0001140361-11-038659.txt : 20110801 0001140361-11-038659.hdr.sgml : 20110801 20110801110521 ACCESSION NUMBER: 0001140361-11-038659 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110801 DATE AS OF CHANGE: 20110801 EFFECTIVENESS DATE: 20110801 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: 11999513 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: 6/30/2011 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: David Phelps Title: Operations Director Phone: 00-44-151-243-7601 Signature, Place, and Date of Signing: /s/ David Phelps LIVERPOOL, UK 7/29/2011 --------------------------------- --------------------------------- ---------- [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: 143 Form 13F Information Table Value Total: $ 284,546 -------------- (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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- 3M COMPANY US$0.01 Common Stock COM 88579Y101 576 6070 SH SOLE 6070 0 0 ABBOTT LABORATORIES NPV Common Stock COM 002824100 7264 138038 SH SOLE 138038 0 0 ALTRIA GROUP INC US$0.333333 Common Stock COM 02209S103 1185 44859 SH SOLE 44859 0 0 AMAZON COM INC Common Stock COM 023135106 1256 6140 SH SOLE 6140 0 0 AMERICAN EXPRESS CORP US$0.20 Common COM 025816109 388 7513 SH SOLE 7513 0 0 Stock AMERIPRISE FINANCIAL INC US$0.01 Common COM 03076C106 398 6897 SH SOLE 6897 0 0 Stock AMETEK INC NPV Common Stock COM 031100100 600 13365 SH SOLE 13365 0 0 ANADARKO PETROLEUM CORP US$0.10 Common COM 032511107 524 6830 SH SOLE 6830 0 0 Stock APACHE CORP US$1.25 Common Stock COM 037411105 213 1724 SH SOLE 1724 0 0 APPLE INC NPV Common Stock COM 037833100 4617 13755 SH SOLE 13755 0 0 APRICUS BIOSCIENCE INC US$0.001 Common COM 03832V109 189 39532 SH SOLE 39532 0 0 Stock ARCHER-DANIELS-MIDLAND CO NPV Common COM 039483102 608 20150 SH SOLE 20150 0 0 Stock AT&T INC US$1 Common Stock COM 00206R102 729 23205 SH SOLE 23205 0 0 BANK OF AMERICA CORP NPV Common Stock COM 060505104 185 16859 SH SOLE 16859 0 0 BANK OF MONTREAL NPV Common Stock COM 063671101 3784 59528 SH SOLE 59528 0 0 BANK OF NOVA SCOTIA NPV Common Stock COM 064149107 16572 275282 SH SOLE 275282 0 0 BARRICK GOLD CORP NPV Common Stock COM 067901108 363 8004 SH SOLE 8004 0 0 BCE INC NPV Common Stock COM 05534B760 1466 37400 SH SOLE 37400 0 0 BERKSHIRE HATHAWAY INC Class B Common COM 084670702 6492 83885 SH SOLE 83885 0 0 Stock BERKSHIRE HATHAWAY INC US$5 Class A COM 084670108 697 6 SH SOLE 6 0 0 Common Stock BOEING CO US$5 Common Stock COM 097023105 367 4961 SH SOLE 4961 0 0 BP PLC ADR Cnv Into 6 Ord US$0.25 COM 055622104 826 18641 SH SOLE 18641 0 0 BRISTOL-MYERS SQUIBB CO NPV Common Stock COM 110122108 902 31161 SH SOLE 31161 0 0 BROWN-FORMAN CORP US$0.15 B Common Stock COM 115637209 467 6250 SH SOLE 6250 0 0 CAMECO CORP NPV Common Stock COM 13321L108 1428 54185 SH SOLE 54185 0 0 CANADIAN IMPERIAL BANK NPV Common Stock COM 136069101 7010 88852 SH SOLE 88852 0 0 CANADIAN PACIFIC RAILWAYS NPV Common COM 13645T100 653 10474 SH SOLE 10474 0 0 Stock CATERPILLAR INC US$1 Common Stock COM 149123101 1505 14140 SH SOLE 14140 0 0 CENOVUS ENERGY INC NPV Common Stock COM 15135U109 720 19089 SH SOLE 19089 0 0 CHEVRON CORP US$0.75 Common Stock COM 166764100 9354 90961 SH SOLE 90961 0 0 CISCO SYSTEMS INC Common Stock COM 17275R102 602 38583 SH SOLE 38583 0 0 CITIGROUP INC US$0.01 Common Stock COM 172967424 944 22661 SH SOLE 22661 0 0 COCA-COLA CO US$0.25 Common Stock COM 191216100 7825 116293 SH SOLE 116293 0 0 COLGATE-PALMOLIVE CO NPV Common Stock COM 194162103 8577 98124 SH SOLE 98124 0 0 CONOCOPHILLIPS US$0.01 Common Stock COM 20825C104 2091 27805 SH SOLE 27805 0 0 CVS CORP US$0.01 Common Stock COM 126650100 305 8105 SH SOLE 8105 0 0 DEERE & CO US$1 Common Stock COM 244199105 1010 12250 SH SOLE 12250 0 0 DEVON ENERGY CORP US$0.10 Common Stock COM 25179M103 998 12665 SH SOLE 12665 0 0 DIEBOLD INC US$1.25 Common Stock COM 253651103 233 7500 SH SOLE 7500 0 0 DOVER CORP US$1 Common Stock COM 260003108 814 12000 SH SOLE 12000 0 0 DU PONT DE NEMOURS US$0.30 Common Stock COM 263534109 243 4494 SH SOLE 4494 0 0 EMC CORP MASSACHUSETTS US$0.01 Common COM 268648102 869 31550 SH SOLE 31550 0 0 Stock EMERSON ELECTRIC CO US$0.50 Common Stock COM 291011104 1767 31420 SH SOLE 31420 0 0 ENBRIDGE INC NPV Common Stock COM 29250N105 470 14472 SH SOLE 14472 0 0 ENCANA CORP NPV Common Stock COM 292505104 538 17428 SH SOLE 17428 0 0 ENDOLOGIX INC US$0.001 Common Stock COM 29266S106 135 14500 SH SOLE 14500 0 0 ENSCO PLC Spon ADR Each Rep 1 Cls A Ord COM 29358Q109 688 12900 SH SOLE 12900 0 0 ENTREE GOLD INC NPV Common Stock COM 29383G100 60 28000 SH SOLE 28000 0 0 EXPEDITOR INTL OF WASHINGTON US$0.01 COM 302130109 358 7000 SH SOLE 7000 0 0 Common Stock EXXON MOBIL CORP NPV Common Stock COM 30231G102 14099 173243 SH SOLE 173243 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- GALLAGHER AJ & CO US$1 Common Stock COM 363576109 3549 124340 SH SOLE 124340 0 0 GENERAL AMERICAN INVESTORS CO US$1 COM 368802104 308 10975 SH SOLE 10975 0 0 Common Stock GENERAL ELECTRIC CORP US$0.06 Common COM 369604103 5617 297846 SH SOLE 297846 0 0 Stock GENERAL MILLS INC US$0.10 Common Stock COM 370334104 244 6560 SH SOLE 6560 0 0 GILEAD SCIENCES INC US$0.001 Common Stock COM 375558103 304 7340 SH SOLE 7340 0 0 GLAXOSMITHKLINE PLC Spon ADR (Cnv 2 Ord COM 37733W105 344 8009 SH SOLE 8009 0 0 25p) GOLDCORP INC NPV Common Stock COM 380956409 1309 27081 SH SOLE 27081 0 0 GOLDMAN SACHS GROUP US$0.01 Common Stock COM 38141G104 1130 8493 SH SOLE 8493 0 0 GOOGLE INC US$0.001 Class A Common Stock COM 38259P508 807 1594 SH SOLE 1594 0 0 HECLA MINING CO US$0.25 Common Stock COM 422704106 87 11250 SH SOLE 11250 0 0 HEINZ (HJ) CO US$0.25 Common Stock COM 423074103 726 13627 SH SOLE 13627 0 0 HOME DEPOT INC US$0.05 Common Stock COM 437076102 772 21314 SH SOLE 21314 0 0 HONEYWELL INTERNATIONAL INC US$1 Common COM 438516106 4365 73246 SH SOLE 73246 0 0 Stock IBM CORP US$0.20 Common Stock COM 459200101 8878 51749 SH SOLE 51749 0 0 ILLINOIS TOOL WORKS INC NPV Common Stock COM 452308109 407 7200 SH SOLE 7200 0 0 IMPERIAL OIL NPV Common Stock COM 453038408 247 5300 SH SOLE 5300 0 0 INTEL CORP US$0.001 Common Stock COM 458140100 2049 92452 SH SOLE 92452 0 0 ISHARES INC MSCI Germany Index Fund COM 464286806 1139 42345 SH SOLE 42345 0 0 ISHARES INC MSCI Japan Index Fund COM 464286848 432 41375 SH SOLE 41375 0 0 ISHARES INC MSCI UK Index Fund COM 464286699 250 14060 SH SOLE 14060 0 0 ISHARES INC S&P 500 Index Fund COM 464287200 241 1820 SH SOLE 1820 0 0 ISHARES TRUST Dow Jones Select Div Index COM 464287168 1929 36452 SH SOLE 36452 0 0 ISHARES TRUST MSCI Emerging Markets Index COM 464287234 1293 27170 SH SOLE 27170 0 0 ITT INDUSTRIES INC US$1 Common Stock COM 450911102 442 7500 SH SOLE 7500 0 0 IVANHOE ENERGY INC NPV Common Stock COM 465790103 607 319588 SH SOLE 319588 0 0 IVANHOE MINES LTD NPV Common Stock COM 46579N103 227 9000 SH SOLE 9000 0 0 JOHNSON & JOHNSON US$1 Common Stock COM 478160104 8475 127402 SH SOLE 127402 0 0 JP MORGAN CHASE & CO US$1 Common Stock COM 46625H100 2550 62287 SH SOLE 62287 0 0 KIMBERLEY CLARK CORP NPV Common Stock COM 494368103 1786 26826 SH SOLE 26826 0 0 KRAFT FOODS INC NPV Class A Common Stock COM 50075N104 14497 411487 SH SOLE 411487 0 0 LEXICON GENETICS INC US$0.001 Common COM 528872104 29 16500 SH SOLE 16500 0 0 Stock LIFE TECH CORP US$0.01 Common Stock COM 53217V109 219 4207 SH SOLE 4207 0 0 LOCKHEED MARTIN CO US$1 Common Stock COM 539830109 425 5250 SH SOLE 5250 0 0 LOEWS CORP US$1 Common Stock COM 540424108 918 21800 SH SOLE 21800 0 0 MANULIFE FINANCIAL CORP NPV Common Stock COM 56501R106 866 48900 SH SOLE 48900 0 0 MARSH & MCLENNAN CO INC US$1 Common Stock COM 571748102 5389 172787 SH SOLE 172787 0 0 MCCORMICK & CO INC NPV Vtg Common Stock COM 579780107 347 7000 SH SOLE 7000 0 0 MCDONALD'S CORP US$0.01 Common Stock COM 580135101 2005 23780 SH SOLE 23780 0 0 MEDTRONIC INC US$0.10 Common Stock COM 585055106 270 7000 SH SOLE 7000 0 0 MERCK & CO INC US$0.50 Common Stock COM 58933Y105 1440 40794 SH SOLE 40794 0 0 MGT CAPITAL INVESTMENTS INC US$0.001 COM 55302P103 17 95293 SH SOLE 95293 0 0 Common Stock MICROSOFT CORP NPV Common Stock COM 594918104 4078 156848 SH SOLE 156848 0 0 MONSANTO CO US$0.01 Common Stock COM 61166W101 2436 33580 SH SOLE 33580 0 0 MYLAN INC US$0.50 Common Stock COM 628530107 622 25210 SH SOLE 25210 0 0 NATIONAL OILWELL VARCO INC US$0.01 COM 637071101 248 3170 SH SOLE 3170 0 0 Common Stock NEWMONT MINING CORP US$1.60 Common Stock COM 651639106 4594 85130 SH SOLE 85130 0 0 NUVASIVE INC US$0.001 Common Stock COM 670704105 201 6100 SH SOLE 6100 0 0 ORACLE CORP US$0.01 Common Stock COM 68389X105 712 21631 SH SOLE 21631 0 0 PAN AMERICAN SILVER CORP NPV Common Stock COM 697900108 253 8160 SH SOLE 8160 0 0 PARKER-HANNIFIN CORP US$0.50 Common Stock COM 701094104 1333 14850 SH SOLE 14850 0 0 PEPSICO INC US$0.016666 Cap COM 713448108 4424 62808 SH SOLE 62808 0 0 PETROLEO BRASILEIRO SA ADS Each 1 Rep 2 COM 71654V408 1761 52019 SH SOLE 52019 0 0 NPV Com Stock

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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- PFIZER INC US$0.05 Common Stock COM 717081103 3219 156269 SH SOLE 156269 0 0 PHILIP MORRIS INTL INC NPV Common Stock COM 718172109 7607 113934 SH SOLE 113934 0 0 PITNEY BOWES INC US$1 Common Stock COM 724479100 391 17000 SH SOLE 17000 0 0 POTASH CORP OF SASKATCHEWAN NPV Common COM 73755L107 1232 21615 SH SOLE 21615 0 0 Stock POWERSHARES ETF II Emerg Mkts COM 73937B209 274 5148 SH SOLE 5148 0 0 Infrastructure P/f POWERSHARES ETF India P/Folio COM 73935L100 345 14693 SH SOLE 14693 0 0 POWERSHARES ETF Intl Corp Bond COM 73936Q835 438 15370 SH SOLE 15370 0 0 PROCTER & GAMBLE CO NPV Common Stock COM 742718109 5172 81359 SH SOLE 81359 0 0 PROSHARES TRUST Ultrashort Lehman 20 COM 74347R297 802 23230 SH SOLE 23230 0 0 Years PRUDENTIAL PLC ADR Rep 2 5p Ordinary COM 74435K204 750 32420 SH SOLE 32420 0 0 Shares RAYTHEON CO US$0.01 Common Stock COM 755111507 3328 66770 SH SOLE 66770 0 0 RENESOLA LTD ADR Each Rep 2 Ordinary COM 75971T103 63 12050 SH SOLE 12050 0 0 Shares RESMED INC US$0.004 Common Stock COM 761152107 226 7300 SH SOLE 7300 0 0 ROYAL BANK OF CANADA NPV Common Stock COM 780087102 18710 327558 SH SOLE 327558 0 0 ROYAL DUTCH SHELL EUR0.07 ADR Ea Rep 2 COM 780259107 646 9000 SH SOLE 9000 0 0 Cls B Shs SCHLUMBERGER LTD US$0.01 Common Stock COM 806857108 5524 63936 SH SOLE 63936 0 0 SOTHEBY'S HOLDINGS A US$0.10 Common Stock COM 835898107 335 7690 SH SOLE 7690 0 0 SPDR GOLD TRUST NPV Shares COM 78463V107 561 3845 SH SOLE 3845 0 0 SPDR SERIES TRUST S&P Metals & Mining ETF COM 78464A755 234 3367 SH SOLE 3367 0 0 SPDR TRUST S&P 500 ETF Trust COM 78462F103 4735 35878 SH SOLE 35878 0 0 SPECTRANETICS CORP US$0.001 Common Stock COM 84760C107 67 10800 SH SOLE 10800 0 0 ST JUDE MEDICAL INC US$0.10 Common Stock COM 790849103 274 5750 SH SOLE 5750 0 0 STARBUCKS CORP US$0.001 Common Stock COM 855244109 237 6000 SH SOLE 6000 0 0 SYSCO CORP NPV Common Stock COM 871829107 1312 42085 SH SOLE 42085 0 0 T.J.X. COMPANIES INC NPV Common Stock COM 872540109 412 7840 SH SOLE 7840 0 0 THERMO FISHER SCIENTIFIC INC US$1 Common COM 883556102 420 6528 SH SOLE 6528 0 0 Stock THOMSON REUTERS CORP NPV Common Stock COM 884903105 3039 80994 SH SOLE 80994 0 0 TORONTO-DOMINION BANK NPV Common Stock COM 891160509 1475 17410 SH SOLE 17410 0 0 TOWERS WATSON & CO US$0.01 Class A COM 891894107 204 3100 SH SOLE 3100 0 0 Common Stock UNION PACIFIC CORP US$2.50 Common Stock COM 907818108 615 5892 SH SOLE 5892 0 0 UTD TECHNOLOGIES CORP US$1 Common Stock COM 913017109 570 6441 SH SOLE 6441 0 0 VERIZON COMMS INC NPV Common Stock COM 92343V104 256 6865 SH SOLE 6865 0 0 VISA INC US$0.0001 Common Stock COM 92826C839 2909 34525 SH SOLE 34525 0 0 VODAFONE GROUP PLC SP Adr Rep 10 COM 92857W209 1778 66533 SH SOLE 66533 0 0 US$0.11428571 WAL-MART STORES INC US$0.1 Common Stock COM 931142103 1557 29295 SH SOLE 29295 0 0 WALT DISNEY (HLDGS) CO US$0.1 Common COM 254687106 554 14200 SH SOLE 14200 0 0 Stock WAVE SYSTEMS CORP US$0.01 Class A Common COM 943526301 776 275228 SH SOLE 275228 0 0 Stock WELLS FARGO & CO US$1.6666 Common Stock COM 949746101 220 7845 SH SOLE 7845 0 0 WHOLE FOODS MARKET INC NPV Common Stock COM 966837106 721 11369 SH SOLE 11369 0 0 YAMANA GOLD INC NPV Common Stock (CA$) COM 98462Y100 432 37108 SH SOLE 37108 0 0 YUM BRANDS INC NPV Common Stock COM 988498101 572 10359 SH SOLE 10359 0 0