0001085146-12-001283.txt : 20121030 0001085146-12-001283.hdr.sgml : 20121030 20121030164653 ACCESSION NUMBER: 0001085146-12-001283 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121030 DATE AS OF CHANGE: 20121030 EFFECTIVENESS DATE: 20121030 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: 121169038 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 sams3q2012.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: September 30, 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: 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 October 30, 2012 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: 152 Form 13F Information Table Value Total: $1,150,586 (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 3852 41500 SH DEFINED 41500 0 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 2106 100000 SH DEFINED 100000 0 AEGION CORP COM 00770F104 488 25000 SH DEFINED 25000 0 AGCO CORP COM 001084102 3388 72200 SH DEFINED 72200 0 AIR PRODS & CHEMS INC COM 009158106 1322 16000 SH DEFINED 16000 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 2362 73000 SH DEFINED 73000 0 AMERICAN STS WTR CO COM 029899101 9153 210600 SH DEFINED 210600 0 AMERICAN WTR WKS CO INC NEW COM 030420103 56104 1520437 SH DEFINED 1520437 0 AMERISOURCEBERGEN CORP COM 03073E105 2536 65000 SH DEFINED 65000 0 AQUA AMERICA INC COM 03836W103 26336 1075799 SH DEFINED 1075799 0 ARCHER DANIELS MIDLAND CO COM 039483102 4010 145500 SH DEFINED 145500 0 ARTESIAN RESOURCES CORP CL A 043113208 336 14287 SH DEFINED 14287 0 ASHLAND INC NEW COM 044209104 13170 181800 SH DEFINED 181800 0 AUTODESK INC COM 052769106 3497 105000 SH DEFINED 105000 0 BADGER METER INC COM 056525108 4788 129576 SH DEFINED 129576 0 BANK NOVA SCOTIA HALIFAX COM 064149107 2184 39105 SH DEFINED 39105 0 CABOT CORP COM 127055101 1711 46000 SH DEFINED 46000 0 CALAVO GROWERS INC COM 128246105 1423 57743 SH DEFINED 57743 0 CALGON CARBON CORP COM 129603106 12624 884000 SH DEFINED 884000 0 CALIFORNIA WTR SVC GROUP COM 130788102 4767 258100 SH DEFINED 258100 0 CARDINAL HEALTH INC COM 14149Y108 1783 45000 SH DEFINED 45000 0 CATERPILLAR INC DEL COM 149123101 3968 45654 SH DEFINED 45654 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 2265 28750 SH DEFINED 28750 0 CERADYNE INC COM 156710105 3071 125000 SH DEFINED 125000 0 CF INDS HLDGS INC COM 125269100 6823 30997 SH DEFINED 30997 0 CLEAN ENERGY FUELS CORP COM 184499101 6093 463000 SH DEFINED 463000 0 CLEAN HARBORS INC COM 184496107 966 20000 SH DEFINED 20000 0 COCA COLA CO COM 191216100 4146 108226 SH DEFINED 108226 0 COGNEX CORP COM 192422103 2674 77000 SH DEFINED 77000 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 757 9500 SH DEFINED 9500 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 29004 2360000 SH DEFINED 2360000 0 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 16228 988279 SH DEFINED 988279 0 CONNECTICUT WTR SVC INC COM 207797101 528 16500 SH DEFINED 16500 0 CORNING INC COM 219350105 3738 281030 SH DEFINED 281030 0 COTT CORP QUE COM 22163N106 2397 300000 SH DEFINED 300000 0 COVANTA HLDG CORP NOTE 3.250% 6/0 22282EAC6 617 36000 PRN DEFINED 36000 0 CPFL ENERGIA S A SPONSORED ADR 126153105 3645 162339 SH DEFINED 162339 0 DANAHER CORP DEL COM 235851102 54297 979200 SH DEFINED 979200 0 DAVITA INC COM 23918K108 4557 44500 SH DEFINED 44500 0 DEAN 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