0001140361-13-005920.txt : 20130212 0001140361-13-005920.hdr.sgml : 20130212 20130212103307 ACCESSION NUMBER: 0001140361-13-005920 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130212 EFFECTIVENESS DATE: 20130212 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: 13595050 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: 12/31/2012 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 2/12/2013 --------------------------------- --------------------------------- ---------- [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: 219 Form 13F Information Table Value Total: $ 428,669 -------------- (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 868 9353 SH SOLE 9353 0 0 ABBOTT LABORATORIES NPV Common Stock COM 002824100 9,668 147609 SH SOLE 147609 0 0 ABERDEEN GLOBAL INCOME FUND US$0.001 COM 003013109 703 49430 SH SOLE 49430 0 0 Common Stock AGNICO EAGLE MINES Com Npv COM 008474108 3,053 58300 SH SOLE 58300 0 0 ALLEGHENY TECHNOLOGY INC US$0.10 Common COM 01741R102 425 14000 SH SOLE 14000 0 0 Stock ALMADEN MINERALS LTD NPV Common Stock COM 020283107 190 60000 SH SOLE 60000 0 0 ALTRIA GROUP INC US$0.333333 Common Stock COM 02209S103 2,263 71993 SH SOLE 71993 0 0 AMAZON COM INC Common Stock COM 023135106 2,594 10339 SH SOLE 10339 0 0 AMERICAN EXPRESS CORP US$0.20 Common COM 025816109 559 9733 SH SOLE 9733 0 0 Stock AMERIPRISE FINANCIAL INC US$0.01 Common COM 03076C106 432 6897 SH SOLE 6897 0 0 Stock AMETEK INC NPV Common Stock COM 031100100 753 20047 SH SOLE 20047 0 0 ANADARKO PETROLEUM CORP US$0.10 Common COM 032511107 648 8726 SH SOLE 8726 0 0 Stock APACHE CORP US$1.25 Common Stock COM 037411105 212 2698 SH SOLE 2698 0 0 APPLE INC NPV Common Stock COM 037833100 10,504 19738 SH SOLE 19738 0 0 APRICUS BIOSCIENCE INC US$0.001 Common COM 03832V109 90 45000 SH SOLE 45000 0 0 Stock ARCELORMITTAL NY Registry Shares COM 03938L104 210 12000 SH SOLE 12000 0 0 AT&T INC US$1 Common Stock COM 00206R102 2,695 79933 SH SOLE 79933 0 0 AURICO GOLD INC NPV Common Stock COM 05155C105 83 10037 SH SOLE 10037 0 0 BACTERIN INTL HOLDINGS INC US$0.000001 COM 05644R101 13 10000 SH SOLE 10000 0 0 Common Stock BAKER HUGHES INC Common Stock COM 057224107 564 13813 SH SOLE 13813 0 0 BANCO SANTANDER BRASIL SA ADR Ea Rep 1 COM 05967A107 309 42500 SH SOLE 42500 0 0 Unit (Com & Pref) BANK OF AMERICA CORP NPV Common Stock COM 060505104 728 62690 SH SOLE 62690 0 0 BANK OF MONTREAL NPV Common Stock COM 063671101 4,073 66635 SH SOLE 66635 0 0 BANK OF NOVA SCOTIA NPV Common Stock COM 064149107 16,262 281790 SH SOLE 281790 0 0 BARRICK GOLD CORP NPV Common Stock (CAD$) COM 067901108 1,380 39439 SH SOLE 39439 0 0 BAXTER INTERNATIONAL INC US$1 Common COM 071813109 574 8613 SH SOLE 8613 0 0 Stock BCE INC NPV Common Stock COM 05534B760 2,405 56181 SH SOLE 56181 0 0 BECTON DICKINSON & CO NPV Common Stock COM 075887109 445 5695 SH SOLE 5695 0 0 BERKSHIRE HATHAWAY INC Class B Common COM 084670702 9,161 102130 SH SOLE 102130 0 0 Stock BERKSHIRE HATHAWAY INC US$5 Class A COM 084670108 938 7 SH SOLE 7 0 0 Common Stock BLACKSTONE GROUP LP Common Units COM 09253U108 174 11150 SH SOLE 11150 0 0 BOEING CO US$5 Common Stock COM 097023105 381 5062 SH SOLE 5062 0 0 BP PLC ADR Cnv Into 6 Ord US$0.25 COM 055622104 807 19383 SH SOLE 19383 0 0 BRISTOL-MYERS SQUIBB CO NPV Common Stock COM 110122108 1,715 52616 SH SOLE 52616 0 0 BRITISH AMERICAN TOBACCO PLC ADR Each COM 110448107 373 3683 SH SOLE 3683 0 0 Rep 2 25p Ord Shares BRITISH TELECOM GROUP PLC ADR Each Rep COM 05577E101 494 13000 SH SOLE 13000 0 0 10 Ord Shares BROCADE COMMS SYSTEMS US$0.001 Common COM 111621306 93 17500 SH SOLE 17500 0 0 Stock BROOKFIELD ASSETT MGMT LTD NPV Cls A COM 112585104 207 5663 SH SOLE 5663 0 0 Voting Shares BROWN-FORMAN CORP US$0.15 B Common Stock COM 115637209 577 9120 SH SOLE 9120 0 0 BURCON NUTRASCIENC NPV Common Stock COM 120831102 51 11000 SH SOLE 11000 0 0 CAMECO CORP NPV Common Stock COM 13321L108 641 32592 SH SOLE 32592 0 0 CANADIAN IMPERIAL BANK NPV Common Stock COM 136069101 7,412 92277 SH SOLE 92277 0 0 CANADIAN NATIONAL RAILWAYS CO NPV Common COM 136375102 323 3555 SH SOLE 3555 0 0 Stock CANADIAN PACIFIC RAILWAYS INC NPV Common COM 13645T100 1,111 10964 SH SOLE 10964 0 0 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- CATERPILLAR INC US$1 Common Stock COM 149123101 2,834 31625 SH SOLE 31625 0 0 CDN NATURAL RESOURCES NPV Common Stock COM 136385101 259 9014 SH SOLE 9014 0 0 CELGENE CORP US$0.01 Common Stock COM 151020104 225 2870 SH SOLE 2870 0 0 CENOVUS ENERGY INC NPV Common Stock COM 15135U109 567 16967 SH SOLE 16967 0 0 CHEVRON CORP US$0.75 Common Stock COM 166764100 12,015 111105 SH SOLE 111105 0 0 CISCO SYSTEMS INC Common Stock COM 17275R102 1,886 95992 SH SOLE 95992 0 0 CITIGROUP INC US$0.01 Common Stock COM 172967424 2,164 54703 SH SOLE 54703 0 0 CLAUDE RESOURCES INC NPV Common Stock COM 182873109 7 12000 SH SOLE 12000 0 0 COACH INC US$0.01 Common Stock COM 189754104 331 5954 SH SOLE 5954 0 0 COCA-COLA CO US$0.25 Common Stock COM 191216100 10,324 284796 SH SOLE 284796 0 0 COLGATE-PALMOLIVE CO NPV Common Stock COM 194162103 11,186 107004 SH SOLE 107004 0 0 CONOCOPHILLIPS US$0.01 Common Stock COM 20825C104 2,084 35938 SH SOLE 35938 0 0 CUMMINS INC US$2.50 Common Stock COM 231021106 1,286 11867 SH SOLE 11867 0 0 DEERE & CO US$1 Common Stock COM 244199105 1,578 18256 SH SOLE 18256 0 0 DELTIC TIMBER CORPORATION US$0.01 Common COM 247850100 313 4430 SH SOLE 4430 0 0 Stock DENISON MINES INC NPV Common Stock COM 248356107 61 49452 SH SOLE 49452 0 0 DEVON ENERGY CORP US$0.10 Common Stock COM 25179M103 520 10000 SH SOLE 10000 0 0 DIEBOLD INC US$1.25 Common Stock COM 253651103 536 17500 SH SOLE 17500 0 0 DIREXION FUNDS Daily China Bull 3X Shares COM 25459W771 345 18430 SH SOLE 18430 0 0 DOLLAR GENERAL CORP US$0.875 Common Stock COM 256677105 344 7810 SH SOLE 7810 0 0 DOVER CORP US$1 Common Stock COM 260003108 789 12000 SH SOLE 12000 0 0 DR PEPPER SNAPPLE GROUP INC US$0.01 COM 26138E109 6,658 150706 SH SOLE 150706 0 0 Common Stock DU PONT DE NEMOURS US$0.30 Common Stock COM 263534109 260 5790 SH SOLE 5790 0 0 DYNAVAX TECHNOLOGIES CORP US$0.001 COM 268158102 34 12000 SH SOLE 12000 0 0 Common Stock EBAY INC US$0.001 Common Stock COM 278642103 833 16325 SH SOLE 16325 0 0 ELDORADO GOLD CORP NPV Common Stock COM 284902103 343 26650 SH SOLE 26650 0 0 EMC CORP MASSACHUSETTS US$0.01 Common COM 268648102 1,277 50473 SH SOLE 50473 0 0 Stock EMERSON ELECTRIC CO US$0.50 Common Stock COM 291011104 2,347 44309 SH SOLE 44309 0 0 ENBRIDGE INC NPV Common Stock COM 29250N105 903 20906 SH SOLE 20906 0 0 ENCANA CORP NPV Common Stock COM 292505104 352 17828 SH SOLE 17828 0 0 ENDOLOGIX INC US$0.001 Common Stock COM 29266S106 206 14500 SH SOLE 14500 0 0 EXPEDIA INC US$0.001 Comm Stk COM 30212P303 255 4150 SH SOLE 4150 0 0 (Post-Split) EXPEDITOR INTL OF WASHINGTON US$0.01 COM 302130109 281 7100 SH SOLE 7100 0 0 Common Stock EXXON MOBIL CORP NPV Common Stock COM 30231G102 17,461 201744 SH SOLE 201744 0 0 GALLAGHER AJ & CO US$1 Common Stock COM 363576109 4,275 123390 SH SOLE 123390 0 0 GENERAL ELECTRIC CORP US$0.06 Common COM 369604103 13,311 634164 SH SOLE 634164 0 0 Stock GENERAL MILLS INC US$0.10 Common Stock COM 370334104 277 6851 SH SOLE 6851 0 0 GILEAD SCIENCES INC US$0.001 Common Stock COM 375558103 514 6996 SH SOLE 6996 0 0 GLAXOSMITHKLINE PLC Spon ADR (Cnv 2 Ord COM 37733W105 483 11109 SH SOLE 11109 0 0 25p) GOLDCORP INC NPV Common Stock COM 380956409 3,589 97715 SH SOLE 97715 0 0 GOLDMAN SACHS GROUP US$0.01 Common Stock COM 38141G104 392 3075 SH SOLE 3075 0 0 GOOGLE INC US$0.001 Class A Common Stock COM 38259P508 2,737 3869 SH SOLE 3869 0 0 GRAN TIERRA ENERGY US$0.001 Common Stock COM 38500T101 72 13153 SH SOLE 13153 0 0 HARLEY DAVIDSON US$0.01 Common Stock COM 412822108 389 7959 SH SOLE 7959 0 0 HECLA MINING CO US$0.25 Common Stock COM 422704106 66 11250 SH SOLE 11250 0 0 HEINZ (HJ) CO US$0.25 Common Stock COM 423074103 1,228 21287 SH SOLE 21287 0 0 HONEYWELL INTERNATIONAL INC US$1 Common COM 438516106 4,770 75161 SH SOLE 75161 0 0 Stock IBM CORP US$0.20 Common Stock COM 459200101 8,275 43200 SH SOLE 43200 0 0 ILLINOIS TOOL WORKS INC NPV Common Stock COM 452308109 613 10073 SH SOLE 10073 0 0 IMPERIAL OIL NPV Common Stock COM 453038408 1,143 26640 SH SOLE 26640 0 0 INDEXIQ ETF TRUST IQ Hedge Macro Tracker COM 45409B206 280 10229 SH SOLE 10229 0 0 ETF

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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- INDONESIA FUND INC US$0.001 Common Stock COM 00305P106 135 11560 SH SOLE 11560 0 0 INTEL CORP US$0.001 Common Stock COM 458140100 4,646 225297 SH SOLE 225297 0 0 ISHARES INC Core S&P 500 ETF COM 464287200 579 4045 SH SOLE 4045 0 0 ISHARES INC MSCI Canada Index Fund COM 464286509 632 22265 SH SOLE 22265 0 0 ISHARES INC MSCI Germany Index Fund COM 464286806 1,166 47195 SH SOLE 47195 0 0 ISHARES INC MSCI Japan Index Fund COM 464286848 211 21630 SH SOLE 21630 0 0 ISHARES INC MSCI Pacific Ex Japan Index COM 464286665 3,936 83500 SH SOLE 83500 0 0 Fd ISHARES INC MSCI UK Index Fund COM 464286699 1,783 99391 SH SOLE 99391 0 0 ISHARES INC S&P Dvlpd (Ex-US) Prop Index COM 464288422 489 13477 SH SOLE 13477 0 0 ISHARES TRUST Barclays Tips Bond Fund COM 464287176 816 6722 SH SOLE 6722 0 0 ISHARES TRUST DJ Intl Select Div Index COM 464288448 432 12845 SH SOLE 12845 0 0 Fund ISHARES TRUST Dow Jones Select Div Index COM 464287168 2,771 48412 SH SOLE 48412 0 0 ISHARES TRUST High Yield Corp Bond (US$) COM 464288513 313 3349 SH SOLE 3349 0 0 ISHARES TRUST MSCI Emerging Markets Index COM 464287234 2,244 50590 SH SOLE 50590 0 0 ISHARES TRUST MSCI EMU Index Fund COM 464286608 213 6355 SH SOLE 6355 0 0 ISHARES TRUST S&P Gbl Heathcare Sector COM 464287325 277 4300 SH SOLE 4300 0 0 ISHARES TRUST S&P Global 100 Index Fund COM 464287572 518 8092 SH SOLE 8092 0 0 ISHARES TRUST S&P Global Technology Index COM 464287291 405 6017 SH SOLE 6017 0 0 IVANHOE ENERGY INC NPV Common Stock COM 465790103 227 319588 SH SOLE 319588 0 0 JOHNSON & JOHNSON US$1 Common Stock COM 478160104 16,332 232987 SH SOLE 232987 0 0 JP MORGAN CHASE & CO US$1 Common Stock COM 46625H100 6,910 157157 SH SOLE 157157 0 0 KELLOGG CO US$0.25 Common Stock COM 487836108 704 12605 SH SOLE 12605 0 0 KIMBERLEY CLARK CORP NPV Common Stock COM 494368103 2,489 29476 SH SOLE 29476 0 0 KINROSS GOLD CORP NPV Common Stock COM 496902404 112 11549 SH SOLE 11549 0 0 KRAFT FOODS GROUP NPV Common Stock COM 50076Q106 7,708 169519 SH SOLE 169519 0 0 LEXICON GENETICS INC US$0.001 Common COM 528872104 74 33548 SH SOLE 33548 0 0 Stock LILLY (ELI) & CO NPV Common Stock COM 532457108 710 14390 SH SOLE 14390 0 0 LKQ CORP US$0.01 Common Stock COM 501889208 226 10700 SH SOLE 10700 0 0 LOCKHEED MARTIN CO US$1 Common Stock COM 539830109 216 2337 SH SOLE 2337 0 0 LOEWS CORP US$1 Common Stock COM 540424108 815 20000 SH SOLE 20000 0 0 LOWES COS INC US$0.50 Common Stock COM 548661107 272 7650 SH SOLE 7650 0 0 MANULIFE FINANCIAL CORP NPV Common Stock COM 56501R106 721 53148 SH SOLE 53148 0 0 MARKET VECTORS ETF Agribusiness COM 57060U605 429 8127 SH SOLE 8127 0 0 MARKET VECTORS ETF Gold Mines COM 57060U100 390 8407 SH SOLE 8407 0 0 MARSH & MCLENNAN CO INC US$1 Common Stock COM 571748102 5,394 156471 SH SOLE 156471 0 0 MCCORMICK & CO INC NPV Vtg Common Stock COM 579780107 316 5000 SH SOLE 5000 0 0 MCDONALD'S CORP US$0.01 Common Stock COM 580135101 4,243 48097 SH SOLE 48097 0 0 MEDTRONIC INC US$0.10 Common Stock COM 585055106 207 5039 SH SOLE 5039 0 0 MERCK & CO INC US$0.50 Common Stock COM 58933Y105 2,397 58553 SH SOLE 58553 0 0 METLIFE INC US$0.01 Common Stock COM 59156R108 355 10765 SH SOLE 10765 0 0 MICROCHIP TECHNOLOGY INC US$0.001 Common COM 595017104 211 6482 SH SOLE 6482 0 0 Stock MICROSOFT CORP NPV Common Stock COM 594918104 6,268 234663 SH SOLE 234663 0 0 MONDELEZ INTL INC US$0.01 Common Stock COM 609207105 12,433 488450 SH SOLE 488450 0 0 MONSANTO CO US$0.01 Common Stock COM 61166W101 1,724 18216 SH SOLE 18216 0 0 MOODYS CORP US$0.01 Common Stock COM 615369105 201 4002 SH SOLE 4002 0 0 MOUNTAIN PROVINCE DIAMONDS NPV Common COM 62426E402 52 13182 SH SOLE 13182 0 0 Stock MYLAN INC US$0.50 Common Stock COM 628530107 327 11900 SH SOLE 11900 0 0 NATIONAL OILWELL VARCO INC US$0.01 COM 637071101 314 4595 SH SOLE 4595 0 0 Common Stock NEKTAR THERAPEUTICS US$0.01 Common Stock COM 640268108 80 10800 SH SOLE 10800 0 0 NEWMONT MINING CORP US$1.60 Common Stock COM 651639106 5,057 108895 SH SOLE 108895 0 0 NEXEN INC NPV Common Stock COM 65334H102 359 13460 SH SOLE 13460 0 0 NORTHEAST UTILITIES US$5 Common Stock COM 664397106 207 5300 SH SOLE 5300 0 0 NOVARTIS AG ADR Rep 1 CHF0.5 (Regd) COM 66987V109 367 5800 SH SOLE 5800 0 0 Shares

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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- ORACLE CORP US$0.01 Common Stock COM 68389X105 294 8835 SH SOLE 8835 0 0 PARKER-HANNIFIN CORP US$0.50 Common Stock COM 701094104 1,097 12900 SH SOLE 12900 0 0 PEPSICO INC US$0.016666 Cap COM 713448108 4,913 71789 SH SOLE 71789 0 0 PETROLEO BRASILEIRO SA ADS Each 1 Rep 2 COM 71654V408 873 44820 SH SOLE 44820 0 0 NPV Com Stock PETROLEO BRASILEIRO SA Spon ADR Rep 4 COM 71654V101 311 16120 SH SOLE 16120 0 0 Pref Shares PFIZER INC US$0.05 Common Stock COM 717081103 5,361 213765 SH SOLE 213765 0 0 PHILIP MORRIS INTL INC NPV Common Stock COM 718172109 11,073 132391 SH SOLE 132391 0 0 PHILLIPS 66 US$0.01 Common Stock COM 718546104 440 8279 SH SOLE 8279 0 0 PITNEY BOWES INC US$1 Common Stock COM 724479100 181 17000 SH SOLE 17000 0 0 PLUM CREEK TIMBER CO INC US$0.01 Common COM 729251108 604 13604 SH SOLE 13604 0 0 Stock POTASH CORP SASK NPV Common Stock COM 73755L107 1,599 39335 SH SOLE 39335 0 0 POWERSHARES ETF II Emerg Mkts COM 73937B209 481 11141 SH SOLE 11141 0 0 Infrastructure P/f POWERSHARES ETF India P/Folio COM 73935L100 222 12115 SH SOLE 12115 0 0 POWERSHARES ETF Intl Corp Bond COM 73936Q835 1,971 66563 SH SOLE 66563 0 0 POWERSHARES QQQ Unit Series 1 COM 73935A104 504 7735 SH SOLE 7735 0 0 PROCTER & GAMBLE CO NPV Common Stock COM 742718109 6,851 100911 SH SOLE 100911 0 0 PROSHARES TRUST Ultrashort Consumer COM 74348A616 262 6719 SH SOLE 6719 0 0 Services PROSHARES TRUST Ultrashort Lehman 20 Yr COM 74347B201 486 7667 SH SOLE 7667 0 0 (Post) PRUDENTIAL PLC ADR Rep 2 5p Ordinary COM 74435K204 916 32074 SH SOLE 32074 0 0 Shares QUALCOMM INC US$0.001 Common Stock COM 747525103 341 5515 SH SOLE 5515 0 0 RACKSPACE HOSTING INC US$0.001 Common COM 750086100 2,698 36325 SH SOLE 36325 0 0 Stock RAYTHEON CO US$0.01 Common Stock COM 755111507 4,380 76100 SH SOLE 76100 0 0 RESMED INC US$0.004 Common Stock COM 761152107 303 7300 SH SOLE 7300 0 0 REYNOLDS AMERICAN INC US$0.0001 Common COM 761713106 542 13090 SH SOLE 13090 0 0 Stock ROYAL BANK OF CANADA NPV Common Stock COM 780087102 19,014 316155 SH SOLE 316155 0 0 ROYAL DUTCH SHELL EUR0.07 ADR Ea Rep 2 COM 780259107 910 12830 SH SOLE 12830 0 0 Cls B Shs ROYAL DUTCH SHELL PLC ADR Ech Rep 2 Cl A COM 780259206 324 4702 SH SOLE 4702 0 0 EUR0.07 Shs RUBICON MINERALS CORP NPV Common Stock COM 780911103 58 22500 SH SOLE 22500 0 0 SCHLUMBERGER LTD US$0.01 Common Stock COM 806857108 5,997 86534 SH SOLE 86534 0 0 SPDR GOLD TRUST NPV Shares COM 78463V107 3,591 22164 SH SOLE 22164 0 0 SPDR TRUST S&P 500 ETF Trust COM 78462F103 3,250 22823 SH SOLE 22823 0 0 SPECTRANETICS CORP US$0.001 Common Stock COM 84760C107 148 10000 SH SOLE 10000 0 0 SPRINT NEXTEL CORP US$2 Common Stock COM 852061100 63 11100 SH SOLE 11100 0 0 Series 1 STANLEY BLACK & DECKER INC US$2.50 COM 854502101 244 3300 SH SOLE 3300 0 0 Common Stock STARBUCKS CORP US$0.001 Common Stock COM 855244109 576 10735 SH SOLE 10735 0 0 STRYKER CORP US$0.10 Common Stock COM 863667101 251 4581 SH SOLE 4581 0 0 SUNCOR ENERGY INC New NPV Common Stock COM 867224107 1,074 32700 SH SOLE 32700 0 0 (CA$) SWEDISH EXPORT CREDIT Elements ETN Lkd COM 870297603 1,151 127015 SH SOLE 127015 0 0 RICI SYSCO CORP NPV Common Stock COM 871829107 1,464 46250 SH SOLE 46250 0 0 TEMPLETON EMERGING MKTS FUND US$0.01 COM 880191101 1,669 83440 SH SOLE 83440 0 0 Common Stock THERMO FISHER SCIENTIFIC INC US$1 Common COM 883556102 385 6041 SH SOLE 6041 0 0 Stock THOMSON REUTERS CORP NPV Common Stock COM 884903105 1,967 68049 SH SOLE 68049 0 0 TIME WARNER INC US$0.01 Common Stock COM 887317303 515 10776 SH SOLE 10776 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- TJX COMPANIES INC NPV Common Stock COM 872540109 690 16263 SH SOLE 16263 0 0 TORONTO-DOMINION BANK NPV Common Stock COM 891160509 2,531 30095 SH SOLE 30095 0 0 TOTAL SA ADR (Conv 1/2 EUR10 Shares) COM 89151E109 235 4515 SH SOLE 4515 0 0 TRANSCANADA CORP NPV Common Stock COM 89353D107 272 5766 SH SOLE 5766 0 0 TRANSWITCH CORP US0.01 Common Stock COM 894065309 13 20625 SH SOLE 20625 0 0 TURQUOISE HILL RESOURCES LTD NPV Common COM 900435108 91 11950 SH SOLE 11950 0 0 Stock UNION PACIFIC CORP US$2.50 Common Stock COM 907818108 985 7832 SH SOLE 7832 0 0 UNITED STATES OIL FUND Units COM 91232N108 295 8848 SH SOLE 8848 0 0 US BANCORP DEL US$0.01 Common Stock COM 902973304 541 16952 SH SOLE 16952 0 0 UTD TECHNOLOGIES CORP US$1 Common Stock COM 913017109 768 9360 SH SOLE 9360 0 0 VALE SA Spons ADR Rep 1 Common Stock COM 91912E105 568 27115 SH SOLE 27115 0 0 VALERO ENERGY CORP US$0.01 Common Stock COM 91913Y100 682 20000 SH SOLE 20000 0 0 VANGUARD BOND INDEX FUND Total Bond COM 921937835 1,253 14915 SH SOLE 14915 0 0 Market ETF VANGUARD INTL EQUITY MSCI Pacific ETF COM 922042866 356 6670 SH SOLE 6670 0 0 VANGUARD INTL EQUITY Total World Stock COM 922042742 349 7060 SH SOLE 7060 0 0 Market ETF VERIZON COMMS INC NPV Common Stock COM 92343V104 601 13890 SH SOLE 13890 0 0 VISA INC US$0.0001 Common Stock COM 92826C839 4,475 29525 SH SOLE 29525 0 0 VODAFONE GROUP PLC SP Adr Rep 10 COM 92857W209 1,924 76398 SH SOLE 76398 0 0 US$0.11428571 WAL-MART STORES INC US$0.1 Common Stock COM 931142103 1,901 27856 SH SOLE 27856 0 0 WALT DISNEY (HLDGS) CO US$0.1 Common COM 254687106 631 12679 SH SOLE 12679 0 0 Stock WASTE MANAGEMENT INC NPV Common Stock COM 94106L109 231 6850 SH SOLE 6850 0 0 WAVE SYSTEMS CORP US$0.01 Class A Common COM 943526301 218 304166 SH SOLE 304166 0 0 Stock WELLS FARGO & CO US$1.6666 Common Stock COM 949746101 4,882 142832 SH SOLE 142832 0 0 WHOLE FOODS MARKET INC NPV Common Stock COM 966837106 668 7323 SH SOLE 7323 0 0 WISDOMTREE TRUST Japan Total Div SBI COM 97717W851 646 17508 SH SOLE 17508 0 0 US$0.001 XYLEM INC US$0.01 Common Stock COM 98419M100 610 22500 SH SOLE 22500 0 0 YAMANA GOLD INC NPV Common Stock (US$) COM 98462Y100 598 14915 SH SOLE 34772 0 0 YUM BRANDS INC NPV Common Stock COM 988498101 1,449 21825 SH SOLE 21825 0 0