0001085146-11-000866.txt : 20110811 0001085146-11-000866.hdr.sgml : 20110811 20110810214716 ACCESSION NUMBER: 0001085146-11-000866 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110811 DATE AS OF CHANGE: 20110810 EFFECTIVENESS DATE: 20110811 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: 111025818 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 sam2q2011.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, 2011 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 August 10, 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: 156 Form 13F Information Table Value Total: $1,996,784 (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 1117 12000 SH DEFINED 01 02 12000 0 0 ABBOTT LABS COM 002824100 6781 130000 SH DEFINED 01 02 130000 0 0 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 3507 130000 SH DEFINED 01 02 130000 0 0 AGCO CORP COM 001084102 1451 29700 SH DEFINED 01 02 29700 0 0 AGRIUM INC COM 008916108 9977 113100 SH DEFINED 01 02 113100 0 0 AIR PRODS & CHEMS INC COM 009158106 1317 14000 SH DEFINED 01 02 14000 0 0 AMERICAN STS WTR CO COM 029899101 13394 390167 SH DEFINED 01 02 390167 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 63615 2132568 SH DEFINED 01 02 2132568 0 0 AMGEN INC COM 031162100 5327 92200 SH DEFINED 01 02 92200 0 0 AMTECH SYS INC COM PAR $0.01N 032332504 1617 80000 SH DEFINED 01 02 80000 0 0 AMYRIS INC COM 03236M101 127 4500 SH DEFINED 01 02 4500 0 0 ANDERSONS INC COM 034164103 1040 25000 SH DEFINED 01 02 25000 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 7390 243800 SH DEFINED 01 02 243800 0 0 ASHLAND INC NEW COM 044209104 30978 486700 SH DEFINED 01 02 486700 0 0 AVON PRODS INC COM 054303102 10669 384200 SH DEFINED 01 02 384200 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 2386 39838 SH DEFINED 01 02 39838 0 0 CABOT CORP COM 127055101 1967 50000 SH DEFINED 01 02 50000 0 0 CALAVO GROWERS INC COM 128246105 1865 90000 SH DEFINED 01 02 90000 0 0 CALGON CARBON CORP COM 129603106 24542 1456500 SH DEFINED 01 02 1456500 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 7699 413907 SH DEFINED 01 02 413907 0 0 CANADIAN NATL RY CO COM 136375102 5065 64400 SH DEFINED 01 02 64400 0 0 CANADIAN SOLAR INC COM 136635109 63696 5491000 SH DEFINED 01 02 5491000 0 0 CARDINAL HEALTH INC COM 14149Y108 1125 25000 SH DEFINED 01 02 25000 0 0 CATERPILLAR INC DEL COM 149123101 5649 54650 SH DEFINED 01 02 54650 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 3732 47967 SH DEFINED 01 02 47967 0 0 CERADYNE INC COM 156710105 4508 120000 SH DEFINED 01 02 120000 0 0 CEREPLAST INC COM NEW 156732307 2032 449500 SH DEFINED 01 02 449500 0 0 CF INDS HLDGS INC COM 125269100 6610 44260 SH DEFINED 01 02 44260 0 0 CHEVRON CORP NEW COM 166764100 3878 38286 SH DEFINED 01 02 38286 0 0 CHINA HYDROELECTRIC CORP SPONSORED ADR 16949D101 6720 1600000 SH DEFINED 01 02 1600000 0 0 CHINA VALVES TECHNOLOGY INC COM NEW 169476207 250 80000 SH DEFINED 01 02 80000 0 0 CLEAN ENERGY FUELS CORP COM 184499101 9781 736000 SH DEFINED 01 02 736000 0 0 COGNEX CORP COM 192422103 3121 90000 SH DEFINED 01 02 90000 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 1095 18300 SH DEFINED 01 02 18300 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 89546 4355350 SH DEFINED 01 02 4355350 0 0 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