-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FHoAToituI2EvLhMoVUlgrM+mpzqOQr9zfA8cfrlDPzP21EwNuH6iVZ0qLYZxpTl HvaIW95hQ3czxJ+vf3pWXw== 0001085146-09-003146.txt : 20090807 0001085146-09-003146.hdr.sgml : 20090807 20090807110822 ACCESSION NUMBER: 0001085146-09-003146 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090807 DATE AS OF CHANGE: 20090807 EFFECTIVENESS DATE: 20090807 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SAM Sustainable Asset Management Ltd. CENTRAL INDEX KEY: 0001418427 IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12627 FILM NUMBER: 09994002 BUSINESS ADDRESS: STREET 1: SEEFELDSTRASSE 215 CITY: ZURICH STATE: V8 ZIP: 8008 BUSINESS PHONE: 0041-44-397 10 45 MAIL ADDRESS: STREET 1: SEEFELDSTRASSE 215 CITY: ZURICH STATE: V8 ZIP: 8008 13F-HR 1 rsam2q09.txt SAM SUSTAINABLE ASSET MANAGEMENT LTD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2009 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: SAM Sustainable Asset Management Ltd. Address: Josefstrasse 218 CH-8005 Zurich, Switzerland 13F File Number: 028-12627 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. Person Signing this Report on Behalf of Reporting Manager: Name: Roman Binder Title: COO Phone: +41 44 653 1020 Signature, Place, and Date of Signing: /s/ Roman Binder Zurich, Switzerland August 05, 2009 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-12635 Robeco Institutional Asset Management BV FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form13F Information Table Entry Total: 170 Form13F Information Table Value Total: $1,258,123 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 01 28-12635 Robeco Institutional Asset Management BV 02 28-12637 Robeco Groep NV FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 556 9270 SH DEFINED 01 02 9270 0 0 ABBOTT LABS COM 002824100 1059 22140 SH DEFINED 01 02 22140 0 0 ADVANCED BATTERY TECHNOLOG I COM 00752H102 7638 1900000 SH DEFINED 01 02 1900000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 92 24770 SH DEFINED 01 02 24770 0 0 AETNA INC NEW COM 00817Y108 1995 79200 SH DEFINED 01 02 79200 0 0 AGRIUM INC COM 008916108 330 8010 SH DEFINED 01 02 8010 0 0 AIR PRODS & CHEMS INC COM 009158106 467 7120 SH DEFINED 01 02 7120 0 0 ALCOA INC COM 013817101 130 12490 SH DEFINED 01 02 12490 0 0 ALLERGAN INC COM 018490102 202 4220 SH DEFINED 01 02 4220 0 0 AMERICAN STS WTR CO COM 029899101 18823 546706 SH DEFINED 01 02 546706 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 67624 3511100 SH DEFINED 01 02 3511100 0 0 AMGEN INC COM 031162100 1676 31560 SH DEFINED 01 02 31560 0 0 APOGEE ENTERPRISES INC COM 037598109 1842 143900 SH DEFINED 01 02 143900 0 0 APPLE INC COM 037833100 227 1600 SH DEFINED 01 02 1600 0 0 AQUA AMERICA INC COM 03836W103 13730 776125 SH DEFINED 01 02 776125 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 689 25270 SH DEFINED 01 02 25270 0 0 AVON PRODS INC COM 054303102 5759 216000 SH DEFINED 01 02 216000 0 0 BALL CORP COM 058498106 1742 38490 SH DEFINED 01 02 38490 0 0 BANK MONTREAL QUE COM 063671101 663 15360 SH DEFINED 01 02 15360 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 310 8109 SH DEFINED 01 02 8109 0 0 BANK OF AMERICA CORPORATION COM 060505104 255 19325 SH DEFINED 01 02 19325 0 0 BAXTER INTL INC COM 071813109 333 6280 SH DEFINED 01 02 6280 0 0 BLOCK H & R INC COM 093671105 805 51358 SH DEFINED 01 02 51358 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 509 24750 SH DEFINED 01 02 24750 0 0 CALGON CARBON CORP COM 129603106 9095 640490 SH DEFINED 01 02 640490 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 8526 231500 SH DEFINED 01 02 231500 0 0 CANADIAN SOLAR INC COM 136635109 3543 284800 SH DEFINED 01 02 284800 0 0 CATERPILLAR INC DEL COM 149123101 319 9180 SH DEFINED 01 02 9180 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 795 15627 SH DEFINED 01 02 15627 0 0 CELANESE CORP DEL COM SER A 150870103 1074 45000 SH DEFINED 01 02 45000 0 0 CHEVRON CORP NEW COM 166764100 2144 32060 SH DEFINED 01 02 32060 0 0 CHINA BAK BATTERY INC COM 16936Y100 6870 2260000 SH DEFINED 01 02 2260000 0 0 CISCO SYS INC COM 17275R102 1416 74545 SH DEFINED 01 02 74545 0 0 CITIGROUP INC COM 172967101 131 43370 SH DEFINED 01 02 43370 0 0 CLEAN HARBORS INC COM 184496107 369 6740 SH DEFINED 01 02 6740 0 0 COCA COLA CO COM 191216100 285 5900 SH DEFINED 01 02 5900 0 0 COLGATE PALMOLIVE CO COM 194162103 207 2880 SH DEFINED 01 02 2880 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 31826 1048300 SH DEFINED 01 02 1048300 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 25397 1855123 SH DEFINED 01 02 1855123 0 0 CORNING INC COM 219350105 316 19400 SH DEFINED 01 02 19400 0 0 COVANTA HLDG CORP COM 22282E102 8691 520130 SH DEFINED 01 02 520130 0 0 CREE INC COM 225447101 4425 150000 SH DEFINED 01 02 150000 0 0 CROWN HOLDINGS INC COM 228368106 2706 113215 SH DEFINED 01 02 113215 0 0 CUMMINS INC COM 231021106 361 10008 SH DEFINED 01 02 10008 0 0 CYTEC INDS INC COM 232820100 291 16090 SH DEFINED 01 02 16090 0 0 DANAHER CORP DEL COM 235851102 88667 1412570 SH DEFINED 01 02 1412570 0 0 DECKERS OUTDOOR CORP COM 243537107 3966 56500 SH DEFINED 01 02 56500 0 0 DELL INC COM 24702R101 1322 95400 SH DEFINED 01 02 95400 0 0 DIONEX CORP COM 254546104 8791 144800 SH DEFINED 01 02 144800 0 0 DISNEY WALT CO COM DISNEY 254687106 658 27810 SH DEFINED 01 02 27810 0 0 DOW CHEM CO COM 260543103 315 19610 SH DEFINED 01 02 19610 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 304 11700 SH DEFINED 01 02 11700 0 0 DUKE ENERGY CORP NEW COM 26441C105 280 19200 SH DEFINED 01 02 19200 0 0 EASTMAN KODAK CO COM 277461109 54 17910 SH DEFINED 01 02 17910 0 0 ECOLAB INC COM 278865100 40297 1031675 SH DEFINED 01 02 1031675 0 0 EL PASO CORP COM 28336L109 727 79250 SH DEFINED 01 02 79250 0 0 ENBRIDGE INC COM 29250N105 8717 250000 SH DEFINED 01 02 250000 0 0 ENCANA CORP COM 292505104 289 5802 SH DEFINED 01 02 5802 0 0 ENER1 INC COM NEW 29267A203 7480 1330960 SH DEFINED 01 02 1330960 0 0 ENERGY CONVERSION DEVICES IN COM 292659109 18775 1342000 SH DEFINED 01 02 1342000 0 0 ENERGY RECOVERY INC COM 29270J100 3403 480000 SH DEFINED 01 02 480000 0 0 ENERSYS COM 29275Y102 6367 350000 SH DEFINED 01 02 350000 0 0 ENOVA SYSTEMS INC COM NEW 29355M200 177 271750 SH DEFINED 01 02 271750 0 0 ENTERGY CORP NEW COM 29364G103 415 5310 SH DEFINED 01 02 5310 0 0 EXELON CORP COM 30161N101 321 6360 SH DEFINED 01 02 6360 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 2807 754500 SH DEFINED 01 02 754500 0 0 FIRST SOLAR INC COM 336433107 5406 34390 SH DEFINED 01 02 34390 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 289 50030 SH DEFINED 01 02 50030 0 0 FOREST OIL CORP COM PAR $0.01 346091705 745 50000 SH DEFINED 01 02 50000 0 0 FPL GROUP INC COM 302571104 2426 42100 SH DEFINED 01 02 42100 0 0 FUEL SYS SOLUTIONS INC COM 35952W103 2638 136350 SH DEFINED 01 02 136350 0 0 GAP INC DEL COM 364760108 1861 112320 SH DEFINED 01 02 112320 0 0 GENERAL ELECTRIC CO COM 369604103 436 37090 SH DEFINED 01 02 37090 0 0 GENERAL MLS INC COM 370334104 891 15950 SH DEFINED 01 02 15950 0 0 GENZYME CORP COM 372917104 247 4400 SH DEFINED 01 02 4400 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 555 3718 SH DEFINED 01 02 3718 0 0 HAIN CELESTIAL GROUP INC COM 405217100 4371 277500 SH DEFINED 01 02 277500 0 0 HALLIBURTON CO COM 406216101 204 9740 SH DEFINED 01 02 9740 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 5715 300000 SH DEFINED 01 02 300000 0 0 HEALTH NET INC COM 42222G108 1041 66920 SH DEFINED 01 02 66920 0 0 HEWLETT PACKARD CO COM 428236103 4598 117970 SH DEFINED 01 02 117970 0 0 HUMANA INC COM 444859102 874 27840 SH DEFINED 01 02 27840 0 0 ICF INTL INC COM 44925C103 8824 321000 SH DEFINED 01 02 321000 0 0 IDEX CORP COM 45167R104 34336 1367950 SH DEFINED 01 02 1367950 0 0 INSITUFORM TECHNOLOGIES INC CL A 457667103 22836 1326151 SH DEFINED 01 02 1326151 0 0 INTEL CORP COM 458140100 656 40050 SH DEFINED 01 02 40050 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 4857 45894 SH DEFINED 01 02 45894 0 0 ITC HLDGS CORP COM 465685105 32274 713240 SH DEFINED 01 02 713240 0 0 ITRON INC COM 465741106 31067 560683 SH DEFINED 01 02 560683 0 0 ITT CORP NEW COM 450911102 87367 1958910 SH DEFINED 01 02 1958910 0 0 ITT EDUCATIONAL SERVICES INC COM 45068B109 399 4200 SH DEFINED 01 02 4200 0 0 JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 13102 2770000 SH DEFINED 01 02 2770000 0 0 JOHNSON & JOHNSON COM 478160104 4457 78250 SH DEFINED 01 02 78250 0 0 JOHNSON CTLS INC COM 478366107 250 11490 SH DEFINED 01 02 11490 0 0 JPMORGAN CHASE & CO COM 46625H100 439 12680 SH DEFINED 01 02 12680 0 0 KELLOGG CO COM 487836108 3518 75500 SH DEFINED 01 02 75500 0 0 KIMBERLY CLARK CORP COM 494368103 1904 35770 SH DEFINED 01 02 35770 0 0 KRAFT FOODS INC CL A 50075N104 825 32245 SH DEFINED 01 02 32245 0 0 LAYNE CHRISTENSEN CO COM 521050104 4423 219700 SH DEFINED 01 02 219700 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 374 8940 SH DEFINED 01 02 8940 0 0 LINDSAY CORP COM 535555106 3467 106030 SH DEFINED 01 02 106030 0 0 LSB INDS INC COM 502160104 5178 318821 SH DEFINED 01 02 318821 0 0 MACYS INC COM 55616P104 741 62060 SH DEFINED 01 02 62060 0 0 MASTERCARD INC CL A 57636Q104 314 1870 SH DEFINED 01 02 1870 0 0 MCDONALDS CORP COM 580135101 1333 23290 SH DEFINED 01 02 23290 0 0 MERCK & CO INC COM 589331107 222 7970 SH DEFINED 01 02 7970 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 415 5410 SH DEFINED 01 02 5410 0 0 MICROSOFT CORP COM 594918104 837 35100 SH DEFINED 01 02 35100 0 0 MILLER HERMAN INC COM 600544100 308 19930 SH DEFINED 01 02 19930 0 0 MILLIPORE CORP COM 601073109 17929 252559 SH DEFINED 01 02 252559 0 0 MORGAN STANLEY COM NEW 617446448 353 12120 SH DEFINED 01 02 12120 0 0 MOTOROLA INC COM 620076109 290 43930 SH DEFINED 01 02 43930 0 0 MUELLER WTR PRODS INC COM SER A 624758108 24689 6346717 SH DEFINED 01 02 6346717 0 0 MYLAN INC COM 628530107 199 15000 SH DEFINED 01 02 15000 0 0 MYR GROUP INC DEL COM 55405W104 2102 100000 SH DEFINED 01 02 100000 0 0 NALCO HOLDING COMPANY COM 62985Q101 37064 2173823 SH DEFINED 01 02 2173823 0 0 NEWMONT MINING CORP COM 651639106 450 10640 SH DEFINED 01 02 10640 0 0 NEXEN INC COM 65334H102 332 15261 SH DEFINED 01 02 15261 0 0 NIKE INC CL B 654106103 2058 39770 SH DEFINED 01 02 39770 0 0 NORTHEAST UTILS COM 664397106 10080 450000 SH DEFINED 01 02 450000 0 0 ORMAT TECHNOLOGIES INC COM 686688102 1626 40000 SH DEFINED 01 02 40000 0 0 PALL CORP COM 696429307 70271 2589207 SH DEFINED 01 02 2589207 0 0 PENTAIR INC COM 709631105 14110 547100 SH DEFINED 01 02 547100 0 0 PEPSICO INC COM 713448108 330 6010 SH DEFINED 01 02 6010 0 0 PFIZER INC COM 717081103 3259 213573 SH DEFINED 01 02 213573 0 0 PG&E CORP COM 69331C108 5209 135930 SH DEFINED 01 02 135930 0 0 PLUM CREEK TIMBER CO INC COM 729251108 594 19850 SH DEFINED 01 02 19850 0 0 POLYPORE INTL INC COM 73179V103 4750 426000 SH DEFINED 01 02 426000 0 0 POTASH CORP SASK INC COM 73755L107 559 5850 SH DEFINED 01 02 5850 0 0 PRAXAIR INC COM 74005P104 1449 20040 SH DEFINED 01 02 20040 0 0 PROCTER & GAMBLE CO COM 742718109 3014 57700 SH DEFINED 01 02 57700 0 0 PROS HOLDINGS INC COM 74346Y103 821 100000 SH DEFINED 01 02 100000 0 0 QUANTA SVCS INC COM 74762E102 15823 681130 SH DEFINED 01 02 681130 0 0 QUEST DIAGNOSTICS INC COM 74834L100 298 5300 SH DEFINED 01 02 5300 0 0 QUIKSILVER INC COM 74838C106 103 55000 SH DEFINED 01 02 55000 0 0 REGAL BELOIT CORP COM 758750103 1998 50000 SH DEFINED 01 02 50000 0 0 ROPER INDS INC NEW COM 776696106 63392 1395385 SH DEFINED 01 02 1395385 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 1894 45025 SH DEFINED 01 02 45025 0 0 RUBICON TECHNOLOGY INC COM 78112T107 14045 880000 SH DEFINED 01 02 880000 0 0 SASOL LTD SPONSORED ADR 803866300 218 6400 SH DEFINED 01 02 6400 0 0 STANTEC INC COM 85472N109 22643 931000 SH DEFINED 01 02 931000 0 0 STAPLES INC COM 855030102 293 14300 SH DEFINED 01 02 14300 0 0 STATE STR CORP COM 857477103 2043 42120 SH DEFINED 01 02 42120 0 0 STERICYCLE INC COM 858912108 596 11500 SH DEFINED 01 02 11500 0 0 SUNCOR ENERGY INC COM 867229106 209 6830 SH DEFINED 01 02 6830 0 0 SUNOPTA INC COM 8676EP108 9500 3925800 SH DEFINED 01 02 3925800 0 0 SUNPOWER CORP COM CL B 867652307 558 23830 SH DEFINED 01 02 23830 0 0 SUNPOWER CORP COM CL A 867652109 867 33000 SH DEFINED 01 02 33000 0 0 SYMANTEC CORP COM 871503108 1364 87040 SH DEFINED 01 02 87040 0 0 TARGET CORP COM 87612E106 864 21800 SH DEFINED 01 02 21800 0 0 TECK RESOURCES LTD CL B 878742204 1109 69060 SH DEFINED 01 02 69060 0 0 TETRA TECH INC NEW COM 88162G103 14662 503165 SH DEFINED 01 02 503165 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 100178 2395450 SH DEFINED 01 02 2395450 0 0 TORO CO COM 891092108 14077 461530 SH DEFINED 01 02 461530 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 13775 574200 SH DEFINED 01 02 574200 0 0 ULTRA PETROLEUM CORP COM 903914109 2383 60000 SH DEFINED 01 02 60000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 530 10540 SH DEFINED 01 02 10540 0 0 UNITED TECHNOLOGIES CORP COM 913017109 651 12400 SH DEFINED 01 02 12400 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1247 49640 SH DEFINED 01 02 49640 0 0 VALE S A ADR 91912E105 180 10100 SH DEFINED 01 02 10100 0 0 VALMONT INDS INC COM 920253101 10509 149100 SH DEFINED 01 02 149100 0 0 WABTEC CORP COM 929740108 3440 104000 SH DEFINED 01 02 104000 0 0 WAL MART STORES INC COM 931142103 252 5170 SH DEFINED 01 02 5170 0 0 WASTE MGMT INC DEL COM 94106L109 5114 179310 SH DEFINED 01 02 179310 0 0 WELLS FARGO & CO NEW COM 949746101 370 15080 SH DEFINED 01 02 15080 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 1672 200000 SH DEFINED 01 02 200000 0 0 WHIRLPOOL CORP COM 963320106 1486 33994 SH DEFINED 01 02 33994 0 0 XCEL ENERGY INC COM 98389B100 277 15000 SH DEFINED 01 02 15000 0 0 XTO ENERGY INC COM 98385X106 2418 63670 SH DEFINED 01 02 63670 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 18152 1379300 SH DEFINED 01 02 1379300 0 0
-----END PRIVACY-ENHANCED MESSAGE-----