0001140361-13-020192.txt : 20130513 0001140361-13-020192.hdr.sgml : 20130513 20130513071246 ACCESSION NUMBER: 0001140361-13-020192 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130513 DATE AS OF CHANGE: 20130513 EFFECTIVENESS DATE: 20130513 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: 13835341 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: 3/31/2013 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: Gavin Thomas Title: Operational Tax reporting Phone: 00-44-151-243-7233 Signature, Place, and Date of Signing: /s/ Gavin Thomas LIVERPOOL, UK 5/13/2013 --------------------------------- --------------------------------- ---------- [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: 236 Form 13F Information Table Value Total: $ 507,717 -------------- (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 1350 12698 SH SOLE 12698 0 0 ABBOTT LABORATORIES NPV Common Stock COM 2824100 6566 185889 SH SOLE 185889 0 0 ABBVIE INC US$0.01 Common Stock COM 00287Y109 6847 167909 SH SOLE 167909 0 0 ABERDEEN GLOBAL INCOME FUND US$0.001 COM 3013109 658 47930 SH SOLE 47930 0 0 Common Stock AGNICO EAGLE MINES Com Npv COM 8474108 2391 58300 SH SOLE 58300 0 0 AGRIUM INC NPV Common Stock COM 8916108 218 2235 SH SOLE 2235 0 0 ALLEGHENY TECHNOLOGY INC US$0.10 Common COM 01741R102 523 16500 SH SOLE 16500 0 0 Stock ALMADEN MINERALS LTD NPV Common Stock COM 20283107 130 60000 SH SOLE 60000 0 0 ALTRIA GROUP INC US$0.333333 Common Stock COM 02209S103 4120 119790 SH SOLE 119790 0 0 AMAZON COM INC Common Stock COM 23135106 3502 13140 SH SOLE 13140 0 0 AMERICAN EXPRESS CORP US$0.20 Common COM 25816109 657 9733 SH SOLE 9733 0 0 Stock AMETEK INC NPV Common Stock COM 31100100 854 19700 SH SOLE 19700 0 0 ANADARKO PETROLEUM CORP US$0.10 Common COM 32511107 732 8371 SH SOLE 8371 0 0 Stock APPLE INC NPV Common Stock COM 37833100 10791 24378 SH SOLE 24378 0 0 APRICUS BIOSCIENCE INC US$0.001 Common COM 03832V109 121 45000 SH SOLE 45000 0 0 Stock ARCELORMITTAL NY Registry Shares COM 03938L104 306 23500 SH SOLE 23500 0 0 AT&T INC US$1 Common Stock COM 00206R102 2871 78263 SH SOLE 78263 0 0 BACTERIN INTL HOLDINGS INC US$0.000001 COM 05644R101 8 10000 SH SOLE 10000 0 0 Common Stock BAKER HUGHES INC Common Stock COM 57224107 641 13813 SH SOLE 13813 0 0 BANCO SANTANDER BRASIL SA ADR Ea Rep 1 COM 05967A107 214 29500 SH SOLE 29500 0 0 Unit (Com & Pref) BANK OF AMERICA CORP NPV Common Stock COM 60505104 1326 108840 SH SOLE 108840 0 0 BANK OF MONTREAL NPV Common Stock COM 63671101 4222 67086 SH SOLE 67086 0 0 BANK OF NOVA SCOTIA NPV Common Stock COM 64149107 16336 280790 SH SOLE 280790 0 0 BARCLAYS BANK PLC IPath DJ UBS Coffee TR COM 06739H297 297 9975 SH SOLE 9975 0 0 ETN BARRICK GOLD CORP NPV Common Stock (CAD$) COM 67901108 902 30702 SH SOLE 30702 0 0 BAXTER INTERNATIONAL INC US$1 Common COM 71813109 785 10813 SH SOLE 10813 0 0 Stock BCE INC NPV Common Stock COM 05534B760 2742 58681 SH SOLE 58681 0 0 BECTON DICKINSON & CO NPV Common Stock COM 75887109 552 5770 SH SOLE 5770 0 0 BERKSHIRE HATHAWAY INC Class B Common COM 84670702 14249 136742 SH SOLE 136742 0 0 Stock BERKSHIRE HATHAWAY INC US$5 Class A COM 84670108 1094 7 SH SOLE 7 0 0 Common Stock BLACKSTONE GROUP LP Common Units COM 09253U108 227 11500 SH SOLE 11500 0 0 BOEING CO US$5 Common Stock COM 97023105 432 5035 SH SOLE 5035 0 0 BP PLC ADR Cnv Into 6 Ord US$0.25 COM 55622104 952 22483 SH SOLE 22483 0 0 BRISTOL-MYERS SQUIBB CO NPV Common Stock COM 110122108 2368 57479 SH SOLE 57479 0 0 BRITISH AMERICAN TOBACCO PLC ADR Each COM 110448107 936 8743 SH SOLE 8743 0 0 Rep 2 25p Ord Shares BRITISH TELECOM GROUP PLC ADR Each Rep COM 05577E101 546 13000 SH SOLE 13000 0 0 10 Ord Shares BROCADE COMMS SYSTEMS US$0.001 Common COM 111621306 101 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 651 9120 SH SOLE 9120 0 0 BURCON NUTRASCIENC NPV Common Stock COM 120831102 30 10000 SH SOLE 10000 0 0 CAMECO CORP NPV Common Stock COM 13321L108 661 31877 SH SOLE 31877 0 0 CAMERON INTERNATIONAL CORP US$0.01 COM 13342B105 235 3600 SH SOLE 3600 0 0 Common Stock CANADIAN IMPERIAL BANK NPV Common Stock COM 136069101 7222 92077 SH SOLE 92077 0 0 CANADIAN NATIONAL RAILWAYS CO NPV Common COM 136375102 357 3555 SH SOLE 3555 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- CANADIAN PACIFIC RAILWAY LTD NPV Common COM 13645T100 909 6964 SH SOLE 6964 0 0 Stock CATERPILLAR INC US$1 Common Stock COM 149123101 2249 25860 SH SOLE 25860 0 0 CDN NATURAL RESOURCES NPV Common Stock COM 136385101 289 9014 SH SOLE 9014 0 0 CELGENE CORP US$0.01 Common Stock COM 151020104 478 4120 SH SOLE 4120 0 0 CENOVUS ENERGY INC NPV Common Stock COM 15135U109 514 16612 SH SOLE 16612 0 0 CHEVRON CORP US$0.75 Common Stock COM 166764100 13196 111060 SH SOLE 111060 0 0 CISCO SYSTEMS INC Common Stock COM 17275R102 2075 99297 SH SOLE 99297 0 0 CITIGROUP INC US$0.01 Common Stock COM 172967424 4061 91789 SH SOLE 91789 0 0 CLAUDE RESOURCES INC NPV Common Stock COM 182873109 6 12000 SH SOLE 12000 0 0 COACH INC US$0.01 Common Stock COM 189754104 287 5750 SH SOLE 5750 0 0 COCA-COLA CO US$0.25 Common Stock COM 191216100 13250 327647 SH SOLE 327647 0 0 COLGATE-PALMOLIVE CO NPV Common Stock COM 194162103 12749 108019 SH SOLE 108019 0 0 CONOCOPHILLIPS US$0.01 Common Stock COM 20825C104 1938 32238 SH SOLE 32238 0 0 CORNING INC US$0.50 Common Stock COM 219350105 2302 172695 SH SOLE 172695 0 0 CUMMINS INC US$2.50 Common Stock COM 231021106 1653 14272 SH SOLE 14272 0 0 CURRENCYSHARES JAPANESE YEN Japanese Yen COM 23130A102 777 7464 SH SOLE 7464 0 0 ETF CVS CORP US$0.01 Common Stock COM 126650100 208 3790 SH SOLE 3790 0 0 DEERE & CO US$1 Common Stock COM 244199105 1953 22714 SH SOLE 22714 0 0 DELTIC TIMBER CORPORATION US$0.01 Common COM 247850100 479 6966 SH SOLE 6966 0 0 Stock DENISON MINES INC NPV Common Stock COM 248356107 47 34452 SH SOLE 34452 0 0 DEVON ENERGY CORP US$0.10 Common Stock COM 25179M103 564 10000 SH SOLE 10000 0 0 DIAGEO PLC ADR 4 28 101/108p Ordinary Shs COM 25243Q205 663 5270 SH SOLE 5270 0 0 DIEBOLD INC US$1.25 Common Stock COM 253651103 531 17500 SH SOLE 17500 0 0 DIREXION FUNDS Daily China Bull 3X Shares COM 25459W771 518 31864 SH SOLE 31864 0 0 DOLLAR GENERAL CORP US$0.875 Common Stock COM 256677105 1606 31745 SH SOLE 31745 0 0 DOVER CORP US$1 Common Stock COM 260003108 875 12000 SH SOLE 12000 0 0 DR PEPPER SNAPPLE GROUP INC US$0.01 COM 26138E109 6994 148977 SH SOLE 148977 0 0 Common Stock DU PONT DE NEMOURS US$0.30 Common Stock COM 263534109 299 6090 SH SOLE 6090 0 0 DYNAVAX TECHNOLOGIES CORP US$0.001 COM 268158102 27 12000 SH SOLE 12000 0 0 Common Stock EBAY INC US$0.001 Common Stock COM 278642103 983 18125 SH SOLE 18125 0 0 ELDORADO GOLD CORP NPV Common Stock COM 284902103 178 18638 SH SOLE 18638 0 0 EMC CORP MASSACHUSETTS US$0.01 Common COM 268648102 2104 88083 SH SOLE 88083 0 0 Stock EMERSON ELECTRIC CO US$0.50 Common Stock COM 291011104 2541 45489 SH SOLE 45489 0 0 ENBRIDGE INC NPV Common Stock COM 29250N105 973 20906 SH SOLE 20906 0 0 ENCANA CORP NPV Common Stock COM 292505104 330 16974 SH SOLE 16974 0 0 ENDOLOGIX INC US$0.001 Common Stock COM 29266S106 234 14500 SH SOLE 14500 0 0 EXELIXIS INC US$0.001 Common Stock COM 30161Q104 76 16500 SH SOLE 16500 0 0 EXPEDIA INC US$0.001 Comm Stk COM 30212P303 249 4150 SH SOLE 4150 0 0 (Post-Split) EXPEDITOR INTL OF WASHINGTON US$0.01 COM 302130109 254 7100 SH SOLE 7100 0 0 Common Stock EXXON MOBIL CORP NPV Common Stock COM 30231G102 18917 209933 SH SOLE 209933 0 0 GALLAGHER AJ & CO US$1 Common Stock COM 363576109 5097 123390 SH SOLE 123390 0 0 GENERAL ELECTRIC CORP US$0.06 Common COM 369604103 15843 685237 SH SOLE 685237 0 0 Stock GENERAL MILLS INC US$0.10 Common Stock COM 370334104 323 6560 SH SOLE 6560 0 0 GILEAD SCIENCES INC US$0.001 Common Stock COM 375558103 683 13950 SH SOLE 13950 0 0 GLAXOSMITHKLINE PLC Spon ADR (Cnv 2 Ord COM 37733W105 587 12509 SH SOLE 12509 0 0 25p) GOLDCORP INC NPV Common Stock COM 380956409 2304 68495 SH SOLE 68495 0 0 GOLDMAN SACHS GROUP US$0.01 Common Stock COM 38141G104 1374 9339 SH SOLE 9339 0 0 GOOGLE INC US$0.001 Class A Common Stock COM 38259P508 3982 5014 SH SOLE 5014 0 0 GRAN TIERRA ENERGY US$0.001 Common Stock COM 38500T101 77 13067 SH SOLE 13067 0 0 HALLIBURTON CORP NPV Common Stock COM 406216101 206 5110 SH SOLE 5110 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- HARLEY DAVIDSON US$0.01 Common Stock COM 412822108 416 7800 SH SOLE 7800 0 0 HECLA MINING CO US$0.25 Common Stock COM 422704106 44 11250 SH SOLE 11250 0 0 HEINZ (HJ) CO US$0.25 Common Stock COM 423074103 1443 19962 SH SOLE 19962 0 0 HEWLETT-PACKARD CORP NPV Common Stock COM 428236103 595 24959 SH SOLE 24959 0 0 HONEYWELL INTERNATIONAL INC US$1 Common COM 438516106 5663 75161 SH SOLE 75161 0 0 Stock IBM CORP US$0.20 Common Stock COM 459200101 11044 51775 SH SOLE 51775 0 0 ILLINOIS TOOL WORKS INC NPV Common Stock COM 452308109 443 7273 SH SOLE 7273 0 0 IMPERIAL OIL NPV Common Stock COM 453038408 1070 26190 SH SOLE 26190 0 0 INDEXIQ ETF TRUST IQ Hedge Macro Tracker COM 45409B206 274 10229 SH SOLE 10229 0 0 ETF INDONESIA FUND INC US$0.001 Common Stock COM 00305P106 166 13049 SH SOLE 13049 0 0 INTEL CORP US$0.001 Common Stock COM 458140100 5597 256351 SH SOLE 256351 0 0 ISHARES INC Core S&P 500 ETF COM 464287200 637 4045 SH SOLE 4045 0 0 ISHARES INC MSCI Canada Index Fund COM 464286509 513 18010 SH SOLE 18010 0 0 ISHARES INC MSCI Germany Index Fund COM 464286806 1188 48565 SH SOLE 48565 0 0 ISHARES INC MSCI Japan Index Fund COM 464286848 248 22980 SH SOLE 22980 0 0 ISHARES INC MSCI Pacific Ex Japan Index COM 464286665 4439 89315 SH SOLE 89315 0 0 Fd ISHARES INC MSCI Spain Capped Index Fund COM 464286764 1665 58829 SH SOLE 58829 0 0 ISHARES INC MSCI UK Index Fund COM 464286699 2126 116361 SH SOLE 116361 0 0 ISHARES INC S&P Dvlpd (Ex-US) Prop Index COM 464288422 512 13477 SH SOLE 13477 0 0 ISHARES TRUST Barclays Tips Bond Fund COM 464287176 888 7322 SH SOLE 7322 0 0 ISHARES TRUST Core S&P Mid-Cap ETF COM 464287507 227 1975 SH SOLE 1975 0 0 ISHARES TRUST DJ Intl Select Div Index COM 464288448 413 12105 SH SOLE 12105 0 0 Fund ISHARES TRUST Dow Jones Select Div Index COM 464287168 3192 50352 SH SOLE 50352 0 0 ISHARES TRUST MSCI Emerging Markets Index COM 464287234 2221 51920 SH SOLE 51920 0 0 ISHARES TRUST Russell Midcap Growth COM 464287481 325 4650 SH SOLE 4650 0 0 Index Fd ISHARES TRUST S&P Gbl Heathcare Sector COM 464287325 317 4300 SH SOLE 4300 0 0 ISHARES TRUST S&P Global 100 Index Fund COM 464287572 576 8492 SH SOLE 8492 0 0 ISHARES TRUST S&P Global Technology Index COM 464287291 402 5757 SH SOLE 5757 0 0 ITT CORP US$1.00 Comm Stk (Post Rev Sp) COM 450911201 633 22250 SH SOLE 22250 0 0 IVANHOE ENERGY INC NPV Common Stock COM 465790103 211 319588 SH SOLE 319588 0 0 JOHNSON & JOHNSON US$1 Common Stock COM 478160104 19442 238462 SH SOLE 238462 0 0 JP MORGAN CHASE & CO US$1 Common Stock COM 46625H100 7403 155977 SH SOLE 155977 0 0 KELLOGG CO US$0.25 Common Stock COM 487836108 923 14330 SH SOLE 14330 0 0 KIMBERLEY CLARK CORP NPV Common Stock COM 494368103 2876 29351 SH SOLE 29351 0 0 KINROSS GOLD CORP NPV Common Stock COM 496902404 95 12049 SH SOLE 12049 0 0 KRAFT FOODS GROUP NPV Common Stock COM 50076Q106 8909 172898 SH SOLE 172898 0 0 LEXICON GENETICS INC US$0.001 Common COM 528872104 73 33548 SH SOLE 33548 0 0 Stock LILLY (ELI) & CO NPV Common Stock COM 532457108 792 13950 SH SOLE 13950 0 0 LKQ CORP US$0.01 Common Stock COM 501889208 233 10700 SH SOLE 10700 0 0 LOEWS CORP US$1 Common Stock COM 540424108 881 20000 SH SOLE 20000 0 0 LOWES COS INC US$0.50 Common Stock COM 548661107 297 7845 SH SOLE 7845 0 0 MANULIFE FINANCIAL CORP NPV Common Stock COM 56501R106 1123 76248 SH SOLE 76248 0 0 MARATHON PETROLEUM CORP US$0.01 Common COM 56585A102 240 2680 SH SOLE 2680 0 0 Stock MARKET VECTORS ETF Gold Mines COM 57060U100 372 9824 SH SOLE 9824 0 0 MARSH & MCLENNAN CO INC US$1 Common Stock COM 571748102 5773 152044 SH SOLE 152044 0 0 MCCORMICK & CO INC NPV Vtg Common Stock COM 579780107 367 5000 SH SOLE 5000 0 0 MCDONALD'S CORP US$0.01 Common Stock COM 580135101 6495 65155 SH SOLE 65155 0 0 MEDTRONIC INC US$0.10 Common Stock COM 585055106 252 5360 SH SOLE 5360 0 0 MERCK & CO INC US$0.50 Common Stock COM 58933Y105 2453 55498 SH SOLE 55498 0 0 METLIFE INC US$0.01 Common Stock COM 59156R108 415 10910 SH SOLE 10910 0 0 MICROCHIP TECHNOLOGY INC US$0.001 Common COM 595017104 245 6672 SH SOLE 6672 0 0 Stock MICROSOFT CORP US$ 0.00000625 Common COM 594918104 10080 352398 SH SOLE 352398 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- MONDELEZ INTL INC US$0.01 Common Stock COM 609207105 14790 483110 SH SOLE 483110 0 0 MONSANTO CO US$0.01 Common Stock COM 61166W101 727 6885 SH SOLE 6885 0 0 MOODYS CORP US$0.01 Common Stock COM 615369105 213 4002 SH SOLE 4002 0 0 MORGAN STANLEY US$0.01 Common Stock COM 617446448 860 39122 SH SOLE 39122 0 0 MOUNTAIN PROVINCE DIAMONDS NPV Common COM 62426E402 53 12132 SH SOLE 12132 0 0 Stock MYLAN INC US$0.50 Common Stock COM 628530107 345 11900 SH SOLE 11900 0 0 NEKTAR THERAPEUTICS US$0.01 Common Stock COM 640268108 119 10800 SH SOLE 10800 0 0 NEWMONT MINING CORP US$1.60 Common Stock COM 651639106 4190 100020 SH SOLE 100020 0 0 NEWS CORPORATION US$0.01 Class A Common COM 65248E104 217 7115 SH SOLE 7115 0 0 Stock NORTHEAST UTILITIES US$5 Common Stock COM 664397106 230 5300 SH SOLE 5300 0 0 NOVARTIS AG ADR Rep 1 CHF0.5 (Regd) COM 66987V109 543 7620 SH SOLE 7620 0 0 Shares ORACLE CORP US$0.01 Common Stock COM 68389X105 286 8835 SH SOLE 8835 0 0 PARKER-HANNIFIN CORP US$0.50 Common Stock COM 701094104 1181 12900 SH SOLE 12900 0 0 PEPSICO INC US$0.016666 Cap COM 713448108 5851 73959 SH SOLE 73959 0 0 PETROLEO BRASILEIRO SA ADS Each 1 Rep 2 COM 71654V408 681 41085 SH SOLE 41085 0 0 NPV Com Stock PETROLEO BRASILEIRO SA Spon ADR Rep 4 COM 71654V101 293 16120 SH SOLE 16120 0 0 Pref Shares PFIZER INC US$0.05 Common Stock COM 717081103 6258 216825 SH SOLE 216825 0 0 PHILIP MORRIS INTL INC NPV Common Stock COM 718172109 12299 132666 SH SOLE 132666 0 0 PHILLIPS 66 US$0.01 Common Stock COM 718546104 459 6554 SH SOLE 6554 0 0 PITNEY BOWES INC US$1 Common Stock COM 724479100 253 17000 SH SOLE 17000 0 0 PLUM CREEK TIMBER CO INC US$0.01 Common COM 729251108 1110 21259 SH SOLE 21259 0 0 Stock POTASH CORP OF SASKATCHEWAN NPV Common COM 73755L107 2566 65355 SH SOLE 65355 0 0 Stock POWERSHARES ETF II Emerg Mkts COM 73937B209 534 12961 SH SOLE 12961 0 0 Infrastructure P/f POWERSHARES ETF II S&P 500 Low COM 73937B779 261 8400 SH SOLE 8400 0 0 Volatility (US$) POWERSHARES ETF Intl Corp Bond COM 73936Q835 2039 71393 SH SOLE 71393 0 0 PROCTER & GAMBLE CO NPV Common Stock COM 742718109 8150 105758 SH SOLE 105758 0 0 PROSHARES TRUST Ultrashort Consumer COM 74348A616 215 7137 SH SOLE 7137 0 0 Services PROSHARES TRUST Ultrashort Lehman 20 Yr COM 74347B201 491 7476 SH SOLE 7476 0 0 (Post) PROSHARES TRUST Ultrashort Russell 2000 COM 74348A202 260 13177 SH SOLE 13177 0 0 PRUDENTIAL PLC ADR Rep 2 5p Ordinary COM 74435K204 1057 32674 SH SOLE 32674 0 0 Shares QUALCOMM INC US$0.001 Common Stock COM 747525103 2858 42695 SH SOLE 42695 0 0 RACKSPACE HOSTING INC US$0.001 Common COM 750086100 2094 41485 SH SOLE 41485 0 0 Stock RAYTHEON CO US$0.01 Common Stock COM 755111507 5035 85650 SH SOLE 85650 0 0 REED ELSEVIER Spon ADR Conv Into 4 Ord COM 758205207 214 4505 SH SOLE 4505 0 0 Shs RENESOLA LTD ADR Each Rep 2 Ordinary COM 75971T103 32 23350 SH SOLE 23350 0 0 Shares RESMED INC US$0.004 Common Stock COM 761152107 338 7300 SH SOLE 7300 0 0 REYNOLDS AMERICAN INC US$0.0001 Common COM 761713106 754 16950 SH SOLE 16950 0 0 Stock ROYAL BANK OF CANADA NPV Common Stock COM 780087102 19335 320960 SH SOLE 320960 0 0 ROYAL DUTCH SHELL EUR0.07 ADR Ea Rep 2 COM 780259107 857 12830 SH SOLE 12830 0 0 Cls B Shs ROYAL DUTCH SHELL PLC ADR Ech Rep 2 Cl A COM 780259206 787 12072 SH SOLE 12072 0 0 EUR0.07 Shs RUBICON MINERALS CORP NPV Common Stock COM 780911103 36 15000 SH SOLE 15000 0 0 SCHLUMBERGER LTD US$0.01 Common Stock COM 806857108 7633 101929 SH SOLE 101929 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 ----------------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------ ------ ---- SOCIEDAD QUIMICA Y MINERA ADR (Rep 1 Ser COM 833635105 957 17260 SH SOLE 17260 0 0 B Pref Share) SOUTHERN CO US$5 Common Stock COM 842587107 201 4291 SH SOLE 4291 0 0 SPDR GOLD TRUST NPV Shares COM 78463V107 2780 17997 SH SOLE 17997 0 0 SPDR TRUST S&P 500 ETF Trust COM 78462F103 3861 24644 SH SOLE 24644 0 0 SPECTRANETICS CORP US$0.001 Common Stock COM 84760C107 185 10000 SH SOLE 10000 0 0 SPRINT NEXTEL CORP US$2 Common Stock COM 852061100 69 11100 SH SOLE 11100 0 0 Series 1 STANLEY BLACK & DECKER INC US$2.50 COM 854502101 267 3300 SH SOLE 3300 0 0 Common Stock STARBUCKS CORP US$0.001 Common Stock COM 855244109 586 10285 SH SOLE 10285 0 0 STRYKER CORP US$0.10 Common Stock COM 863667101 290 4450 SH SOLE 4450 0 0 SUN LIFE FINANCIAL INC NPV Common Stock COM 866796105 205 7519 SH SOLE 7519 0 0 SUNCOR ENERGY INC New NPV Common Stock COM 867224107 932 31100 SH SOLE 31100 0 0 (CA$) SWEDISH EXPORT CREDIT Elements ETN Lkd COM 870297603 1629 183441 SH SOLE 183441 0 0 RICI SYSCO CORP NPV Common Stock COM 871829107 1802 51250 SH SOLE 51250 0 0 TARGET CORP US$0.0833 Common Stock COM 87612E106 212 3100 SH SOLE 3100 0 0 TEMPLETON EMERGING MKTS FUND US$0.01 COM 880191101 2076 101905 SH SOLE 101905 0 0 Common Stock THERMO FISHER SCIENTIFIC INC US$1 Common COM 883556102 406 5305 SH SOLE 5305 0 0 Stock THOMSON REUTERS CORP NPV Common Stock COM 884903105 2146 66142 SH SOLE 66142 0 0 TIFFANY & CO US$0.01 Common Stock COM 886547108 1944 27948 SH SOLE 27948 0 0 TIME WARNER INC US$0.01 Common Stock COM 887317303 609 10576 SH SOLE 10576 0 0 TJX COMPANIES INC NPV Common Stock COM 872540109 744 15918 SH SOLE 15918 0 0 TORONTO-DOMINION BANK NPV Common Stock COM 891160509 2500 30035 SH SOLE 30035 0 0 TOTAL SA ADR (Conv 1/2 EUR10 Shares) COM 89151E109 334 6965 SH SOLE 6965 0 0 TRANSCANADA CORP NPV Common Stock COM 89353D107 275 5766 SH SOLE 5766 0 0 TRIPADVISOR INC US$0.001 Common Stock COM 896945201 218 4150 SH SOLE 4150 0 0 TURQUOISE HILL RESOURCES LTD NPV Common COM 900435108 76 11950 SH SOLE 11950 0 0 Stock UNION PACIFIC CORP US$2.50 Common Stock COM 907818108 1878 13187 SH SOLE 13187 0 0 UNITED STATES OIL FUND Units COM 91232N108 361 10383 SH SOLE 10383 0 0 US BANCORP DEL US$0.01 Common Stock COM 902973304 579 17072 SH SOLE 17072 0 0 UTD TECHNOLOGIES CORP US$1 Common Stock COM 913017109 910 9735 SH SOLE 9735 0 0 VALE SA Spons ADR Rep 1 Common Stock COM 91912E105 464 26815 SH SOLE 26815 0 0 VALERO ENERGY CORP US$0.01 Common Stock COM 91913Y100 682 15000 SH SOLE 15000 0 0 VANGUARD BOND INDEX FUND Total Bond COM 921937835 984 11765 SH SOLE 11765 0 0 Market ETF VANGUARD INTL EQUITY MSCI Pacific ETF COM 922042866 387 6670 SH SOLE 6670 0 0 VANGUARD INTL EQUITY Total World Stock COM 922042742 351 6705 SH SOLE 6705 0 0 Market ETF VERIZON COMMS INC NPV Common Stock COM 92343V104 688 14005 SH SOLE 14005 0 0 VISA INC US$0.0001 Common Stock COM 92826C839 4270 25139 SH SOLE 25139 0 0 VODAFONE GROUP PLC SP Adr Rep 10 COM 92857W209 2134 75148 SH SOLE 75148 0 0 US$0.11428571 WAL-MART STORES INC US$0.1 Common Stock COM 931142103 1987 26551 SH SOLE 26551 0 0 WALT DISNEY (HLDGS) CO US$0.1 Common COM 254687106 917 16140 SH SOLE 16140 0 0 Stock WASTE MANAGEMENT INC NPV Common Stock COM 94106L109 269 6850 SH SOLE 6850 0 0 WAVE SYSTEMS CORP US$0.01 Class A Common COM 943526301 225 329166 SH SOLE 329166 0 0 Stock WELLS FARGO & CO US$1.6666 Common Stock COM 949746101 7034 190160 SH SOLE 190160 0 0 WHOLE FOODS MARKET INC NPV Common Stock COM 966837106 635 7323 SH SOLE 7323 0 0 WISDOMTREE TRUST Japan Hedged Equity Fund COM 97717W851 334 7735 SH SOLE 7735 0 0 XYLEM INC US$0.01 Common Stock COM 98419M100 620 22500 SH SOLE 22500 0 0 YAHOO INC Common Stock COM 984332106 1148 48770 SH SOLE 48770 0 0 YAMANA GOLD INC NPV Common Stock (CA$) COM 98462Y100 502 32622 SH SOLE 32622 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 1577 21915 SH SOLE 21915 0 0