-----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, As4JTA7QHbgRoyWe/l+OjaXFwsIPzax6DgpLhR09FCpmitIHaNxVLwA3/36bQ1qA juNxtUmf0tmT7Hjqsn3idA== 0001140361-10-042640.txt : 20101029 0001140361-10-042640.hdr.sgml : 20101029 20101029130428 ACCESSION NUMBER: 0001140361-10-042640 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101029 DATE AS OF CHANGE: 20101029 EFFECTIVENESS DATE: 20101029 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: 101150784 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: 9/30/2010 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 10/25/2010 - --------------------------------- --------------------------------- ---------- [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: 129 Form 13F Information Table Value Total: $ 326,764 -------------- (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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- AT&T INC COM 00206R102 2807 98130 SH SOLE 98130 0 0 ABBOTT LABS COM 002824100 12985 248556 SH SOLE 248556 0 0 ALTRIA GROUP INC COM 02209S103 2659 110689 SH SOLE 110689 0 0 AMAZON COM 023135106 703 4475 SH SOLE 4475 0 0 AMERICA MOVIL S A DE C V SPON ADR L SHS COM 02364W105 240 4500 SH SOLE 4500 0 0 AMERICAN EXPRESS CO COM 025816109 543 12913 SH SOLE 12913 0 0 AMETEK INC NEW COM 031100100 430 9000 SH SOLE 9000 0 0 ANADARKO PETE CORP COM 032511107 506 8875 SH SOLE 8875 0 0 APPLE COMPUTER INC COM 037833100 2693 9492 SH SOLE 9492 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 699 21905 SH SOLE 21905 0 0 BP PLC SPONSORED ADR COM 055622104 4003 97208 SH SOLE 97208 0 0 BANK OF AMERICA CORPORATION COM 060505104 300 22892 SH SOLE 22892 0 0 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 872 7 SH SOLE 7 0 0 BOEING CO COM 097023105 315 4731 SH SOLE 4731 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 763 28143 SH SOLE 28143 0 0 BROWN FORMAN CORP CL B COM 115637209 385 6250 SH SOLE 6250 0 0 CVS CORP COM 126650100 255 8105 SH SOLE 8105 0 0 CAMECO CORP COM 13321L108 223 8030 SH SOLE 8030 0 0 CATERPILLAR INC DEL COM 149123101 1839 23370 SH SOLE 23370 0 0 CHEVRON CORP NEW COM 166764100 11125 137258 SH SOLE 137258 0 0 CISCO SYS INC COM 17275R102 3441 157112 SH SOLE 157112 0 0 CITIGROUP INC COM 172967101 179 45847 SH SOLE 45847 0 0 COCA COLA CO COM 191216100 5050 86297 SH SOLE 86297 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A COM 192446102 4577 71000 SH SOLE 71000 0 0 COLGATE PALMOLIVE CO COM 194162103 7081 92129 SH SOLE 92129 0 0 CONOCOPHILLIPS COM 20825C104 5074 88358 SH SOLE 88358 0 0 CROWN HOLDINGS INC COM 228368106 3296 115000 SH SOLE 115000 0 0 DEERE & CO COM 244199105 679 9733 SH SOLE 9733 0 0 DEL MONTE FOODS CO COM 24522P103 2137 163000 SH SOLE 163000 0 0 DEVON ENERGY CORP NEW COM 25179M103 2946 45500 SH SOLE 45500 0 0 DIEBOLD INC COM 253651103 2409 77500 SH SOLE 77500 0 0 DISNEY WALT CO DISNEY COM 254687106 381 11520 SH SOLE 11520 0 0 DOLBY LABORATORIES INC COM 25659T107 4626 81425 SH SOLE 81425 0 0 DOVER CORP COM 260003108 627 12000 SH SOLE 12000 0 0 DR PEPPER SNAPPLE GROUP INC COM COM 26138E109 6197 174471 SH SOLE 174471 0 0 E M C CORP MASS COM 268648102 538 26500 SH SOLE 26500 0 0 EPIQ SYS INC COM 26882D109 1017 82979 SH SOLE 82979 0 0 EBAY INC COM 278642103 376 15418 SH SOLE 15418 0 0 EMERITUS CORP COM 291005106 256 15000 SH SOLE 15000 0 0 EMERSON ELEC CO COM 291011104 6469 122840 SH SOLE 122840 0 0 EXPEDITORS INTL WASH INC COM 302130109 3282 71000 SH SOLE 71000 0 0 EXXON MOBIL CORP COM 30231G102 12483 202031 SH SOLE 202031 0 0 FREEPORT-MCMORAN COPPER & GO CL B COM 35671D857 3471 40643 SH SOLE 40643 0 0 GALLAGHER ARTHUR J & CO COM 363576109 3330 126290 SH SOLE 126290 0 0 GENERAL AMERN INVS INC COM 368802104 522 21408 SH SOLE 21408 0 0 GENERAL ELEC CO COM 369604103 5473 336777 SH SOLE 336777 0 0 GENERAL MLS INC COM 370334104 240 6560 SH SOLE 6560 0 0 GILEAD SCIENCES INC COM 375558103 297 8340 SH SOLE 8340 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR COM 37733W105 629 15919 SH SOLE 15919 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1200 8303 SH SOLE 8303 0 0 GOOGLE INC CL A COM 38259P508 607 1155 SH SOLE 1155 0 0 GREENHILL & CO INC COM 395259104 2538 32000 SH SOLE 32000 0 0 HEINZ H J CO COM 423074103 602 12702 SH SOLE 12702 0 0 HEWLETT PACKARD CO COM 428236103 809 19230 SH SOLE 19230 0 0 HOME DEPOT INC COM 437076102 3010 95014 SH SOLE 95014 0 0 HONEYWELL INTL INC COM 438516106 7456 169680 SH SOLE 169680 0 0 ITT INDS INC IND COM 450911102 4098 87500 SH SOLE 87500 0 0 ILLINOIS TOOL WKS INC COM 452308109 263 5600 SH SOLE 5600 0 0 INTEL CORP COM 458140100 1543 80357 SH SOLE 80357 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 13358 99581 SH SOLE 99581 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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- ISHARES INC MSCI GERMAN COM 464286806 667 30340 SH SOLE 30340 0 0 ISHARES INC MSCI JAPAN COM 464286848 239 24200 SH SOLE 24200 0 0 ISHARES TR S&P 100 IDX FD COM 464287101 296 5750 SH SOLE 5750 0 0 ISHARES TR DJ SEL DIV INX COM 464287168 1380 29467 SH SOLE 29467 0 0 ISHARES TR S&P 500 INDEX COM 464287200 208 1820 SH SOLE 1820 0 0 JPMORGAN & CHASE & CO COM 46625H100 2738 71932 SH SOLE 71932 0 0 JOHNSON & JOHNSON COM 478160104 10126 163428 SH SOLE 163428 0 0 KIMBERLY CLARK CORP COM 494368103 5230 80398 SH SOLE 80398 0 0 KRAFT FOODS INC CL A COM 50075N104 19880 644202 SH SOLE 644202 0 0 LEXICON GENETICS INC COM 528872104 26 16500 SH SOLE 16500 0 0 LILLY ELI & CO COM 532457108 235 6439 SH SOLE 6439 0 0 LOEWS CORP COM 540424108 826 21800 SH SOLE 21800 0 0 LOWES COS INC COM 548661107 237 10650 SH SOLE 10650 0 0 MGT CAPITAL INVTS INC COM COM 55302P103 31 102273 SH SOLE 102273 0 0 MARSH & MCLENNAN COS INC COM 571748102 4775 197982 SH SOLE 197982 0 0 MCCORMICK & CO INC VTG COM 579780107 296 7000 SH SOLE 7000 0 0 MCDONALDS CORP COM 580135101 1587 21300 SH SOLE 21300 0 0 MEDTRONIC INC COM 585055106 312 9300 SH SOLE 9300 0 0 MICROS SYS INC COM 594901100 3767 89000 SH SOLE 89000 0 0 MICROSOFT CORP COM 594918104 3921 160098 SH SOLE 160098 0 0 MONSANTO CO NEW COM 61166W101 2167 45205 SH SOLE 45205 0 0 MYLAN LABS INC COM 628530107 474 25210 SH SOLE 25210 0 0 NEWMONT MINING CORP COM 651639106 5409 86110 SH SOLE 86110 0 0 NUVASIVE INC COM 670704105 214 6100 SH SOLE 6100 0 0 PPG INDS INC COM 693506107 3488 47910 SH SOLE 47910 0 0 PAN AMERICAN SILVER CORP COM 697900108 304 10296 SH SOLE 10296 0 0 PARKER HANNIFIN CORP COM 701094104 4193 59850 SH SOLE 59850 0 0 PEPSICO INC COM 713448108 4574 68842 SH SOLE 68842 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED COM 71654V408 2094 57740 SH SOLE 57740 0 0 ADR PETSMART INC COM 716768106 3325 95000 SH SOLE 95000 0 0 PFIZER INC COM 717081103 2922 170183 SH SOLE 170183 0 0 PHILIP MORRIS INTL INC COM COM 718172109 10002 178550 SH SOLE 178550 0 0 PITNEY BOWES INC COM 724479100 2501 117000 SH SOLE 117000 0 0 POTASH CORP SASK INC COM 73755L107 661 4590 SH SOLE 4590 0 0 PRAXAIR INC COM 74005P104 567 6280 SH SOLE 6280 0 0 PRECISION CASTPARTS CORP COM 740189105 3056 24000 SH SOLE 24000 0 0 PROCTER & GAMBLE CO COM 742718109 5777 96339 SH SOLE 96339 0 0 PRUDENTIAL PLC ADR COM 74435K204 549 27520 SH SOLE 27520 0 0 RAYTHEON CO NEW COM 755111507 6884 150600 SH SOLE 150600 0 0 RESMED INC COM 761152107 864 26330 SH SOLE 26330 0 0 ROYAL DUTCH SHELL PLC SPON ADR B COM 780259107 4665 79350 SH SOLE 79350 0 0 SPDR TR UNIT SER 1 COM 78462F103 3863 33848 SH SOLE 33848 0 0 ST JUDE MED INC COM 790849103 266 6750 SH SOLE 6750 0 0 SCHLUMBERGER LTD COM 806857108 4183 67900 SH SOLE 67900 0 0 SOTHEBYS HLDGS INC CL A COM 835898107 319 8670 SH SOLE 8670 0 0 SPECTRANETICS CORP COM 84760C107 59 10800 SH SOLE 10800 0 0 SULPHCO INC COM 865378103 4 12000 SH SOLE 12000 0 0 SYSCO CORP COM 871829107 1379 48335 SH SOLE 48335 0 0 TJX COS INC NEW COM 872540109 388 8700 SH SOLE 8700 0 0 TELEFONICA S A SPONSORED ADR COM 879382208 347 4677 SH SOLE 4677 0 0 TEVA PHARMACEUTICAL INDS LTD ADR COM 881624209 235 4450 SH SOLE 4450 0 0 THERMO ELECTRON CORP COM 883556102 303 6328 SH SOLE 6328 0 0 3M CO COM 88579Y101 689 7947 SH SOLE 7947 0 0 TORCHMARK CORP COM 891027104 319 6000 SH SOLE 6000 0 0 USA TREASURY NOTES COM 912828BH2 2763 25000 SH SOLE 25000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 423 5941 SH SOLE 5941 0 0 VERIZON COMMUNICATIONS COM 92343V104 231 7103 SH SOLE 7103 0 0 VISA INC COM CL A COM 92826C839 2571 34615 SH SOLE 34615 0 0 VODAFONE GROUP ADR COM 92857W209 1742 70206 SH SOLE 70206 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 - ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- WMS INDS INC COM COM 929297109 2969 78000 SH SOLE 78000 0 0 WAL MART STORES INC COM 931142103 1836 34300 SH SOLE 34300 0 0 WAVE SYSTEMS CORP COM 943526301 639 285228 SH SOLE 285228 0 0 WHOLE FOODS MKT INC COM 966837106 407 10974 SH SOLE 10974 0 0 YUM BRANDS INC COM 988498101 414 8995 SH SOLE 8995 0 0 ACCENTURE PLC IRELAND SHS CLASS A COM G1151C101 939 22108 SH SOLE 22108 0 0 BUNGE LIMITED COM G16962105 294 4970 SH SOLE 4970 0 0 INGERSOLL-RAND PLC SHS COM G47791101 6421 179800 SH SOLE 179800 0 0 INVESCO LTD SHS COM G491BT108 1751 82461 SH SOLE 82461 0 0 LAZARD LTD SHS A COM G54050102 2631 75000 SH SOLE 75000 0 0
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