-----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, TG1Sof7SRKvPccj8maLdHtY1ztc3j4MdMg9r5P0xq3zttZBdq2ggT9wXcGRVVnwF zq54boAKevJJVnQV1eU9IQ== 0001085146-09-002122.txt : 20090508 0001085146-09-002122.hdr.sgml : 20090508 20090508172430 ACCESSION NUMBER: 0001085146-09-002122 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090508 DATE AS OF CHANGE: 20090508 EFFECTIVENESS DATE: 20090508 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: 09811944 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 rsam1q09r.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: March 31, 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 April 29, 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: 147 Form13F Information Table Value Total: $1,007,562 (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 256 5270 SH DEFINED 01 02 5270 0 0 ABBOTT LABS COM 002824100 1272 26570 SH DEFINED 01 02 26570 0 0 ADVANCED BATTERY TECHNOLOG I COM 00752H102 2365 1100000 SH DEFINED 01 02 1100000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 79 24770 SH DEFINED 01 02 24770 0 0 AETNA INC NEW COM 00817Y108 2256 95900 SH DEFINED 01 02 95900 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 246 16010 SH DEFINED 01 02 16010 0 0 AGRIUM INC COM 008916108 286 8010 SH DEFINED 01 02 8010 0 0 AIR PRODS & CHEMS INC COM 009158106 395 7120 SH DEFINED 01 02 7120 0 0 ALCOA INC COM 013817101 84 12490 SH DEFINED 01 02 12490 0 0 ALLERGAN INC COM 018490102 204 4220 SH DEFINED 01 02 4220 0 0 AMERICAN STS WTR CO COM 029899101 9061 252550 SH DEFINED 01 02 252550 0 0 AMGEN INC COM 031162100 1778 35200 SH DEFINED 01 02 35200 0 0 AQUA AMERICA INC COM 03836W103 15599 792225 SH DEFINED 01 02 792225 0 0 AVON PRODS INC COM 054303102 3468 184000 SH DEFINED 01 02 184000 0 0 BALL CORP COM 058498106 248 5740 SH DEFINED 01 02 5740 0 0 BANK OF AMERICA CORPORATION COM 060505104 117 19325 SH DEFINED 01 02 19325 0 0 BARE ESCENTUALS INC COM 067511105 41 10000 SH DEFINED 01 02 10000 0 0 BAXTER INTL INC COM 071813109 318 6280 SH DEFINED 01 02 6280 0 0 BLOCK H & R INC COM 093671105 1961 112820 SH DEFINED 01 02 112820 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 467 22200 SH DEFINED 01 02 22200 0 0 CALGON CARBON CORP COM 129603106 8374 596885 SH DEFINED 01 02 596885 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 7843 187370 SH DEFINED 01 02 187370 0 0 CANADIAN SOLAR INC COM 136635109 6273 1188000 SH DEFINED 01 02 1188000 0 0 CATERPILLAR INC DEL COM 149123101 350 12730 SH DEFINED 01 02 12730 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 201 5656 SH DEFINED 01 02 5656 0 0 CHEVRON CORP NEW COM 166764100 2499 37405 SH DEFINED 01 02 37405 0 0 CHINA BAK BATTERY INC COM 16936Y100 3694 2294600 SH DEFINED 01 02 2294600 0 0 CISCO SYS INC COM 17275R102 1348 82665 SH DEFINED 01 02 82665 0 0 CITIGROUP INC COM 172967101 100 43370 SH DEFINED 01 02 43370 0 0 CLEAN HARBORS INC COM 184496107 321 6740 SH DEFINED 01 02 6740 0 0 COCA COLA CO COM 191216100 259 5900 SH DEFINED 01 02 5900 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 23997 1102288 SH DEFINED 01 02 1102288 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 4814 328797 SH DEFINED 01 02 328797 0 0 CORNING INC COM 219350105 250 19400 SH DEFINED 01 02 19400 0 0 COVANTA HLDG CORP COM 22282E102 4894 373570 SH DEFINED 01 02 373570 0 0 CROWN HOLDINGS INC COM 228368106 514 23215 SH DEFINED 01 02 23215 0 0 CUMMINS INC COM 231021106 377 15380 SH DEFINED 01 02 15380 0 0 CYTEC INDS INC COM 232820100 232 16090 SH DEFINED 01 02 16090 0 0 DANAHER CORP DEL COM 235851102 85885 1594900 SH DEFINED 01 02 1594900 0 0 DELL INC COM 24702R101 848 89370 SH DEFINED 01 02 89370 0 0 DIONEX CORP COM 254546104 14351 310300 SH DEFINED 01 02 310300 0 0 DISNEY WALT CO COM DISNEY 254687106 628 35200 SH DEFINED 01 02 35200 0 0 DOW CHEM CO COM 260543103 445 53650 SH DEFINED 01 02 53650 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 416 18950 SH DEFINED 01 02 18950 0 0 DUKE ENERGY CORP NEW COM 26441C105 271 19200 SH DEFINED 01 02 19200 0 0 EASTMAN KODAK CO COM 277461109 71 17910 SH DEFINED 01 02 17910 0 0 ECOLAB INC COM 278865100 33316 974735 SH DEFINED 01 02 974735 0 0 EL PASO CORP COM 28336L109 516 82900 SH DEFINED 01 02 82900 0 0 ENCANA CORP COM 292505104 275 6802 SH DEFINED 01 02 6802 0 0 ENER1 INC COM NEW 29267A203 6076 1036800 SH DEFINED 01 02 1036800 0 0 ENERGY CONVERSION DEVICES IN COM 292659109 15001 1117000 SH DEFINED 01 02 1117000 0 0 ENERGY RECOVERY INC COM 29270J100 3362 450000 SH DEFINED 01 02 450000 0 0 ENERSYS COM 29275Y102 6292 520000 SH DEFINED 01 02 520000 0 0 ENOVA SYSTEMS INC COM NEW 29355M200 136 271750 SH DEFINED 01 02 271750 0 0 ENTERGY CORP NEW COM 29364G103 355 5310 SH DEFINED 01 02 5310 0 0 EXELON CORP COM 30161N101 284 6360 SH DEFINED 01 02 6360 0 0 FIRST SOLAR INC COM 336433107 20976 153380 SH DEFINED 01 02 153380 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 138 50030 SH DEFINED 01 02 50030 0 0 FPL GROUP INC COM 302571104 1688 34100 SH DEFINED 01 02 34100 0 0 GAP INC DEL COM 364760108 1367 105370 SH DEFINED 01 02 105370 0 0 GENENTECH INC COM NEW 368710406 248 2610 SH DEFINED 01 02 2610 0 0 GENERAL ELECTRIC CO COM 369604103 368 37090 SH DEFINED 01 02 37090 0 0 GENERAL MLS INC COM 370334104 1000 19900 SH DEFINED 01 02 19900 0 0 GENZYME CORP COM 372917104 364 6170 SH DEFINED 01 02 6170 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 283 2818 SH DEFINED 01 02 2818 0 0 HAIN CELESTIAL GROUP INC COM 405217100 3405 235000 SH DEFINED 01 02 235000 0 0 HALLIBURTON CO COM 406216101 456 28810 SH DEFINED 01 02 28810 0 0 HEWLETT PACKARD CO COM 428236103 4039 125760 SH DEFINED 01 02 125760 0 0 HUMANA INC COM 444859102 706 28080 SH DEFINED 01 02 28080 0 0 ICF INTL INC COM 44925C103 3220 139895 SH DEFINED 01 02 139895 0 0 IDEX CORP COM 45167R104 30548 1416900 SH DEFINED 01 02 1416900 0 0 INSITUFORM TECHNOLOGIES INC CL A 457667103 22004 1432560 SH DEFINED 01 02 1432560 0 0 INTEL CORP COM 458140100 590 40050 SH DEFINED 01 02 40050 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 4504 47654 SH DEFINED 01 02 47654 0 0 ITC HLDGS CORP COM 465685105 19570 457140 SH DEFINED 01 02 457140 0 0 ITRON INC COM 465741106 40820 851300 SH DEFINED 01 02 851300 0 0 ITT CORP NEW COM 450911102 72501 1887060 SH DEFINED 01 02 1887060 0 0 JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 5152 1600000 SH DEFINED 01 02 1600000 0 0 JOHNSON & JOHNSON COM 478160104 4325 81580 SH DEFINED 01 02 81580 0 0 JOHNSON CTLS INC COM 478366107 136 11490 SH DEFINED 01 02 11490 0 0 JPMORGAN CHASE & CO COM 46625H100 315 12680 SH DEFINED 01 02 12680 0 0 KELLOGG CO COM 487836108 2353 64500 SH DEFINED 01 02 64500 0 0 KIMBERLY CLARK CORP COM 494368103 1128 24315 SH DEFINED 01 02 24315 0 0 KRAFT FOODS INC CL A 50075N104 632 28925 SH DEFINED 01 02 28925 0 0 LAYNE CHRISTENSEN CO COM 521050104 3622 218430 SH DEFINED 01 02 218430 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 287 8940 SH DEFINED 01 02 8940 0 0 LINDSAY CORP COM 535555106 3037 110630 SH DEFINED 01 02 110630 0 0 LSB INDS INC COM 502160104 2805 281321 SH DEFINED 01 02 281321 0 0 MANULIFE FINL CORP COM 56501R106 539 49555 SH DEFINED 01 02 49555 0 0 MCDONALDS CORP COM 580135101 1288 23890 SH DEFINED 01 02 23890 0 0 MERCK & CO INC COM 589331107 212 7970 SH DEFINED 01 02 7970 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 274 5410 SH DEFINED 01 02 5410 0 0 MICROSOFT CORP COM 594918104 724 41440 SH DEFINED 01 02 41440 0 0 MILLER HERMAN INC COM 600544100 220 20820 SH DEFINED 01 02 20820 0 0 MORGAN STANLEY COM NEW 617446448 461 20820 SH DEFINED 01 02 20820 0 0 MOTOROLA INC COM 620076109 185 43930 SH DEFINED 01 02 43930 0 0 MUELLER WTR PRODS INC COM SER A 624758108 31290 9778100 SH DEFINED 01 02 9778100 0 0 MYR GROUP INC DEL COM 55405W104 724 50000 SH DEFINED 01 02 50000 0 0 NALCO HOLDING COMPANY COM 62985Q101 46248 3590660 SH DEFINED 01 02 3590660 0 0 NEWMONT MINING CORP COM 651639106 618 13640 SH DEFINED 01 02 13640 0 0 NEXEN INC COM 65334H102 1247 74870 SH DEFINED 01 02 74870 0 0 NIKE INC CL B 654106103 2906 62810 SH DEFINED 01 02 62810 0 0 PALL CORP COM 696429307 39942 1958900 SH DEFINED 01 02 1958900 0 0 PENTAIR INC COM 709631105 12227 570000 SH DEFINED 01 02 570000 0 0 PEPSICO INC COM 713448108 311 6010 SH DEFINED 01 02 6010 0 0 PFIZER INC COM 717081103 3029 221093 SH DEFINED 01 02 221093 0 0 PG&E CORP COM 69331C108 252 6620 SH DEFINED 01 02 6620 0 0 PLUM CREEK TIMBER CO INC COM 729251108 982 36390 SH DEFINED 01 02 36390 0 0 POLYPORE INTL INC COM 73179V103 1725 426000 SH DEFINED 01 02 426000 0 0 POTASH CORP SASK INC COM 73755L107 773 9430 SH DEFINED 01 02 9430 0 0 PRAXAIR INC COM 74005P104 1332 20210 SH DEFINED 01 02 20210 0 0 PROCTER & GAMBLE CO COM 742718109 4500 95180 SH DEFINED 01 02 95180 0 0 QUANTA SVCS INC COM 74762E102 9572 445010 SH DEFINED 01 02 445010 0 0 QUEST DIAGNOSTICS INC COM 74834L100 275 5840 SH DEFINED 01 02 5840 0 0 QUIKSILVER INC COM 74838C106 38 30000 SH DEFINED 01 02 30000 0 0 ROPER INDS INC NEW COM 776696106 66020 1580185 SH DEFINED 01 02 1580185 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 1319 46454 SH DEFINED 01 02 46454 0 0 RUBICON TECHNOLOGY INC COM 78112T107 5581 1100797 SH DEFINED 01 02 1100797 0 0 SASOL LTD SPONSORED ADR 803866300 316 11400 SH DEFINED 01 02 11400 0 0 SPDR TR UNIT SER 1 78462F103 315 4000 SH DEFINED 01 02 4000 0 0 STANTEC INC COM 85472N109 18043 974300 SH DEFINED 01 02 974300 0 0 STAPLES INC COM 855030102 305 16750 SH DEFINED 01 02 16750 0 0 STERICYCLE INC COM 858912108 303 6430 SH DEFINED 01 02 6430 0 0 SUNOPTA INC COM 8676EP108 6655 3718020 SH DEFINED 01 02 3718020 0 0 SUNPOWER CORP COM CL A 867652109 3031 127240 SH DEFINED 01 02 127240 0 0 SUNPOWER CORP COM CL B 867652307 6000 300000 SH DEFINED 01 02 300000 0 0 SYMANTEC CORP COM 871503108 824 56600 SH DEFINED 01 02 56600 0 0 TECK COMINCO LTD CL B 878742204 184 33830 SH DEFINED 01 02 33830 0 0 TETRA TECH INC NEW COM 88162G103 10202 504805 SH DEFINED 01 02 504805 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 101734 2833830 SH DEFINED 01 02 2833830 0 0 TORO CO COM 891092108 18620 772600 SH DEFINED 01 02 772600 0 0 TOWN SPORTS INTL HLDGS INC COM 89214A102 56 30000 SH DEFINED 01 02 30000 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 15579 1542500 SH DEFINED 01 02 1542500 0 0 UNITED PARCEL SERVICE INC CL B 911312106 512 10540 SH DEFINED 01 02 10540 0 0 UNITED TECHNOLOGIES CORP COM 913017109 547 12850 SH DEFINED 01 02 12850 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1050 51120 SH DEFINED 01 02 51120 0 0 URS CORP NEW COM 903236107 16863 428100 SH DEFINED 01 02 428100 0 0 VALMONT INDS INC COM 920253101 7774 153300 SH DEFINED 01 02 153300 0 0 WABTEC CORP COM 929740108 2349 90000 SH DEFINED 01 02 90000 0 0 WAL MART STORES INC COM 931142103 268 5170 SH DEFINED 01 02 5170 0 0 WASTE MGMT INC DEL COM 94106L109 2312 91310 SH DEFINED 01 02 91310 0 0 WELLS FARGO & CO NEW COM 949746101 202 15080 SH DEFINED 01 02 15080 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 960 200000 SH DEFINED 01 02 200000 0 0 WHIRLPOOL CORP COM 963320106 353 12130 SH DEFINED 01 02 12130 0 0 XCEL ENERGY INC COM 98389B100 515 28300 SH DEFINED 01 02 28300 0 0 XTO ENERGY INC COM 98385X106 1575 50970 SH DEFINED 01 02 50970 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 27345 4814200 SH DEFINED 01 02 4814200 0 0
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