0001140361-11-026775.txt : 20110512 0001140361-11-026775.hdr.sgml : 20110512 20110512061208 ACCESSION NUMBER: 0001140361-11-026775 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110512 DATE AS OF CHANGE: 20110512 EFFECTIVENESS DATE: 20110512 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: 11833696 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: 3/31/2011 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 6/5/2011 --------------------------------- --------------------------------- ---------- [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: 164 Form 13F Information Table Value Total: $ 290,447 -------------- (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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- BRISTOL-MYERS SQUIBB CO NPV Common Stock COM 110122108 830 31418 SH SOLE 31418 0 0 BROWN-FORMAN CORP US$0.15 B Common Stock COM 115637209 427 6250 SH SOLE 6250 0 0 CVS CORP US$0.01 Common Stock COM 126650100 278 8105 SH SOLE 8105 0 0 CANADIAN IMPERIAL BANK NPV Common Stock COM 136069101 7674 89292 SH SOLE 89292 0 0 CATERPILLAR INC US$1 Common Stock COM 149123101 1358 12195 SH SOLE 12195 0 0 CEL-SCI CORP US$0.01 Common Stock COM 150837409 233 370000 SH SOLE 370000 0 0 CHEVRON CORP US$0.75 Common Stock COM 166764100 9974 92786 SH SOLE 92786 0 0 CITIGROUP INC US$0.01 Common Stock COM 172967101 344 77865 SH SOLE 77865 0 0 CLAUDE RESOURCES INC NPV Common Stock COM 182873109 42 17000 SH SOLE 17000 0 0 COCA-COLA CO US$0.25 Common Stock COM 191216100 7800 117572 SH SOLE 117572 0 0 COLGATE-PALMOLIVE CO NPV Common Stock COM 194162103 7612 94249 SH SOLE 94249 0 0 DEERE & CO US$1 Common Stock COM 244199105 1107 11428 SH SOLE 11428 0 0 DENISON MINES INC NPV Common Stock COM 248356107 84 35252 SH SOLE 35252 0 0 DIEBOLD INC US$1.25 Common Stock COM 253651103 266 7500 SH SOLE 7500 0 0 WALT DISNEY (HLDGS) CO US$0.1 Common COM 254687106 612 14200 SH SOLE 14200 0 0 Stock DOVER CORP US$1 Common Stock COM 260003108 789 12000 SH SOLE 12000 0 0 DU PONT DE NEMOURS US$0.30 Common Stock COM 263534109 247 4494 SH SOLE 4494 0 0 EMC CORP MASSACHUSETTS US$0.01 Common COM 268648102 704 26500 SH SOLE 26500 0 0 Stock EMERSON ELECTRIC CO US$0.50 Common Stock COM 291011104 1935 33120 SH SOLE 33120 0 0 ENCANA CORP NPV Common Stock COM 292505104 601 17428 SH SOLE 17428 0 0 EXPEDITOR INTL OF WASHINGTON US$0.01 COM 302130109 351 7000 SH SOLE 7000 0 0 Common Stock FIRST SOLAR INC US$0.001 Common Stock COM 336433107 324 2015 SH SOLE 2015 0 0 GALLAGHER AJ & CO US$1 Common Stock COM 363576109 3818 125540 SH SOLE 125540 0 0 GENERAL AMERICAN INVESTORS CO US$1 COM 368802104 311 10975 SH SOLE 10975 0 0 Common Stock GENERAL ELECTRIC CORP US$0.06 Common COM 369604103 5934 295966 SH SOLE 295966 0 0 Stock GENERAL MILLS INC US$0.10 Common Stock COM 370334104 240 6560 SH SOLE 6560 0 0 GILEAD SCIENCES INC US$0.001 Common Stock COM 375558103 312 7340 SH SOLE 7340 0 0 GOLDCORP INC NPV Common Stock COM 380956409 260 5226 SH SOLE 5226 0 0 HECLA MINING CO US$0.25 Common Stock COM 422704106 138 15250 SH SOLE 15250 0 0 HEINZ (HJ) CO US$0.25 Common Stock COM 423074103 591 12102 SH SOLE 12102 0 0 HEWLETT-PACKARD CORP NPV Common Stock COM 428236103 245 5971 SH SOLE 5971 0 0 HOME DEPOT INC US$0.05 Common Stock COM 437076102 705 19014 SH SOLE 19014 0 0 HONEYWELL INTERNATIONAL INC US$1 Common COM 438516106 4489 75176 SH SOLE 75176 0 0 Stock ITT INDUSTRIES INC US$1 Common Stock COM 450911102 450 7500 SH SOLE 7500 0 0 ILLINOIS TOOL WORKS INC NPV Common Stock COM 452308109 387 7200 SH SOLE 7200 0 0 ILLUMINA INC US$0.01 Common Stock COM 452327109 211 3010 SH SOLE 3010 0 0 IMPERIAL OIL NPV Common Stock COM 453038408 270 5300 SH SOLE 5300 0 0 INTEL CORP US$0.001 Common Stock COM 458140100 1306 64732 SH SOLE 64732 0 0 IBM CORP US$0.20 Common Stock COM 459200101 8570 52554 SH SOLE 52554 0 0 ISHARES INC MSCI Canada Index Fund COM 464286509 773 22998 SH SOLE 22998 0 0 ISHARES INC MSCI Pacific Ex Japan Index COM 464286665 947 19600 SH SOLE 19600 0 0 Fd ISHARES INC MSCI Germany Index Fund COM 464286806 951 36660 SH SOLE 36660 0 0 ISHARES INC MSCI Japan Index Fund COM 464286848 386 37435 SH SOLE 37435 0 0 ISHARES PLC S&P 100 Index Fund COM 464287101 341 5750 SH SOLE 5750 0 0 ISHARES TRUST Dow Jones Select Div Index COM 464287168 1868 35837 SH SOLE 35837 0 0 ISHARES INC S&P 500 Index Fund COM 464287200 242 1820 SH SOLE 1820 0 0 ISHARES TRUST MSCI Emerging Markets Index COM 464287234 1166 23955 SH SOLE 23955 0 0 ISHARES TRUST DJ Intl Select Div Index COM 464288448 363 10145 SH SOLE 10145 0 0 Fund IVANHOE ENERGY INC NPV Common Stock COM 465790103 870 309588 SH SOLE 309588 0 0 JOHNSON & JOHNSON US$1 Common Stock COM 478160104 7147 120625 SH SOLE 120625 0 0 KANDI TECHNOLOGIES US$0.001 Common Stock COM 483709101 34 11000 SH SOLE 11000 0 0 KIMBERLEY CLARK CORP NPV Common Stock COM 494368103 1727 26461 SH SOLE 26461 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- LEXICON GENETICS INC US$0.001 Common COM 528872104 28 16500 SH SOLE 16500 0 0 Stock LILLY (ELI) & CO NPV Common Stock COM 532457108 226 6439 SH SOLE 6439 0 0 LOCKHEED MARTIN CO US$1 Common Stock COM 539830109 422 5250 SH SOLE 5250 0 0 LOEWS CORP US$1 Common Stock COM 540424108 939 21800 SH SOLE 21800 0 0 MARSH & MCLENNAN CO INC US$1 Common Stock COM 571748102 5226 175296 SH SOLE 175296 0 0 MCCORMICK & CO INC NPV Vtg Common Stock COM 579780107 333 7000 SH SOLE 7000 0 0 MCDONALD'S CORP US$0.01 Common Stock COM 580135101 1548 20340 SH SOLE 20340 0 0 MEDTRONIC INC US$0.10 Common Stock COM 585055106 275 7000 SH SOLE 7000 0 0 MICROSOFT CORP NPV Common Stock COM 594918104 3694 145478 SH SOLE 145478 0 0 MORGAN STANLEY US$0.01 Common Stock COM 617446448 214 7830 SH SOLE 7830 0 0 MYLAN INC US$0.50 Common Stock COM 628530107 571 25210 SH SOLE 25210 0 0 NATIONAL OILWELL VARCO INC US$0.01 COM 637071101 282 3554 SH SOLE 3554 0 0 Common Stock NEWMONT MINING CORP US$1.60 Common Stock COM 651639106 4653 85260 SH SOLE 85260 0 0 PPG INDUSTRIES INC US$1.666 Common Stock COM 693506107 257 2700 SH SOLE 2700 0 0 PAN AMERICAN SILVER CORP NPV Common Stock COM 697900108 400 10796 SH SOLE 10796 0 0 PARKER-HANNIFIN CORP US$0.50 Common Stock COM 701094104 1406 14850 SH SOLE 14850 0 0 PEABODY ENERGY CORP US$0.01 Common Stock COM 704549104 240 3340 SH SOLE 3340 0 0 PEPSICO INC US$0.016666 Cap COM 713448108 4134 64178 SH SOLE 64178 0 0 PFIZER INC US$0.05 Common Stock COM 717081103 3191 157136 SH SOLE 157136 0 0 PHILIP MORRIS INTL INC NPV Common Stock COM 718172109 7466 113755 SH SOLE 113755 0 0 PITNEY BOWES INC US$1 Common Stock COM 724479100 437 17000 SH SOLE 17000 0 0 PROCTER & GAMBLE CO NPV Common Stock COM 742718109 5177 84049 SH SOLE 84049 0 0 RACKSPACE HOSTING INC US$0.001 Common COM 750086100 1050 24508 SH SOLE 24508 0 0 Stock RADIENT PHARMACEUTICALS INC US$0.001 COM 750341109 22 41000 SH SOLE 41000 0 0 Common Stock (2006) RAYTHEON CO US$0.01 Common Stock COM 755111507 3432 67470 SH SOLE 67470 0 0 RESMED INC US$0.004 Common Stock COM 761152107 219 7300 SH SOLE 7300 0 0 ROYAL BANK OF CANADA NPV Common Stock COM 780087102 20301 329193 SH SOLE 329193 0 0 ROYAL BANK OF SCOTLAND GROUP Spon ADR COM 780097879 2547 113200 SH SOLE 113200 0 0 Rep 1 Pref Ser H ROYAL DUTCH SHELL EUR0.07 ADR Ea Rep 2 COM 780259107 659 9000 SH SOLE 9000 0 0 Cls B Shs ROYAL DUTCH SHELL PLC ADR Ech Rep 2 Cl A COM 780259206 215 2950 SH SOLE 2950 0 0 EUR0.07 Shs RUBICON MINERALS CORP NPV Common Stock COM 780911103 116 22500 SH SOLE 22500 0 0 ST JUDE MEDICAL INC US$0.10 Common Stock COM 790849103 295 5750 SH SOLE 5750 0 0 SCHLUMBERGER LTD US$0.01 Common Stock COM 806857108 6219 66686 SH SOLE 66686 0 0 SOTHEBY'S HOLDINGS A US$0.10 Common Stock COM 835898107 404 7690 SH SOLE 7690 0 0 SPREADTRUM COMMUNICATIONS ADR Rep 3 COM 849415203 232 12500 SH SOLE 12500 0 0 US$0.0001 Com Stock STARBUCKS CORP US$0.001 Common Stock COM 855244109 222 6000 SH SOLE 6000 0 0 SUNCOR ENERGY INC New NPV Common Stock COM 867224107 725 16215 SH SOLE 16215 0 0 (CA$) SYSCO CORP NPV Common Stock COM 871829107 1249 45085 SH SOLE 45085 0 0 T.J.X. COMPANIES INC NPV Common Stock COM 872540109 433 8700 SH SOLE 8700 0 0 THERMO FISHER SCIENTIFIC INC US$1 Common COM 883556102 352 6328 SH SOLE 6328 0 0 Stock THOMSON REUTERS CORP NPV Common Stock COM 884903105 3391 86691 SH SOLE 86691 0 0 TORONTO-DOMINION BANK NPV Common Stock COM 891160509 1588 18010 SH SOLE 18010 0 0 TRANSWITCH CORP US0.01 Common Stock COM 894065309 93 20625 SH SOLE 20625 0 0 UNION PACIFIC CORP US$2.50 Common Stock COM 907818108 579 5892 SH SOLE 5892 0 0 UTD TECHNOLOGIES CORP US$1 Common Stock COM 913017109 624 7374 SH SOLE 7374 0 0 WAL-MART STORES INC US$0.1 Common Stock COM 931142103 1429 27450 SH SOLE 27450 0 0 WAVE SYSTEMS CORP US$0.01 Class A Common COM 943526301 846 270228 SH SOLE 270228 0 0 Stock WELLS FARGO & CO US$1.6666 Common Stock COM 949746101 219 6900 SH SOLE 6900 0 0 WHOLE FOODS MARKET INC NPV Common Stock COM 966837106 738 11199 SH SOLE 11199 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- YUM BRANDS INC NPV Common Stock COM 988498101 489 9519 SH SOLE 9519 0 0 AT&T INC US$1 Common Stock COM 00206R102 710 23205 SH SOLE 23205 0 0 ABBOTT LABORATORIES NPV Common Stock COM 002824100 6868 140013 SH SOLE 140013 0 0 ALTRIA GROUP INC US$0.333333 Common Stock COM 02209S103 1161 44589 SH SOLE 44589 0 0 AMAZON COM INC Common Stock COM 023135106 1013 5625 SH SOLE 5625 0 0 AMERICAN EXPRESS CORP US$0.20 Common COM 025816109 340 7513 SH SOLE 7513 0 0 Stock AMERIPRISE FINANCIAL INC US$0.01 Common COM 03076C106 421 6897 SH SOLE 6897 0 0 Stock AMETEK INC NPV Common Stock COM 031100100 586 13365 SH SOLE 13365 0 0 ANADARKO PETROLEUM CORP US$0.10 Common COM 032511107 578 7060 SH SOLE 7060 0 0 Stock APACHE CORP US$1.25 Common Stock COM 037411105 226 1724 SH SOLE 1724 0 0 APPLE INC NPV Common Stock COM 037833100 3557 10205 SH SOLE 10205 0 0 ARCHER-DANIELS-MIDLAND CO NPV Common COM 039483102 731 20305 SH SOLE 20305 0 0 Stock BCE INC NPV Common Stock COM 05534B760 1300 35900 SH SOLE 35900 0 0 BP PLC ADR Cnv Into 6 Ord US$0.25 COM 055622104 754 17066 SH SOLE 17066 0 0 BANK OF AMERICA CORP NPV Common Stock COM 060505104 234 17578 SH SOLE 17578 0 0 BANK OF MONTREAL NPV Common Stock COM 063671101 3880 59928 SH SOLE 59928 0 0 BANK OF NOVA SCOTIA NPV Common Stock COM 064149107 16738 273682 SH SOLE 273682 0 0 BARRICK GOLD CORP NPV Common Stock COM 067901108 357 6894 SH SOLE 6894 0 0 BERKSHIRE HATHAWAY INC US$5 Class A COM 084670108 752 6 SH SOLE 6 0 0 Common Stock BERKSHIRE HATHAWAY INC Class B Common COM 084670702 6922 82765 SH SOLE 82765 0 0 Stock BOEING CO US$5 Common Stock COM 097023105 359 4856 SH SOLE 4856 0 0 CAMECO CORP NPV Common Stock COM 13321L108 2379 79360 SH SOLE 79360 0 0 CANADIAN PACIFIC RAILWAYS NPV Common COM 13645T100 671 10474 SH SOLE 10474 0 0 Stock CENOVUS ENERGY INC NPV Common Stock COM 15135U109 752 19089 SH SOLE 19089 0 0 CISCO SYSTEMS INC Common Stock COM 17275R102 677 39483 SH SOLE 39483 0 0 CONOCOPHILLIPS US$0.01 Common Stock COM 20825C104 2594 32485 SH SOLE 32485 0 0 DEVON ENERGY CORP US$0.10 Common Stock COM 25179M103 1147 12500 SH SOLE 12500 0 0 ENBRIDGE INC NPV Common Stock COM 29250N105 442 7236 SH SOLE 7236 0 0 ENDOLOGIX INC US$0.001 Common Stock COM 29266S106 102 15000 SH SOLE 15000 0 0 ENSCO PLC Spon ADR Each Rep 1 Cls A Ord COM 29358Q109 746 12900 SH SOLE 12900 0 0 ENTREE GOLD INC NPV Common Stock COM 29383G100 129 41380 SH SOLE 41380 0 0 EXXON MOBIL CORP NPV Common Stock COM 30231G102 14816 176103 SH SOLE 176103 0 0 FREEPORT MCMORAN COPPER & GOLD US$0.10 COM 35671D857 238 4286 SH SOLE 4286 0 0 Common Stock GLAXOSMITHKLINE PLC Spon ADR (Cnv 2 Ord COM 37733W105 308 8009 SH SOLE 8009 0 0 25p) GOLDMAN SACHS GROUP US$0.01 Common Stock COM 38141G104 1395 8793 SH SOLE 8793 0 0 GOOGLE INC US$0.001 Class A Common Stock COM 38259P508 940 1602 SH SOLE 1602 0 0 GRAN TIERRA ENERGY US$0.001 Common Stock COM 38500T101 112 13848 SH SOLE 13848 0 0 IVANHOE MINES LTD NPV Common Stock COM 46579N103 339 12400 SH SOLE 12400 0 0 JP MORGAN CHASE & CO US$1 Common Stock COM 46625H100 2766 60007 SH SOLE 60007 0 0 KRAFT FOODS INC NPV Class A Common Stock COM 50075N104 13222 421610 SH SOLE 421610 0 0 LIFE TECH CORP US$0.01 Common Stock COM 53217V109 221 4207 SH SOLE 4207 0 0 MGT CAPITAL INVESTMENTS INC US$0.001 COM 55302P103 28 95293 SH SOLE 95293 0 0 Common Stock MANULIFE FINANCIAL CORP NPV Common Stock COM 56501R106 864 48900 SH SOLE 48900 0 0 MERCK & CO INC US$0.50 Common Stock COM 58933Y105 1226 37127 SH SOLE 37127 0 0 MONSANTO CO US$0.01 Common Stock COM 61166W101 2537 35103 SH SOLE 35103 0 0 ORACLE CORP US$0.01 Common Stock COM 68389X105 753 22521 SH SOLE 22521 0 0 PETROLEO BRASILEIRO SA ADS Each 1 Rep 2 COM 71654V408 2125 52559 SH SOLE 52559 0 0 NPV Com Stock POTASH CORP SASK NPV Common Stock COM 73755L107 299 5085 SH SOLE 5085 0 0 POWERSHARES ETF India P/Folio COM 73935L100 286 11930 SH SOLE 11930 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- POWERSHARES ETF Intl Corp Bond COM 73936Q835 339 12200 SH SOLE 12200 0 0 POWERSHARES ETF II Emerg Mkts COM 73937B209 209 3885 SH SOLE 3885 0 0 Infrastructure P/f PRUDENTIAL PLC ADR Rep 2 5p Ordinary COM 74435K204 625 27520 SH SOLE 27520 0 0 Shares RENESOLA LTD ADR Each Rep 2 Ordinary COM 75971T103 127 12050 SH SOLE 12050 0 0 Shares SPDR TRUST S&P 500 ETF Trust COM 78462F103 4793 36147 SH SOLE 36147 0 0 SPDR GOLD TRUST NPV Shares COM 78463V107 297 2125 SH SOLE 2125 0 0 SILVERCORP METALS INC NPV Common Stock COM 82835P103 145 10000 SH SOLE 10000 0 0 SPECTRANETICS CORP US$0.001 Common Stock COM 84760C107 51 10800 SH SOLE 10800 0 0 3M COMPANY US$0.01 Common Stock COM 88579Y101 764 8170 SH SOLE 8170 0 0 UR ENERGY INC NPV Common Stock COM 91688R108 50 30000 SH SOLE 30000 0 0 VERIZON COMMS INC NPV Common Stock COM 92343V104 331 8593 SH SOLE 8593 0 0 VISA INC US$0.0001 Common Stock COM 92826C839 2542 34525 SH SOLE 34525 0 0 VODAFONE GROUP PLC SP Adr Rep 10 COM 92857W209 1913 66542 SH SOLE 66542 0 0 US$0.11428571 YAMANA GOLD INC NPV Common Stock (US$) COM 98462Y100 209 17000 SH SOLE 17000 0 0