-----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, Fsp4+930saqjQ10jk95ymEoPC220bJA61/zwRmRnvzwK98IV3qiWByLXv+kGm88T IWRQo3+dHL0+O+ghr/PHzg== 0001085146-11-000156.txt : 20110209 0001085146-11-000156.hdr.sgml : 20110209 20110208174936 ACCESSION NUMBER: 0001085146-11-000156 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110209 DATE AS OF CHANGE: 20110208 EFFECTIVENESS DATE: 20110209 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: 11583752 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 sam4q10.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: December 31, 2010 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: Christian Hasler Title: Head Legal & Compliance Phone: +41 44 653 1204 Signature, Place, and Date of Signing: /s/ Christian Hasler Zurich, Switzerland February 07, 2011 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 028-12635 Robeco Institutional Asset Management BV FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 240 Form 13F Information Table Value Total: $2,202,588 (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 01 028-12635 Robeco Institutional Asset Management BV 02 028-12637 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 1610 18600 SH DEFINED 01 02 18600 0 0 ABBOTT LABS COM 002824100 9359 196750 SH DEFINED 01 02 196750 0 0 ADVANCED BATTERY TECHNOLOG I COM 00752H102 13210 3440000 SH DEFINED 01 02 3440000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 45 5470 SH DEFINED 01 02 5470 0 0 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 124889 4439696 SH DEFINED 01 02 4439696 0 0 AETNA INC NEW COM 00817Y108 1874 61600 SH DEFINED 01 02 61600 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 532 12800 SH DEFINED 01 02 12800 0 0 AGRIUM INC COM 008916108 11595 126470 SH DEFINED 01 02 126470 0 0 AIR PRODS & CHEMS INC COM 009158106 1137 12500 SH DEFINED 01 02 12500 0 0 ALCOA INC COM 013817101 220 14490 SH DEFINED 01 02 14490 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 73 900 SH DEFINED 01 02 900 0 0 ALLERGAN INC COM 018490102 337 4900 SH DEFINED 01 02 4900 0 0 AMERICAN STS WTR CO COM 029899101 12871 367843 SH DEFINED 01 02 367843 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 101844 4003300 SH DEFINED 01 02 4003300 0 0 AMGEN INC COM 031162100 5828 104950 SH DEFINED 01 02 104950 0 0 AMYRIS INC COM 03236M101 120 4500 SH DEFINED 01 02 4500 0 0 ANDERSONS INC COM 034164103 6639 182800 SH DEFINED 01 02 182800 0 0 ANSYS INC COM 03662Q105 278 5300 SH DEFINED 01 02 5300 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 10707 358100 SH DEFINED 01 02 358100 0 0 AVON PRODS INC COM 054303102 9116 313900 SH DEFINED 01 02 313900 0 0 BANK MONTREAL QUE COM 063671101 185 3240 SH DEFINED 01 02 3240 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 3131 54809 SH DEFINED 01 02 54809 0 0 BANK OF AMERICA CORPORATION COM 060505104 254 19100 SH DEFINED 01 02 19100 0 0 BARRICK GOLD CORP COM 067901108 68 1300 SH DEFINED 01 02 1300 0 0 BAXTER INTL INC COM 071813109 771 15200 SH DEFINED 01 02 15200 0 0 BCE INC COM NEW 05534B760 470 13180 SH DEFINED 01 02 13180 0 0 BECTON DICKINSON & CO COM 075887109 55 650 SH DEFINED 01 02 650 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1338 50600 SH DEFINED 01 02 50600 0 0 BRUSH ENGINEERED MATLS INC COM 117421107 845 22000 SH DEFINED 01 02 22000 0 0 CABOT CORP COM 127055101 1297 34000 SH DEFINED 01 02 34000 0 0 CALGON CARBON CORP COM 129603106 13193 848401 SH DEFINED 01 02 848401 0 0 CANADIAN SOLAR INC COM 136635109 55392 4485200 SH DEFINED 01 02 4485200 0 0 CARDINAL HEALTH INC COM 14149Y108 1602 41600 SH DEFINED 01 02 41600 0 0 CATERPILLAR INC DEL COM 149123101 6148 65500 SH DEFINED 01 02 65500 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 1003 12797 SH DEFINED 01 02 12797 0 0 CERADYNE INC COM 156710105 2218 70000 SH DEFINED 01 02 70000 0 0 CEREPLAST INC COM 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204409601 72052 4350968 SH DEFINED 01 02 4350968 0 0 CONNECTICUT WTR SVC INC COM 207797101 375 13500 SH DEFINED 01 02 13500 0 0 CONSTELLATION ENERGY GROUP I COM 210371100 77 2500 SH DEFINED 01 02 2500 0 0 CORNING INC COM 219350105 4559 235630 SH DEFINED 01 02 235630 0 0 COVANCE INC COM 222816100 880 16850 SH DEFINED 01 02 16850 0 0 COVANTA HLDG CORP COM 22282E102 11420 659000 SH DEFINED 01 02 659000 0 0 CUMMINS INC COM 231021106 600 5450 SH DEFINED 01 02 5450 0 0 CYTEC INDS INC COM 232820100 2646 49000 SH DEFINED 01 02 49000 0 0 DANAHER CORP DEL COM 235851102 85689 1817760 SH DEFINED 01 02 1817760 0 0 DEERE & CO COM 244199105 175 2100 SH DEFINED 01 02 2100 0 0 DEL MONTE FOODS CO COM 24522P103 1042 55500 SH DEFINED 01 02 55500 0 0 DELL INC COM 24702R101 1362 99800 SH DEFINED 01 02 99800 0 0 DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 176 4200 SH DEFINED 01 02 4200 0 0 DISNEY WALT CO COM DISNEY 254687106 675 18000 SH DEFINED 01 02 18000 0 0 DOW CHEM CO COM 260543103 1764 51500 SH DEFINED 01 02 51500 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 263 5300 SH DEFINED 01 02 5300 0 0 DUKE ENERGY CORP NEW COM 26441C105 340 19100 SH DEFINED 01 02 19100 0 0 DUOYUAN GLOBAL WTR INC SPONSORED ADR 266043108 32002 2523850 SH DEFINED 01 02 2523850 0 0 DYNAMIC MATLS CORP COM 267888105 1925 86000 SH DEFINED 01 02 86000 0 0 EASTMAN KODAK CO COM 277461109 108 19510 SH DEFINED 01 02 19510 0 0 ECOLAB INC COM 278865100 5153 102080 SH DEFINED 01 02 102080 0 0 ECOLOGY & ENVIRONMENT INC CL A 278878103 340 23000 SH DEFINED 01 02 23000 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 113 1400 SH DEFINED 01 02 1400 0 0 ENBRIDGE INC COM 29250N105 42576 752300 SH DEFINED 01 02 752300 0 0 ENCANA CORP COM 292505104 41782 1444402 SH DEFINED 01 02 1444402 0 0 ENERSYS COM 29275Y102 7796 240900 SH DEFINED 01 02 240900 0 0 ENOVA SYSTEMS INC COM NEW 29355M200 1935 1500000 SH DEFINED 01 02 1500000 0 0 ENSCO PLC SPONSORED ADR 29358Q109 37 700 SH DEFINED 01 02 700 0 0 ENTERGY CORP NEW COM 29364G103 432 6100 SH DEFINED 01 02 6100 0 0 EXELON CORP COM 30161N101 319 7700 SH DEFINED 01 02 7700 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 5980 629500 SH DEFINED 01 02 629500 0 0 EXPRESS SCRIPTS INC COM 302182100 708 13100 SH DEFINED 01 02 13100 0 0 EXXON MOBIL CORP COM 30231G102 1232 16800 SH DEFINED 01 02 16800 0 0 F M C CORP COM NEW 302491303 4956 61800 SH DEFINED 01 02 61800 0 0 FEI CO COM 30241L109 1090 41000 SH DEFINED 01 02 41000 0 0 FIBRIA CELULOSE S A SP ADR REP COM 31573A109 109 6800 SH DEFINED 01 02 6800 0 0 FLEXIBLE SOLUTIONS INTL INC COM 33938T104 360 281280 SH DEFINED 01 02 281280 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 495 29630 SH DEFINED 01 02 29630 0 0 FOREST OIL CORP COM PAR $0.01 346091705 2225 58461 SH DEFINED 01 02 58461 0 0 FUEL SYS SOLUTIONS INC COM 35952W103 46360 1540200 SH DEFINED 01 02 1540200 0 0 GAP INC DEL COM 364760108 92 4100 SH DEFINED 01 02 4100 0 0 GENERAL ELECTRIC CO COM 369604103 1110 61000 SH DEFINED 01 02 61000 0 0 GENERAL MLS INC COM 370334104 4950 139450 SH DEFINED 01 02 139450 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 161 960 SH DEFINED 01 02 960 0 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 23315 711050 SH DEFINED 01 02 711050 0 0 HANSEN NAT CORP COM 411310105 13079 247900 SH DEFINED 01 02 247900 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 2152 81800 SH DEFINED 01 02 81800 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 31584 1378000 SH DEFINED 01 02 1378000 0 0 HEALTH NET INC COM 42222G108 3900 141971 SH DEFINED 01 02 141971 0 0 HEINZ H J CO COM 423074103 373 7550 SH DEFINED 01 02 7550 0 0 HEWLETT PACKARD CO COM 428236103 4565 108018 SH DEFINED 01 02 108018 0 0 HOSPIRA INC COM 441060100 5297 95000 SH DEFINED 01 02 95000 0 0 ICF INTL INC COM 44925C103 10454 401770 SH DEFINED 01 02 401770 0 0 IDEX CORP COM 45167R104 41496 1053200 SH DEFINED 01 02 1053200 0 0 INSITUFORM TECHNOLOGIES INC CL A 457667103 23043 853433 SH DEFINED 01 02 853433 0 0 INTEL CORP COM 458140100 1188 56500 SH DEFINED 01 02 56500 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 5942 40515 SH DEFINED 01 02 40515 0 0 IPG PHOTONICS CORP COM 44980X109 2507 80000 SH DEFINED 01 02 80000 0 0 ISIS PHARMACEUTICALS INC COM 464330109 32 3200 SH DEFINED 01 02 3200 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 62 2600 SH DEFINED 01 02 2600 0 0 ITC HLDGS CORP COM 465685105 37997 613551 SH DEFINED 01 02 613551 0 0 ITRON INC COM 465741106 10366 185540 SH DEFINED 01 02 185540 0 0 ITT CORP NEW COM 450911102 132853 2552910 SH DEFINED 01 02 2552910 0 0 JOHNSON & JOHNSON COM 478160104 2340 37775 SH DEFINED 01 02 37775 0 0 JOHNSON CTLS INC COM 478366107 12961 338940 SH DEFINED 01 02 338940 0 0 JPMORGAN CHASE & CO COM 46625H100 615 14566 SH DEFINED 01 02 14566 0 0 KELLOGG CO COM 487836108 7358 143940 SH DEFINED 01 02 143940 0 0 KIMBERLY CLARK CORP COM 494368103 3596 57036 SH DEFINED 01 02 57036 0 0 KRAFT FOODS INC CL A 50075N104 2114 67100 SH DEFINED 01 02 67100 0 0 KT CORP SPONSORED ADR 48268K101 284 13700 SH DEFINED 01 02 13700 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 793 8950 SH DEFINED 01 02 8950 0 0 LAYNE CHRISTENSEN CO COM 521050104 16984 493280 SH DEFINED 01 02 493280 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 4185 75250 SH DEFINED 01 02 75250 0 0 LIFE TIME FITNESS INC COM 53217R207 3522 85250 SH DEFINED 01 02 85250 0 0 LIMITED BRANDS INC COM 532716107 538 17256 SH DEFINED 01 02 17256 0 0 LINDSAY CORP COM 535555106 7954 130906 SH DEFINED 01 02 130906 0 0 LSB INDS INC COM 502160104 4888 200000 SH DEFINED 01 02 200000 0 0 MACYS INC COM 55616P104 747 29600 SH DEFINED 01 02 29600 0 0 MASTEC INC COM 576323109 6579 450000 SH DEFINED 01 02 450000 0 0 MAXWELL TECHNOLOGIES INC COM 577767106 9112 482100 SH DEFINED 01 02 482100 0 0 MCDONALDS CORP COM 580135101 1071 13956 SH DEFINED 01 02 13956 0 0 MCKESSON CORP COM 58155Q103 3049 43214 SH DEFINED 01 02 43214 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 15773 256800 SH DEFINED 01 02 256800 0 0 MEADWESTVACO CORP COM 583334107 471 17900 SH DEFINED 01 02 17900 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 3622 58650 SH DEFINED 01 02 58650 0 0 MEDNAX INC COM 58502B106 769 11300 SH DEFINED 01 02 11300 0 0 MEDTRONIC INC COM 585055106 2668 71750 SH DEFINED 01 02 71750 0 0 MERCK & CO INC NEW COM 58933Y105 6618 183770 SH DEFINED 01 02 183770 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 1525 10000 SH DEFINED 01 02 10000 0 0 MICROSOFT CORP COM 594918104 3650 131050 SH DEFINED 01 02 131050 0 0 MIDDLESEX WATER CO COM 596680108 649 35600 SH DEFINED 01 02 35600 0 0 MILLER HERMAN INC COM 600544100 278 10800 SH DEFINED 01 02 10800 0 0 MKS INSTRUMENT INC COM 55306N104 1262 52000 SH DEFINED 01 02 52000 0 0 MOSAIC CO COM 61945A107 9759 128700 SH DEFINED 01 02 128700 0 0 MOTOROLA INC COM 620076109 634 71130 SH DEFINED 01 02 71130 0 0 MUELLER WTR PRODS INC COM SER A 624758108 11930 2867828 SH DEFINED 01 02 2867828 0 0 MYLAN INC COM 628530107 13771 650500 SH DEFINED 01 02 650500 0 0 MYRIAD GENETICS INC COM 62855J104 41 1800 SH DEFINED 01 02 1800 0 0 NALCO HOLDING COMPANY COM 62985Q101 83936 2646149 SH DEFINED 01 02 2646149 0 0 NATIONAL SEMICONDUCTOR CORP COM 637640103 101 7300 SH DEFINED 01 02 7300 0 0 NETEASE COM INC SPONSORED ADR 64110W102 511 13900 SH DEFINED 01 02 13900 0 0 NEWMONT MINING CORP COM 651639106 1038 17000 SH DEFINED 01 02 17000 0 0 NEXEN INC COM 65334H102 293 12761 SH DEFINED 01 02 12761 0 0 NEXTERA ENERGY INC COM 65339F101 109 2100 SH DEFINED 01 02 2100 0 0 NEXXUS LIGHTING INC COM 65338E105 896 450000 SH DEFINED 01 02 450000 0 0 NIKE INC CL B 654106103 712 8300 SH DEFINED 01 02 8300 0 0 NORTHEAST UTILS COM 664397106 24400 761300 SH DEFINED 01 02 761300 0 0 NU SKIN ENTERPRISES INC CL A 67018T105 3957 130000 SH DEFINED 01 02 130000 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 180 9800 SH DEFINED 01 02 9800 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 619 6341 SH DEFINED 01 02 6341 0 0 ORMAT TECHNOLOGIES INC COM 686688102 8234 279303 SH DEFINED 01 02 279303 0 0 PALL CORP COM 696429307 78519 1588176 SH DEFINED 01 02 1588176 0 0 PAREXEL INTL CORP COM 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806857108 358 4300 SH DEFINED 01 02 4300 0 0 SKECHERS U S A INC CL A 830566105 7001 349000 SH DEFINED 01 02 349000 0 0 SMART BALANCE INC COM 83169Y108 654 150000 SH DEFINED 01 02 150000 0 0 SMARTHEAT INC COM 83172F104 3633 700000 SH DEFINED 01 02 700000 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 3943 70000 SH DEFINED 01 02 70000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 754 6000 SH DEFINED 01 02 6000 0 0 SPECTRA ENERGY CORP COM 847560109 152 6100 SH DEFINED 01 02 6100 0 0 STANTEC INC COM 85472N109 30348 1103250 SH DEFINED 01 02 1103250 0 0 STAPLES INC COM 855030102 245 10700 SH DEFINED 01 02 10700 0 0 STARBUCKS CORP COM 855244109 4145 127900 SH DEFINED 01 02 127900 0 0 STATE STR CORP COM 857477103 250 5400 SH DEFINED 01 02 5400 0 0 SUNOPTA INC COM 8676EP108 3042 392500 SH DEFINED 01 02 392500 0 0 SUNPOWER CORP COM CL A 867652109 26411 2028500 SH DEFINED 01 02 2028500 0 0 SYMANTEC CORP COM 871503108 64 3820 SH DEFINED 01 02 3820 0 0 SYNOPSYS INC COM 871607107 225 8300 SH 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0 UNITED PARCEL SERVICE INC CL B 911312106 298 4100 SH DEFINED 01 02 4100 0 0 UNITED TECHNOLOGIES CORP COM 913017109 670 8500 SH DEFINED 01 02 8500 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2428 67550 SH DEFINED 01 02 67550 0 0 URS CORP NEW COM 903236107 84907 2026900 SH DEFINED 01 02 2026900 0 0 V F CORP COM 918204108 3170 36500 SH DEFINED 01 02 36500 0 0 VALE S A ADR 91912E105 1473 43000 SH DEFINED 01 02 43000 0 0 VALMONT INDS INC COM 920253101 949 10700 SH DEFINED 01 02 10700 0 0 VITAMIN SHOPPE INC COM 92849E101 832 24500 SH DEFINED 01 02 24500 0 0 WALGREEN CO COM 931422109 733 18670 SH DEFINED 01 02 18670 0 0 WASTE MGMT INC DEL COM 94106L109 6824 185330 SH DEFINED 01 02 185330 0 0 WEBMD HEALTH CORP COM 94770V102 170 3350 SH DEFINED 01 02 3350 0 0 WELLPOINT INC COM 94973V107 2208 39000 SH DEFINED 01 02 39000 0 0 WELLS FARGO & CO NEW COM 949746101 234 7580 SH DEFINED 01 02 7580 0 0 WESTERN UN CO COM 959802109 74 4000 SH DEFINED 01 02 4000 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 17765 935000 SH DEFINED 01 02 935000 0 0 WEYERHAEUSER CO COM 962166104 102 5375 SH DEFINED 01 02 5375 0 0 WHIRLPOOL CORP COM 963320106 1613 17960 SH DEFINED 01 02 17960 0 0 WHOLE FOODS MKT INC COM 966837106 1943 38410 SH DEFINED 01 02 38410 0 0 XCEL ENERGY INC COM 98389B100 160 6800 SH DEFINED 01 02 6800 0 0 XEROX CORP COM 984121103 125 10857 SH DEFINED 01 02 10857 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 66611 6674400 SH DEFINED 01 02 6674400 0 0 YONGYE INTL INC COM 98607B106 11841 1449281 SH DEFINED 01 02 1449281 0 0 YORK WTR CO COM 987184108 291 16820 SH DEFINED 01 02 16820 0 0
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