 0 0 GALLAGHER ARTHUR J & CO COM 363576109 3159 129640 SH SOLE 129640 0 0 GENERAL AMERN INVS INC COM 368802104 565 23733 SH SOLE 23733 0 0 GENERAL ELEC CO COM 369604103 6402 394509 SH SOLE 394509 0 0 GILEAD SCIENCES INC COM 375558103 333 7160 SH SOLE 7160 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 629 15919 SH SOLE 15919 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 247 1341 SH SOLE 1341 0 0 GOOGLE INC CL A COM 38259P508 424 855 SH SOLE 855 0 0 HRPT PPTYS TR SH BEN INT COM 40426W101 158 21000 SH SOLE 21000 0 0 HSBC HLDGS PLC SPON ADR NEW COM 404280406 1457 25400 SH SOLE 25400 0 0 HEINZ H J CO COM 423074103 513 12895 SH SOLE 12895 0 0 HEWLETT PACKARD CO COM 428236103 556 11776 SH SOLE 11776 0 0 HOME DEPOT INC COM 437076102 2026 76050 SH SOLE 76050 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------------- ----------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------- ----------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- HONEYWELL INTL INC COM 438516106 5569 150566 SH SOLE 150566 0 0 ITT INDS INC IND COM 450911102 4563 87500 SH SOLE 87500 0 0 INTEL CORP COM 458140100 760 39065 SH SOLE 39065 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 9225 77150 SH SOLE 77150 0 0 INVERNESS MED INNOVATIONS IN COM 46126P106 370 9546 SH SOLE 9546 0 0 ISHARES INC MSCI GERMAN COM 464286806 2413 108725 SH SOLE 108725 0 0 ISHARES INC MSCI JAPAN COM 464286848 214 21500 SH SOLE 21500 0 0 ISHARES TR S&P 100 IDX FD COM 464287101 281 5750 SH SOLE 5750 0 0 ISHARES TR DJ SEL DIV INX COM 464287168 2112 51172 SH SOLE 51172 0 0 ISHARES TR MSCI EMERG MKT COM 464287234 230 5921 SH SOLE 5921 0 0 IVANHOE ENERGY INC COM 465790103 1875 811588 SH SOLE 811588 0 0 JPMORGAN & CHASE & CO COM 46625H100 5757 131419 SH SOLE 131419 0 0 JOHNSON & JOHNSON COM 478160104 9051 148646 SH SOLE 148646 0 0 KIMBERLY CLARK CORP COM 494368103 4025 68248 SH SOLE 68248 0 0 KRAFT FOODS INC CL A COM 50075N104 5002 190420 SH SOLE 190420 0 0 LEXICON GENETICS INC COM 528872104 30 14000 SH SOLE 14000 0 0 LOEWS CORP COM 540424108 832 24300 SH SOLE 24300 0 0 MGT CAPITAL INVTS INC COM COM 55302P103 51 107273 SH SOLE 107273 0 0 MARATHON OIL CORP COM 565849106 383 12000 SH SOLE 12000 0 0 MARSH & MCLENNAN COS INC COM 571748102 5716 232172 SH SOLE 232172 0 0 MCCORMICK & CO INC VTG COM 579780107 279 8200 SH SOLE 8200 0 0 MCDONALDS CORP COM 580135101 972 17040 SH SOLE 17040 0 0 MEDTRONIC INC COM 585055106 615 16710 SH SOLE 16710 0 0 MERCK & CO INC COM 589331107 795 25120 SH SOLE 25120 0 0 MICROS SYS INC COM 594901100 2415 80000 SH SOLE 80000 0 0 MICROSOFT CORP COM 594918104 1159 45230 SH SOLE 45230 0 0 MONSANTO CO NEW COM 61166W101 10970 141733 SH SOLE 141733 0 0 MORGAN STANLEY NEW COM 617446448 394 12775 SH SOLE 12775 0 0 NEWMONT MINING CORP COM 651639106 3966 90105 SH SOLE 90105 0 0 PPG INDS INC COM 693506107 2823 48500 SH SOLE 48500 0 0 PARKER HANNIFIN CORP COM 701094104 4689 90450 SH SOLE 90450 0 0 PEPSICO INC COM 713448108 4644 79173 SH SOLE 79173 0 0 PETROLEO BRASILEIRO SA PETRO COM 71654V408 218 7680 SH SOLE 7680 0 0 SPONSORED ADR PFIZER INC COM 717081103 2513 151829 SH SOLE 151829 0 0 PHILIP MORRIS INTL INC COM COM 718172109 5041 103420 SH SOLE 103420 0 0 PITNEY BOWES INC COM 724479100 1839 74000 SH SOLE 74000 0 0 POTASH CORP SASK INC COM 73755L107 964 10670 SH SOLE 10670 0 0 PRECISION CASTPARTS CORP COM 740189105 3056 30000 SH SOLE 30000 0 0 PROCTER & GAMBLE CO COM 742718109 5593 96571 SH SOLE 96571 0 0 PROSHARES TR ULTRA FINL PRO COM 74347R743 59 10000 SH SOLE 10000 0 0 PRUDENTIAL PLC ADR COM 74435K204 403 20920 SH SOLE 20920 0 0 RAYTHEON CO NEW COM 755111507 6991 145735 SH SOLE 145735 0 0 RESMED INC COM 761152107 212 4700 SH SOLE 4700 0 0 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 4294 77000 SH SOLE 77000 0 0 SPDR TR UNIT SER 1 COM 78462F103 4521 42817 SH SOLE 42817 0 0 SCHERING PLOUGH CORP COM 806605101 295 10427 SH SOLE 10427 0 0 SCHLUMBERGER LTD COM 806857108 5161 86593 SH SOLE 86593 0 0 SOTHEBYS HLDGS INC CL A COM 835898107 790 45855 SH SOLE 45855 0 0 SULPHCO INC COM 865378103 16 12000 SH SOLE 12000 0 0 SYSCO CORP COM 871829107 1475 59350 SH SOLE 59350 0 0 TJX COS INC NEW COM 872540109 323 8700 SH SOLE 8700 0 0 TELEFONICA S A SPONSORED ADR COM 879382208 341 4107 SH SOLE 4107 0 0 THERMO ELECTRON CORP COM 883556102 226 5168 SH SOLE 5168 0 0 3M CO COM 88579Y101 595 8060 SH SOLE 8060 0 0 TORCHMARK CORP COM 891027104 261 6000 SH SOLE 6000 0 0 TOYOTA MOTOR CORP SP ADR REP2COM COM 892331307 503 6400 SH SOLE 6400 0 0 TRANSWITCH CORP COM 894065101 610 871700 SH SOLE 871700 0 0 USA TREASURY NOTES COM 912828BH2 2728 25000 SH SOLE 25000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 367 6028 SH SOLE 6028 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------------- ----------------- --------- -------- ----------------- ---------- -------- ------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------- ----------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- VODAFONE GROUP ADR COM 92857W209 1402 62327 SH SOLE 62327 0 0 WMS INDS INC COM COM 929297109 4010 90000 SH SOLE 90000 0 0 WAL MART STORES INC COM 931142103 1245 30950 SH SOLE 30950 0 0 WALGREEN CO COM 931422109 398 10610 SH SOLE 10610 0 0 WAVE SYSTEMS CORP COM 943526301 179 207728 SH SOLE 207728 0 0 WELLS FARGO & CO NEW COM 949746101 590 20950 SH SOLE 20950 0 0 WEYERHAEUSER CO COM 962166104 1778 48500 SH SOLE 48500 0 0 WHOLE FOODS MKT INC COM 966837106 649 21270 SH SOLE 21270 0 0 WYETH COM 983024100 351 7228 SH SOLE 7228 0 0 INGERSOLL-RAND PLC SHS COM G47791101 6435 209800 SH SOLE 209800 0 0 INVESCO LTD SHS COM G491BT108 2452 108986 SH SOLE 108986 0 0 TSAKOS ENERGY NAVIGATION LTD SHS COM G9108L108 1497 95642 SH SOLE 95642 0 0
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