-----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, IJHj8BQgaH7uXuTDYldzmjbrwclKoPj0gh0N1y0NIn7oK+N3dZGMGyAT9R05829A 0/EtopBqO+8q6pzqevBHow== 0001085146-09-000990.txt : 20090213 0001085146-09-000990.hdr.sgml : 20090213 20090213112308 ACCESSION NUMBER: 0001085146-09-000990 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090213 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: 09599583 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 rsam4q08.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, 2008 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: Jacques Engeli Title: Legal & Compliance Officer Phone: +41 44 653 1045 Signature, Place, and Date of Signing: /s/ Jacques Engeli Zurich, Switzerland February 11, 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: 155 Form13F Information Table Value Total: $1,165,442 (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 303 5270 SH DEFINED 01 02 5270 0 0 ABBOTT LABS COM 002824100 1410 26420 SH DEFINED 01 02 26420 0 0 ADVANCED BATTERY TECHNOLOG I COM 00752H102 2394 900000 SH DEFINED 01 02 900000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 54 24770 SH DEFINED 01 02 24770 0 0 AETNA INC NEW COM 00817Y108 2893 101500 SH DEFINED 01 02 101500 0 0 AGRIUM INC COM 008916108 285 8360 SH DEFINED 01 02 8360 0 0 AIR PRODS & CHEMS INC COM 009158106 373 7420 SH DEFINED 01 02 7420 0 0 ALCOA INC COM 013817101 295 26175 SH DEFINED 01 02 26175 0 0 AMERICAN INTL GROUP INC COM 026874107 92 58610 SH DEFINED 01 02 58610 0 0 AMERICAN STS WTR CO COM 029899101 8905 270000 SH DEFINED 01 02 270000 0 0 AMGEN INC COM 031162100 1429 24750 SH DEFINED 01 02 24750 0 0 AQUA AMERICA INC COM 03836W103 18487 897887 SH DEFINED 01 02 897887 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 218 7970 SH DEFINED 01 02 7970 0 0 BANK OF AMERICA CORPORATION COM 060505104 180 12810 SH DEFINED 01 02 12810 0 0 BARE ESCENTUALS INC COM 067511105 1344 257000 SH DEFINED 01 02 257000 0 0 BAXTER INTL INC COM 071813109 337 6280 SH DEFINED 01 02 6280 0 0 BLOCK H & R INC COM 093671105 890 39192 SH DEFINED 01 02 39192 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 414 17810 SH DEFINED 01 02 17810 0 0 CALGON CARBON CORP COM 129603106 11506 749120 SH DEFINED 01 02 749120 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 9013 194126 SH DEFINED 01 02 194126 0 0 CANADIAN SOLAR INC COM 136635109 13519 2092800 SH DEFINED 01 02 2092800 0 0 CATERPILLAR INC DEL COM 149123101 636 14230 SH DEFINED 01 02 14230 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 237 5656 SH DEFINED 01 02 5656 0 0 CHEVRON CORP NEW COM 166764100 2788 37685 SH DEFINED 01 02 37685 0 0 CHINA BAK BATTERY INC COM 16936Y100 3240 2000000 SH DEFINED 01 02 2000000 0 0 CISCO SYS INC COM 17275R102 1445 88665 SH DEFINED 01 02 88665 0 0 CITIGROUP INC COM 172967101 572 85252 SH DEFINED 01 02 85252 0 0 CLEAN HARBORS INC COM 184496107 445 7020 SH DEFINED 01 02 7020 0 0 COCA COLA CO COM 191216100 267 5900 SH DEFINED 01 02 5900 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 39157 1617400 SH DEFINED 01 02 1617400 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 4518 328797 SH DEFINED 01 02 328797 0 0 CONOCOPHILLIPS COM 20825C104 210 4061 SH DEFINED 01 02 4061 0 0 CORNING INC COM 219350105 193 20200 SH DEFINED 01 02 20200 0 0 COVANTA HLDG CORP COM 22282E102 7227 329090 SH DEFINED 01 02 329090 0 0 CROWN HOLDINGS INC COM 228368106 650 33865 SH DEFINED 01 02 33865 0 0 CUMMINS INC COM 231021106 553 20680 SH DEFINED 01 02 20680 0 0 CYTEC INDS INC COM 232820100 356 16760 SH DEFINED 01 02 16760 0 0 DANAHER CORP DEL COM 235851102 92840 1640000 SH DEFINED 01 02 1640000 0 0 DELL INC COM 24702R101 997 97370 SH DEFINED 01 02 97370 0 0 DIONEX CORP COM 254546104 14850 331100 SH DEFINED 01 02 331100 0 0 DISNEY WALT CO COM DISNEY 254687106 665 29300 SH DEFINED 01 02 29300 0 0 DONALDSON INC COM 257651109 461 13685 SH DEFINED 01 02 13685 0 0 DOW CHEM CO COM 260543103 697 46180 SH DEFINED 01 02 46180 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 500 19750 SH DEFINED 01 02 19750 0 0 DUKE ENERGY CORP NEW COM 26441C105 288 19200 SH DEFINED 01 02 19200 0 0 EASTMAN KODAK CO COM 277461109 118 17910 SH DEFINED 01 02 17910 0 0 ECOLAB INC COM 278865100 38088 1083595 SH DEFINED 01 02 1083595 0 0 EL PASO CORP COM 28336L109 633 80890 SH DEFINED 01 02 80890 0 0 ENBRIDGE INC COM 29250N105 1973 60700 SH DEFINED 01 02 60700 0 0 ENCANA CORP COM 292505104 318 6802 SH DEFINED 01 02 6802 0 0 ENER1 INC COM NEW 29267A203 6078 850000 SH DEFINED 01 02 850000 0 0 ENERGY CONVERSION DEVICES IN COM 292659109 23950 950000 SH DEFINED 01 02 950000 0 0 ENERGY RECOVERY INC COM 29270J100 3790 500000 SH DEFINED 01 02 500000 0 0 ENERSYS COM 29275Y102 4400 400000 SH DEFINED 01 02 400000 0 0 ENOVA SYSTEMS INC COM NEW 29355M200 109 271750 SH DEFINED 01 02 271750 0 0 ENTERGY CORP NEW COM 29364G103 483 5810 SH DEFINED 01 02 5810 0 0 EXELON CORP COM 30161N101 381 6860 SH DEFINED 01 02 6860 0 0 FIRST SOLAR INC COM 336433107 3075 22290 SH DEFINED 01 02 22290 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 122 53330 SH DEFINED 01 02 53330 0 0 FPL GROUP INC COM 302571104 3151 62600 SH DEFINED 01 02 62600 0 0 GAP INC DEL COM 364760108 1615 120630 SH DEFINED 01 02 120630 0 0 GENENTECH INC COM NEW 368710406 216 2610 SH DEFINED 01 02 2610 0 0 GENERAL ELECTRIC CO COM 369604103 609 37565 SH DEFINED 01 02 37565 0 0 GENERAL MLS INC COM 370334104 765 12600 SH DEFINED 01 02 12600 0 0 GENZYME CORP COM 372917104 447 6740 SH DEFINED 01 02 6740 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1305 15468 SH DEFINED 01 02 15468 0 0 GRAFTECH INTL LTD COM 384313102 236 28370 SH DEFINED 01 02 28370 0 0 HAIN CELESTIAL GROUP INC COM 405217100 3507 183700 SH DEFINED 01 02 183700 0 0 HALLIBURTON CO COM 406216101 1366 75120 SH DEFINED 01 02 75120 0 0 HEWLETT PACKARD CO COM 428236103 4836 133260 SH DEFINED 01 02 133260 0 0 HUMANA INC COM 444859102 970 26030 SH DEFINED 01 02 26030 0 0 IDEX CORP COM 45167R104 40834 1690850 SH DEFINED 01 02 1690850 0 0 INSITUFORM TECHNOLOGIES INC CL A 457667103 9991 507400 SH DEFINED 01 02 507400 0 0 INTEL CORP COM 458140100 704 48050 SH DEFINED 01 02 48050 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 4136 49150 SH DEFINED 01 02 49150 0 0 ITC HLDGS CORP COM 465685105 7725 176850 SH DEFINED 01 02 176850 0 0 ITRON INC COM 465741106 85922 1348000 SH DEFINED 01 02 1348000 0 0 ITT CORP NEW COM 450911102 93804 2039660 SH DEFINED 01 02 2039660 0 0 JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 14203 3250000 SH DEFINED 01 02 3250000 0 0 JOHNSON & JOHNSON COM 478160104 6288 105100 SH DEFINED 01 02 105100 0 0 JOHNSON CTLS INC COM 478366107 209 11490 SH DEFINED 01 02 11490 0 0 JPMORGAN & CHASE & CO COM 46625H100 400 12680 SH DEFINED 01 02 12680 0 0 KIMBERLY CLARK CORP COM 494368103 1172 22215 SH DEFINED 01 02 22215 0 0 KRAFT FOODS INC CL A 50075N104 693 25825 SH DEFINED 01 02 25825 0 0 LAYNE CHRISTENSEN CO COM 521050104 5440 226584 SH DEFINED 01 02 226584 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 208 8940 SH DEFINED 01 02 8940 0 0 LINDSAY CORP COM 535555106 5862 184400 SH DEFINED 01 02 184400 0 0 MANULIFE FINL CORP COM 56501R106 847 49555 SH DEFINED 01 02 49555 0 0 MCDONALDS CORP COM 580135101 394 6340 SH DEFINED 01 02 6340 0 0 MERCK & CO INC COM 589331107 242 7970 SH DEFINED 01 02 7970 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 380 5640 SH DEFINED 01 02 5640 0 0 MICROSOFT CORP COM 594918104 1737 89340 SH DEFINED 01 02 89340 0 0 MILLER HERMAN INC COM 600544100 800 61370 SH DEFINED 01 02 61370 0 0 MORGAN STANLEY COM NEW 617446448 648 40420 SH DEFINED 01 02 40420 0 0 MOSAIC CO COM 61945A107 371 10730 SH DEFINED 01 02 10730 0 0 MOTOROLA INC COM 620076109 195 43930 SH DEFINED 01 02 43930 0 0 MUELLER WTR PRODS INC COM SER B 624758207 27551 3264288 SH DEFINED 01 02 3264288 0 0 NALCO HOLDING COMPANY COM 62985Q101 27679 2398523 SH DEFINED 01 02 2398523 0 0 NEWMONT MINING CORP COM 651639106 433 10640 SH DEFINED 01 02 10640 0 0 NEXEN INC COM 65334H102 2080 118024 SH DEFINED 01 02 118024 0 0 NIKE INC CL B 654106103 3357 65830 SH DEFINED 01 02 65830 0 0 NORTEL NETWORKS CORP NEW COM NEW 656568508 6 24000 SH DEFINED 01 02 24000 0 0 OFFICE DEPOT INC COM 676220106 53 17640 SH DEFINED 01 02 17640 0 0 PALL CORP COM 696429307 84231 2962750 SH DEFINED 01 02 2962750 0 0 PENTAIR INC COM 709631105 14900 629500 SH DEFINED 01 02 629500 0 0 PEPSICO INC COM 713448108 329 6010 SH DEFINED 01 02 6010 0 0 PFIZER INC COM 717081103 4328 244393 SH DEFINED 01 02 244393 0 0 PLUM CREEK TIMBER CO INC COM 729251108 1334 38390 SH DEFINED 01 02 38390 0 0 POLYPORE INTL INC COM 73179V103 2852 377200 SH DEFINED 01 02 377200 0 0 POTASH CORP SASK INC COM 73755L107 213 2900 SH DEFINED 01 02 2900 0 0 PRAXAIR INC COM 74005P104 1254 21120 SH DEFINED 01 02 21120 0 0 PROCTER & GAMBLE CO COM 742718109 6023 97430 SH DEFINED 01 02 97430 0 0 QUANTA SVCS INC COM 74762E102 9200 464630 SH DEFINED 01 02 464630 0 0 QUEST DIAGNOSTICS INC COM 74834L100 303 5840 SH DEFINED 01 02 5840 0 0 ROBBINS & MYERS INC COM 770196103 4299 265884 SH DEFINED 01 02 265884 0 0 ROFIN SINAR TECHNOLOGIES INC COM 775043102 412 20020 SH DEFINED 01 02 20020 0 0 ROPER INDS INC NEW COM 776696106 75254 1733562 SH DEFINED 01 02 1733562 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 1404 47354 SH DEFINED 01 02 47354 0 0 RUBICON TECHNOLOGY INC COM 78112T107 4260 1000000 SH DEFINED 01 02 1000000 0 0 SASOL LTD SPONSORED ADR 803866300 361 11900 SH DEFINED 01 02 11900 0 0 SIRIUS XM RADIO INC COM 82967N108 1 10460 SH DEFINED 01 02 10460 0 0 SMITH INTL INC COM 832110100 278 12130 SH DEFINED 01 02 12130 0 0 SMURFIT-STONE CONTAINER CORP COM 832727101 8 32150 SH DEFINED 01 02 32150 0 0 SPDR TR UNIT SER 1 78462F103 1173 13000 SH DEFINED 01 02 13000 0 0 STANTEC INC COM 85472N109 27048 1092060 SH DEFINED 01 02 1092060 0 0 STAPLES INC COM 855030102 336 18750 SH DEFINED 01 02 18750 0 0 STARBUCKS CORP COM 855244109 120 12680 SH DEFINED 01 02 12680 0 0 STATE STR CORP COM 857477103 274 6970 SH DEFINED 01 02 6970 0 0 SUNCOR ENERGY INC COM 867229106 297 15218 SH DEFINED 01 02 15218 0 0 SUNOPTA INC COM 8676EP108 5416 3449420 SH DEFINED 01 02 3449420 0 0 SUNPOWER CORP COM CL A 867652109 15788 426690 SH DEFINED 01 02 426690 0 0 SYMANTEC CORP COM 871503108 649 48000 SH DEFINED 01 02 48000 0 0 TECK COMINCO LTD CL B 878742204 143 28830 SH DEFINED 01 02 28830 0 0 TETRA TECH INC NEW COM 88162G103 13361 553250 SH DEFINED 01 02 553250 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 85542 2510780 SH DEFINED 01 02 2510780 0 0 TIME WARNER INC COM 887317105 180 17890 SH DEFINED 01 02 17890 0 0 TORO CO COM 891092108 10521 318809 SH DEFINED 01 02 318809 0 0 TRANSCANADA CORP COM 89353D107 5516 202423 SH DEFINED 01 02 202423 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 10284 1107000 SH DEFINED 01 02 1107000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 609 11040 SH DEFINED 01 02 11040 0 0 UNITED STATES STL CORP NEW COM 912909108 659 17710 SH DEFINED 01 02 17710 0 0 UNITED TECHNOLOGIES CORP COM 913017109 689 12850 SH DEFINED 01 02 12850 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1913 71920 SH DEFINED 01 02 71920 0 0 URS CORP NEW COM 903236107 22384 549020 SH DEFINED 01 02 549020 0 0 VALMONT INDS INC COM 920253101 22449 365857 SH DEFINED 01 02 365857 0 0 WABTEC CORP COM 929740108 2981 75000 SH DEFINED 01 02 75000 0 0 WACHOVIA CORP NEW COM 929903102 72 13010 SH DEFINED 01 02 13010 0 0 WAL MART STORES INC COM 931142103 290 5170 SH DEFINED 01 02 5170 0 0 WASTE MGMT INC DEL COM 94106L109 1170 35310 SH DEFINED 01 02 35310 0 0 WELLS FARGO & CO NEW COM 949746101 368 12490 SH DEFINED 01 02 12490 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 1020 200000 SH DEFINED 01 02 200000 0 0 WHIRLPOOL CORP COM 963320106 415 10030 SH DEFINED 01 02 10030 0 0 XCEL ENERGY INC COM 98389B100 562 30300 SH DEFINED 01 02 30300 0 0 XTO ENERGY INC COM 98385X106 1445 40970 SH DEFINED 01 02 40970 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 25486 4178000 SH DEFINED 01 02 4178000 0 0
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