0001140361-12-045928.txt : 20121107 0001140361-12-045928.hdr.sgml : 20121107 20121107062850 ACCESSION NUMBER: 0001140361-12-045928 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121107 DATE AS OF CHANGE: 20121107 EFFECTIVENESS DATE: 20121107 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: 121184707 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 NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2012 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: Sue Jacobs Title: Operational Tax reporting Phone: 00-44-151-243-7233 Signature, Place, and Date of Signing: /s/ Sue Jacobs LIVERPOOL, UK 11/6/2012 --------------------------------- --------------------------------- ---------- [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: 191 Form 13F Information Table Value Total: $ 393,653 -------------- (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 1148 34001 SH SOLE 34001 0 0 BROCADE COMMS SYSTEMS US$0.001 Common COM 111621306 104 17500 SH SOLE 17500 0 0 Stock BROWN-FORMAN CORP US$0.15 B Common Stock COM 115637209 595 9120 SH SOLE 9120 0 0 BURCON NUTRASCIENC NPV Common Stock COM 120831102 62 13000 SH SOLE 13000 0 0 CANADIAN IMPERIAL BANK NPV Common Stock COM 136069101 6964 89050 SH SOLE 89050 0 0 CATERPILLAR INC US$1 Common Stock COM 149123101 2783 32340 SH SOLE 32340 0 0 CHEVRON CORP US$0.75 Common Stock COM 166764100 11703 100406 SH SOLE 100406 0 0 CITIGROUP INC US$0.01 Common Stock COM 172967424 2285 69831 SH SOLE 69831 0 0 CLAUDE RESOURCES INC NPV Common Stock COM 182873109 10 12000 SH SOLE 12000 0 0 COACH INC US$0.01 Common Stock COM 189754104 252 4500 SH SOLE 4500 0 0 COCA-COLA CO US$0.25 Common Stock COM 191216100 9742 256854 SH SOLE 256854 0 0 COLGATE-PALMOLIVE CO NPV Common Stock COM 194162103 11484 107109 SH SOLE 107109 0 0 CUMMINS INC US$2.50 Common Stock COM 231021106 1094 11867 SH SOLE 11867 0 0 DEERE & CO US$1 Common Stock COM 244199105 1392 16879 SH SOLE 16879 0 0 DENISON MINES INC NPV Common Stock COM 248356107 73 49452 SH SOLE 49452 0 0 DIEBOLD INC US$1.25 Common Stock COM 253651103 253 7500 SH SOLE 7500 0 0 WALT DISNEY (HLDGS) CO US$0.1 Common COM 254687106 665 12725 SH SOLE 12725 0 0 Stock DOVER CORP US$1 Common Stock COM 260003108 714 12000 SH SOLE 12000 0 0 DU PONT DE NEMOURS US$0.30 Common Stock COM 263534109 242 4822 SH SOLE 4822 0 0 DYNAVAX TECHNOLOGIES CORP US$0.001 COM 268158102 57 12000 SH SOLE 12000 0 0 Common Stock EMC CORP MASSACHUSETTS US$0.01 Common COM 268648102 1621 59427 SH SOLE 59427 0 0 Stock EBAY INC US$0.001 Common Stock COM 278642103 911 18825 SH SOLE 18825 0 0 ELDORADO GOLD CORP NPV Common Stock COM 284902103 313 20550 SH SOLE 20550 0 0 EMERSON ELECTRIC CO US$0.50 Common Stock COM 291011104 1688 34970 SH SOLE 34970 0 0 ENCANA CORP NPV Common Stock COM 292505104 262 11964 SH SOLE 11964 0 0 EXPEDITOR INTL OF WASHINGTON US$0.01 COM 302130109 258 7100 SH SOLE 7100 0 0 Common Stock GALLAGHER AJ & CO US$1 Common Stock COM 363576109 4420 123390 SH SOLE 123390 0 0 GENERAL ELECTRIC CORP US$0.06 Common COM 369604103 8456 372354 SH SOLE 372354 0 0 Stock GENERAL MILLS INC US$0.10 Common Stock COM 370334104 261 6560 SH SOLE 6560 0 0 GILEAD SCIENCES INC US$0.001 Common Stock COM 375558103 512 7718 SH SOLE 7718 0 0 GOLDCORP INC NPV Common Stock COM 380956409 4137 90175 SH SOLE 90175 0 0 HARLEY DAVIDSON US$0.01 Common Stock COM 412822108 330 7800 SH SOLE 7800 0 0 HECLA MINING CO US$0.25 Common Stock COM 422704106 74 11250 SH SOLE 11250 0 0 HEINZ (HJ) CO US$0.25 Common Stock COM 423074103 698 12467 SH SOLE 12467 0 0 HONEYWELL INTERNATIONAL INC US$1 Common COM 438516106 4486 75081 SH SOLE 75081 0 0 Stock ILLINOIS TOOL WORKS INC NPV Common Stock COM 452308109 601 10100 SH SOLE 10100 0 0 IMPERIAL OIL NPV Common Stock COM 453038408 1138 24735 SH SOLE 24735 0 0 INTEL CORP US$0.001 Common Stock COM 458140100 5651 249442 SH SOLE 249442 0 0 IBM CORP US$0.20 Common Stock COM 459200101 9164 44176 SH SOLE 44176 0 0 ISHARES INC MSCI Canada Index Fund COM 464286509 954 33495 SH SOLE 33495 0 0 ISHARES INC MSCI Pacific Ex Japan Index COM 464286665 3484 78130 SH SOLE 78130 0 0 Fd ISHARES INC MSCI UK Index Fund COM 464286699 356 20490 SH SOLE 20490 0 0 ISHARES INC MSCI Switzerland Index Fund COM 464286749 1445 58784 SH SOLE 58784 0 0 ISHARES INC MSCI Germany Index Fund COM 464286806 903 39995 SH SOLE 39995 0 0 ISHARES INC MSCI Japan Index Fund COM 464286848 199 21660 SH SOLE 21660 0 0 ISHARES TRUST Dow Jones Select Div Index COM 464287168 3025 52452 SH SOLE 52452 0 0 ISHARES TRUST Barclays Tips Bond Fund COM 464287176 595 4887 SH SOLE 4887 0 0 ISHARES INC S&P 500 Index Fund COM 464287200 786 5445 SH SOLE 5445 0 0 ISHARES TRUST MSCI Emerging Markets Index COM 464287234 1945 47055 SH SOLE 47055 0 0 ISHARES TRUST S&P Global Technology Index COM 464287291 369 5337 SH SOLE 5337 0 0 ISHARES TRUST S&P Gbl Heathcare Sector COM 464287325 276 4300 SH SOLE 4300 0 0 ISHARES TRUST S&P Global 100 Index Fund COM 464287572 409 6562 SH SOLE 6562 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 S&P Dvlpd (Ex-US) Prop Index COM 464288422 458 13477 SH SOLE 13477 0 0 ISHARES TRUST DJ Intl Select Div Index COM 464288448 471 14905 SH SOLE 14905 0 0 Fund IVANHOE ENERGY INC NPV Common Stock COM 465790103 176 319588 SH SOLE 319588 0 0 JOHNSON & JOHNSON US$1 Common Stock COM 478160104 13577 197023 SH SOLE 197023 0 0 KIMBERLEY CLARK CORP NPV Common Stock COM 494368103 2503 29176 SH SOLE 29176 0 0 LKQ CORP US$0.01 Common Stock COM 501889208 198 10700 SH SOLE 10700 0 0 LEXICON GENETICS INC US$0.001 Common COM 528872104 55 23548 SH SOLE 23548 0 0 Stock LILLY (ELI) & CO NPV Common Stock COM 532457108 259 5455 SH SOLE 5455 0 0 LOEWS CORP US$1 Common Stock COM 540424108 825 20000 SH SOLE 20000 0 0 MARSH & MCLENNAN CO INC US$1 Common Stock COM 571748102 5337 157287 SH SOLE 157287 0 0 MCCORMICK & CO INC NPV Vtg Common Stock COM 579780107 306 5000 SH SOLE 5000 0 0 MCDONALD'S CORP US$0.01 Common Stock COM 580135101 3599 39230 SH SOLE 39230 0 0 MICROSOFT CORP NPV Common Stock COM 594918104 5032 169080 SH SOLE 169080 0 0 MYLAN INC US$0.50 Common Stock COM 628530107 290 11900 SH SOLE 11900 0 0 NATIONAL OILWELL VARCO INC US$0.01 COM 637071101 361 4506 SH SOLE 4506 0 0 Common Stock NEKTAR THERAPEUTICS US$0.01 Common Stock COM 640268108 115 10800 SH SOLE 10800 0 0 NEWMONT MINING CORP US$1.60 Common Stock COM 651639106 5614 100220 SH SOLE 100220 0 0 NORTHEAST UTILITIES US$5 Common Stock COM 664397106 203 5300 SH SOLE 5300 0 0 PARKER-HANNIFIN CORP US$0.50 Common Stock COM 701094104 1241 14850 SH SOLE 14850 0 0 PEPSICO INC US$0.016666 Cap COM 713448108 4500 63583 SH SOLE 63583 0 0 PFIZER INC US$0.05 Common Stock COM 717081103 4426 178094 SH SOLE 178094 0 0 PHILIP MORRIS INTL INC NPV Common Stock COM 718172109 10850 120632 SH SOLE 120632 0 0 PHILLIPS 66 US$0.01 Common Stock COM 718546104 403 8697 SH SOLE 8697 0 0 PITNEY BOWES INC US$1 Common Stock COM 724479100 235 17000 SH SOLE 17000 0 0 PLUM CREEK TIMBER CO INC US$0.01 Common COM 729251108 426 9715 SH SOLE 9715 0 0 Stock PROCTER & GAMBLE CO NPV Common Stock COM 742718109 5862 84522 SH SOLE 84522 0 0 QUALCOMM INC US$0.001 Common Stock COM 747525103 345 5515 SH SOLE 5515 0 0 RACKSPACE HOSTING INC US$0.001 Common COM 750086100 2419 36595 SH SOLE 36595 0 0 Stock RAYTHEON CO US$0.01 Common Stock COM 755111507 4310 75400 SH SOLE 75400 0 0 RESMED INC US$0.004 Common Stock COM 761152107 295 7300 SH SOLE 7300 0 0 ROYAL BANK OF CANADA NPV Common Stock COM 780087102 18220 317085 SH SOLE 317085 0 0 ROYAL DUTCH SHELL EUR0.07 ADR Ea Rep 2 COM 780259107 665 9330 SH SOLE 9330 0 0 Cls B Shs ROYAL DUTCH SHELL PLC ADR Ech Rep 2 Cl A COM 780259206 326 4702 SH SOLE 4702 0 0 EUR0.07 Shs RUBICON MINERALS CORP NPV Common Stock COM 780911103 84 22500 SH SOLE 22500 0 0 ST JUDE MEDICAL INC US$0.10 Common Stock COM 790849103 204 4850 SH SOLE 4850 0 0 SCHLUMBERGER LTD US$0.01 Common Stock COM 806857108 5518 76295 SH SOLE 76295 0 0 SPRINT NEXTEL CORP US$2 Common Stock COM 852061100 61 11100 SH SOLE 11100 0 0 Series 1 STARBUCKS CORP US$0.001 Common Stock COM 855244109 544 10735 SH SOLE 10735 0 0 STRYKER CORP US$0.10 Common Stock COM 863667101 248 4450 SH SOLE 4450 0 0 SUNCOR ENERGY INC New NPV Common Stock COM 867224107 667 20280 SH SOLE 20280 0 0 (CA$) SWEDISH EXPORT CREDIT Elements ETN Lkd COM 870297603 1012 105168 SH SOLE 105168 0 0 RICI SYSCO CORP NPV Common Stock COM 871829107 1307 41785 SH SOLE 41785 0 0 TJX COMPANIES INC NPV Common Stock COM 872540109 720 16076 SH SOLE 16076 0 0 TEMPLETON EMERGING MKTS FUND US$0.01 COM 880191101 1352 73420 SH SOLE 73420 0 0 Common Stock THERMO FISHER SCIENTIFIC INC US$1 Common COM 883556102 313 5325 SH SOLE 5325 0 0 Stock THOMSON REUTERS CORP NPV Common Stock COM 884903105 1934 66950 SH SOLE 66950 0 0 TORONTO-DOMINION BANK NPV Common Stock COM 891160509 1506 18070 SH SOLE 18070 0 0 TRANSWITCH CORP US0.01 Common Stock COM 894065309 22 20625 SH SOLE 20625 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- TURQUOISE HILL RESOURCES LTD NPV Common COM 900435108 103 11950 SH SOLE 11950 0 0 Stock UNION PACIFIC CORP US$2.50 Common Stock COM 907818108 933 7862 SH SOLE 7862 0 0 UTD TECHNOLOGIES CORP US$1 Common Stock COM 913017109 538 6866 SH SOLE 6866 0 0 VANGUARD BOND INDEX FUND Total Bond COM 921937835 1255 14735 SH SOLE 14735 0 0 Market ETF VANGUARD INTL EQUITY Total World Stock COM 922042742 244 5070 SH SOLE 5070 0 0 Market ETF VANGUARD INTL EQUITY MSCI Pacific ETF COM 922042866 588 11680 SH SOLE 11680 0 0 WAL-MART STORES INC US$0.1 Common Stock COM 931142103 2431 32935 SH SOLE 32935 0 0 WAVE SYSTEMS CORP US$0.01 Class A Common COM 943526301 286 304228 SH SOLE 304228 0 0 Stock WELLS FARGO & CO US$1.6666 Common Stock COM 949746101 3119 90315 SH SOLE 90315 0 0 WHOLE FOODS MARKET INC NPV Common Stock COM 966837106 944 9691 SH SOLE 9691 0 0 YUM BRANDS INC NPV Common Stock COM 988498101 1193 17990 SH SOLE 17990 0 0 AT&T INC US$1 Common Stock COM 00206R102 2328 61739 SH SOLE 61739 0 0 ABBOTT LABORATORIES NPV Common Stock COM 002824100 9863 143860 SH SOLE 143860 0 0 ABERDEEN GLOBAL INCOME FUND US$0.001 COM 003013109 708 50130 SH SOLE 50130 0 0 Common Stock AGNICO EAGLE MINES Com Npv COM 008474108 3042 58700 SH SOLE 58700 0 0 ALLEGHENY TECHNOLOGY INC US$0.10 Common COM 01741R102 447 14000 SH SOLE 14000 0 0 Stock ALTRIA GROUP INC US$0.333333 Common Stock COM 02209S103 1723 51593 SH SOLE 51593 0 0 AMAZON COM INC Common Stock COM 023135106 2326 9145 SH SOLE 9145 0 0 AMERICAN EXPRESS CORP US$0.20 Common COM 025816109 553 9733 SH SOLE 9733 0 0 Stock AMERIPRISE FINANCIAL INC US$0.01 Common COM 03076C106 402 7086 SH SOLE 7086 0 0 Stock AMETEK INC NPV Common Stock COM 031100100 711 20047 SH SOLE 20047 0 0 ANADARKO PETROLEUM CORP US$0.10 Common COM 032511107 606 8660 SH SOLE 8660 0 0 Stock APACHE CORP US$1.25 Common Stock COM 037411105 220 2550 SH SOLE 2550 0 0 APPLE INC NPV Common Stock COM 037833100 13664 20482 SH SOLE 20482 0 0 APRICUS BIOSCIENCE INC US$0.001 Common COM 03832V109 98 30000 SH SOLE 30000 0 0 Stock ARCELORMITTAL NY Registry Shares COM 03938L104 173 12000 SH SOLE 12000 0 0 AURICO GOLD INC NPV Common Stock COM 05155C105 70 10037 SH SOLE 10037 0 0 BCE INC NPV Common Stock COM 05534B760 2069 47061 SH SOLE 47061 0 0 BP PLC ADR Cnv Into 6 Ord US$0.25 COM 055622104 819 19325 SH SOLE 19325 0 0 BRITISH TELECOM GROUP PLC ADR Each Rep COM 05577E101 484 13000 SH SOLE 13000 0 0 10 Ord Shares BAKER HUGHES INC Common Stock COM 057224107 545 12050 SH SOLE 12050 0 0 BANCO SANTANDER BRASIL SA ADR Ea Rep 1 COM 05967A107 326 44300 SH SOLE 44300 0 0 Unit (Com & Pref) BANK OF AMERICA CORP NPV Common Stock COM 060505104 547 61990 SH SOLE 61990 0 0 BANK OF MONTREAL NPV Common Stock COM 063671101 3632 61512 SH SOLE 61512 0 0 BANK OF NOVA SCOTIA NPV Common Stock COM 064149107 14950 272812 SH SOLE 272812 0 0 BARRICK GOLD CORP NPV Common Stock (CAD$) COM 067901108 943 22579 SH SOLE 22579 0 0 BARRICK GOLD CORP NPV Common Stock (US$) COM 067901108 583 13960 SH SOLE 13960 0 0 BECTON DICKINSON & CO NPV Common Stock COM 075887109 447 5695 SH SOLE 5695 0 0 BERKSHIRE HATHAWAY INC US$5 Class A COM 084670108 796 6 SH SOLE 6 0 0 Common Stock BERKSHIRE HATHAWAY INC Class B Common COM 084670702 8049 91256 SH SOLE 91256 0 0 Stock BLACKSTONE GROUP LP Common Units COM 09253U108 159 11150 SH SOLE 11150 0 0 BOEING CO US$5 Common Stock COM 097023105 263 3780 SH SOLE 3780 0 0 CAMECO CORP NPV Common Stock COM 13321L108 618 31765 SH SOLE 31765 0 0 CANADIAN PACIFIC RAILWAYS NPV Common COM 13645T100 819 9879 SH SOLE 9879 0 0 Stock CENOVUS ENERGY INC NPV Common Stock COM 15135U109 379 10859 SH SOLE 10859 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- CISCO SYSTEMS INC Common Stock COM 17275R102 1710 89533 SH SOLE 89533 0 0 CONOCOPHILLIPS US$0.01 Common Stock COM 20825C104 1971 34471 SH SOLE 34471 0 0 DEVON ENERGY CORP US$0.10 Common Stock COM 25179M103 605 10000 SH SOLE 10000 0 0 DIREXION FUNDS Daily China Bull 3X Shares COM 25459W771 224 14123 SH SOLE 14123 0 0 DR PEPPER SNAPPLE GROUP INC US$0.01 COM 26138E109 6808 152886 SH SOLE 152886 0 0 Common Stock ENBRIDGE INC NPV Common Stock COM 29250N105 565 14472 SH SOLE 14472 0 0 ENDOLOGIX INC US$0.001 Common Stock COM 29266S106 200 14500 SH SOLE 14500 0 0 EXPEDIA INC US$0.001 Comm Stk COM 30212P303 240 4150 SH SOLE 4150 0 0 (Post-Split) EXXON MOBIL CORP NPV Common Stock COM 30231G102 16683 182432 SH SOLE 182432 0 0 GLAXOSMITHKLINE PLC Spon ADR (Cnv 2 Ord COM 37733W105 435 9409 SH SOLE 9409 0 0 25p) GOLDMAN SACHS GROUP US$0.01 Common Stock COM 38141G104 333 2930 SH SOLE 2930 0 0 GOOGLE INC US$0.001 Class A Common Stock COM 38259P508 2970 3937 SH SOLE 3937 0 0 GRAN TIERRA ENERGY US$0.001 Common Stock COM 38500T101 85 16500 SH SOLE 16500 0 0 INDEXIQ ETF TRUST IQ Hedge Macro Tracker COM 45409B206 284 10229 SH SOLE 10229 0 0 ETF JP MORGAN CHASE & CO US$1 Common Stock COM 46625H100 5808 143489 SH SOLE 143489 0 0 KRAFT FOODS INC NPV Class A Common Stock COM 50075N104 18296 442462 SH SOLE 442462 0 0 LIFE TECH CORP US$0.01 Common Stock COM 53217V109 206 4207 SH SOLE 4207 0 0 MANULIFE FINANCIAL CORP NPV Common Stock COM 56501R106 468 38900 SH SOLE 38900 0 0 MARKET VECTORS ETF Agribusiness COM 57060U605 424 8193 SH SOLE 8193 0 0 MERCK & CO INC US$0.50 Common Stock COM 58933Y105 2249 49867 SH SOLE 49867 0 0 MONSANTO CO US$0.01 Common Stock COM 61166W101 1622 17815 SH SOLE 17815 0 0 MOUNTAIN PROVINCE DIAMONDS NPV Common COM 62426E402 48 11300 SH SOLE 11300 0 0 Stock NEXEN INC NPV Common Stock COM 65334H102 225 8900 SH SOLE 8900 0 0 NOVARTIS AG ADR Rep 1 CHF0.5 (Regd) COM 66987V109 383 6250 SH SOLE 6250 0 0 Shares ORACLE CORP US$0.01 Common Stock COM 68389X105 205 6523 SH SOLE 6523 0 0 PETROLEO BRASILEIRO SA Spon ADR Rep 4 COM 71654V101 356 16120 SH SOLE 16120 0 0 Pref Shares PETROLEO BRASILEIRO SA ADS Each 1 Rep 2 COM 71654V408 1066 46470 SH SOLE 46470 0 0 NPV Com Stock POTASH CORP SASK NPV Common Stock COM 73755L107 1032 23765 SH SOLE 23765 0 0 POWERSHARES ETF India P/Folio COM 73935L100 273 14545 SH SOLE 14545 0 0 POWERSHARES ETF Intl Corp Bond COM 73936Q835 1728 60140 SH SOLE 60140 0 0 POWERSHARES ETF II Emerg Mkts COM 73937B209 479 12241 SH SOLE 12241 0 0 Infrastructure P/f PROSHARES TRUST Ultrashort Lehman 20 COM 74347R297 482 30941 SH SOLE 30941 0 0 Years PROSHARES TRUST II Ultrashort Euro COM 74347W882 387 19225 SH SOLE 19225 0 0 PRUDENTIAL PLC ADR Rep 2 5p Ordinary COM 74435K204 834 32074 SH SOLE 32074 0 0 Shares SPDR TRUST S&P 500 ETF Trust COM 78462F103 3872 26896 SH SOLE 26896 0 0 SPDR GOLD TRUST NPV Shares COM 78463V107 4367 25406 SH SOLE 25406 0 0 SPECTRANETICS CORP US$0.001 Common Stock COM 84760C107 159 10800 SH SOLE 10800 0 0 3M COMPANY US$0.01 Common Stock COM 88579Y101 712 7700 SH SOLE 7700 0 0 VALE SA Spons ADR Rep 1 Common Stock COM 91912E105 445 24845 SH SOLE 24845 0 0 VALERO ENERGY CORP US$0.01 Common Stock COM 91913Y100 634 20000 SH SOLE 20000 0 0 VERIZON COMMS INC NPV Common Stock COM 92343V104 373 8187 SH SOLE 8187 0 0 VISA INC US$0.0001 Common Stock COM 92826C839 4539 33800 SH SOLE 33800 0 0 VODAFONE GROUP PLC SP Adr Rep 10 COM 92857W209 1935 67908 SH SOLE 67908 0 0 US$0.11428571 XYLEM INC US$0.01 Common Stock COM 98419M100 490 19500 SH SOLE 19500 0 0 YAMANA GOLD INC NPV Common Stock (CA$) COM 98462Y100 265 13857 SH SOLE 13857 0 0 YAMANA GOLD INC NPV Common Stock (US$) COM 98462Y100 440 23000 SH SOLE 23000 0 0