-----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, LUeNRA0JIBjfjr4yIZrKbQuwB/me3hT5YDQIBRU5mHjob6hRuS5jz5DDm3DGqcPX KmsmHf1ISkELDnSFfFyz8g== 0001085146-10-000045.txt : 20100127 0001085146-10-000045.hdr.sgml : 20100127 20100127083747 ACCESSION NUMBER: 0001085146-10-000045 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100127 DATE AS OF CHANGE: 20100127 EFFECTIVENESS DATE: 20100127 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: 10549098 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 rsam4q09.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, 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 January 18, 2010 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: 246 Form 13F Information Table Value Total: $1,889,876 (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 1334 15905 SH DEFINED 01 02 15905 0 0 ABBOTT LABS COM 002824100 8808 161500 SH DEFINED 01 02 161500 0 0 ACUITY BRANDS INC COM 00508Y102 3849 106780 SH DEFINED 01 02 106780 0 0 ADVANCED BATTERY TECHNOLOG I COM 00752H102 9269 2300000 SH DEFINED 01 02 2300000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 53 5470 SH DEFINED 01 02 5470 0 0 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 45667 1645667 SH DEFINED 01 02 1645667 0 0 AETNA INC NEW COM 00817Y108 4484 139464 SH DEFINED 01 02 139464 0 0 AFFILIATED COMPUTER SERVICES CL A 008190100 133 2200 SH DEFINED 01 02 2200 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 349 11210 SH DEFINED 01 02 11210 0 0 AGRIUM INC COM 008916108 435 6970 SH DEFINED 01 02 6970 0 0 AIR PRODS & CHEMS INC COM 009158106 677 8230 SH DEFINED 01 02 8230 0 0 ALCOA INC COM 013817101 218 13390 SH DEFINED 01 02 13390 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 44 900 SH DEFINED 01 02 900 0 0 ALLERGAN INC COM 018490102 3461 54520 SH DEFINED 01 02 54520 0 0 AMERICAN STS WTR CO COM 029899101 19590 540106 SH DEFINED 01 02 540106 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 109646 4862367 SH DEFINED 01 02 4862367 0 0 AMGEN INC COM 031162100 7834 136150 SH DEFINED 01 02 136150 0 0 ANSYS INC COM 03662Q105 210 4800 SH DEFINED 01 02 4800 0 0 APOGEE ENTERPRISES INC COM 037598109 2318 164950 SH DEFINED 01 02 164950 0 0 AQUA AMERICA INC COM 03836W103 23954 1349525 SH DEFINED 01 02 1349525 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 476 15000 SH DEFINED 01 02 15000 0 0 AVON PRODS INC COM 054303102 4572 143680 SH DEFINED 01 02 143680 0 0 BALL CORP COM 058498106 833 15990 SH DEFINED 01 02 15990 0 0 BANK MONTREAL QUE COM 063671101 534 10200 SH DEFINED 01 02 10200 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 316 6709 SH DEFINED 01 02 6709 0 0 BANK OF AMERICA CORPORATION COM 060505104 258 17125 SH DEFINED 01 02 17125 0 0 BARE ESCENTUALS INC COM 067511105 633 51000 SH DEFINED 01 02 51000 0 0 BARRICK GOLD CORP COM 067901108 51 1300 SH DEFINED 01 02 1300 0 0 BAXTER INTL INC COM 071813109 4340 73580 SH DEFINED 01 02 73580 0 0 BCE INC COM NEW 05534B760 149 5460 SH DEFINED 01 02 5460 0 0 BECTON DICKINSON & CO COM 075887109 52 650 SH DEFINED 01 02 650 0 0 BLOCK H & R INC COM 093671105 328 14500 SH DEFINED 01 02 14500 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 553 21581 SH DEFINED 01 02 21581 0 0 BRUSH ENGINEERED MATLS INC COM 117421107 577 30700 SH DEFINED 01 02 30700 0 0 CALGON CARBON CORP COM 129603106 16207 1145347 SH DEFINED 01 02 1145347 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 17014 457603 SH DEFINED 01 02 457603 0 0 CANADIAN SOLAR INC COM 136635109 56920 1978455 SH DEFINED 01 02 1978455 0 0 CARDINAL HEALTH INC COM 14149Y108 1598 49000 SH DEFINED 01 02 49000 0 0 CATERPILLAR INC DEL COM 149123101 492 8480 SH DEFINED 01 02 8480 0 0 CDN IMPERIAL BK OF COMMERCE COM 136069101 640 9947 SH DEFINED 01 02 9947 0 0 CELANESE CORP DEL COM SER A 150870103 1721 53243 SH DEFINED 01 02 53243 0 0 CHESAPEAKE ENERGY CORP COM 165167107 841 31900 SH DEFINED 01 02 31900 0 0 CHEVRON CORP NEW COM 166764100 1998 25733 SH DEFINED 01 02 25733 0 0 CHINA BAK BATTERY INC COM 16936Y100 6094 2200000 SH DEFINED 01 02 2200000 0 0 CHINA MED TECHNOLOGIES INC SPONSORED ADR 169483104 3578 250000 SH DEFINED 01 02 250000 0 0 CHINA VALVES TECHNOLOGY INC COM NEW 169476207 553 55500 SH DEFINED 01 02 55500 0 0 CIGNA CORP COM 125509109 149 4157 SH DEFINED 01 02 4157 0 0 CISCO SYS INC COM 17275R102 1550 64085 SH DEFINED 01 02 64085 0 0 CITIGROUP INC COM 172967101 311 93770 SH DEFINED 01 02 93770 0 0 CLEAN ENERGY FUELS CORP COM 184499101 10622 681350 SH DEFINED 01 02 681350 0 0 CLEAN HARBORS INC COM 184496107 348 5850 SH DEFINED 01 02 5850 0 0 COCA COLA CO COM 191216100 525 9100 SH DEFINED 01 02 9100 0 0 COLGATE PALMOLIVE CO COM 194162103 273 3300 SH DEFINED 01 02 3300 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 30295 769679 SH DEFINED 01 02 769679 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 52044 2847073 SH DEFINED 01 02 2847073 0 0 COMVERGE INC COM 205859101 6325 550000 SH DEFINED 01 02 550000 0 0 CONNECTICUT WTR SVC INC COM 207797101 263 10500 SH DEFINED 01 02 10500 0 0 CONSTELLATION ENERGY GROUP I COM 210371100 89 2500 SH DEFINED 01 02 2500 0 0 CORNING INC COM 219350105 474 24490 SH DEFINED 01 02 24490 0 0 COVANTA HLDG CORP COM 22282E102 12555 689860 SH DEFINED 01 02 689860 0 0 CREE INC COM 225447101 10910 195000 SH DEFINED 01 02 195000 0 0 CROWN HOLDINGS INC COM 228368106 4316 168255 SH DEFINED 01 02 168255 0 0 CUMMINS INC COM 231021106 290 6260 SH DEFINED 01 02 6260 0 0 CYTEC INDS INC COM 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266 8202 SH DEFINED 01 02 8202 0 0 ENER1 INC COM NEW 29267A203 10165 1526326 SH DEFINED 01 02 1526326 0 0 ENERGIZER HLDGS INC COM 29266R108 2502 40000 SH DEFINED 01 02 40000 0 0 ENERGY RECOVERY INC COM 29270J100 3861 573700 SH DEFINED 01 02 573700 0 0 ENERSYS COM 29275Y102 8603 390000 SH DEFINED 01 02 390000 0 0 ENOVA SYSTEMS INC COM NEW 29355M200 3437 1771750 SH DEFINED 01 02 1771750 0 0 ENTERGY CORP NEW COM 29364G103 441 5310 SH DEFINED 01 02 5310 0 0 EXELON CORP COM 30161N101 354 7160 SH DEFINED 01 02 7160 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 8769 1247300 SH DEFINED 01 02 1247300 0 0 EXPRESS SCRIPTS INC COM 302182100 2636 30000 SH DEFINED 01 02 30000 0 0 EXXON MOBIL CORP COM 30231G102 1025 14900 SH DEFINED 01 02 14900 0 0 FIBRIA CELULOSE S A SP ADR REP COM 31573A109 143 6300 SH DEFINED 01 02 6300 0 0 FLEXIBLE SOLUTIONS INTL INC COM 33938T104 265 165494 SH DEFINED 01 02 165494 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 261 26130 SH DEFINED 01 02 26130 0 0 FOREST OIL CORP COM PAR $0.01 346091705 308 13411 SH DEFINED 01 02 13411 0 0 FPL GROUP INC COM 302571104 1187 22100 SH DEFINED 01 02 22100 0 0 FUEL SYS SOLUTIONS INC COM 35952W103 24003 566770 SH DEFINED 01 02 566770 0 0 GAP INC DEL COM 364760108 753 35420 SH DEFINED 01 02 35420 0 0 GENERAL CABLE CORP DEL NEW COM 369300108 83 2800 SH DEFINED 01 02 2800 0 0 GENERAL ELECTRIC CO COM 369604103 760 49500 SH DEFINED 01 02 49500 0 0 GENERAL MLS INC COM 370334104 8466 117900 SH DEFINED 01 02 117900 0 0 GENZYME CORP COM 372917104 1841 37000 SH DEFINED 01 02 37000 0 0 GILEAD SCIENCES INC COM 375558103 6439 147000 SH DEFINED 01 02 147000 0 0 GOLDCORP INC NEW COM 380956409 94 2400 SH DEFINED 01 02 2400 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 405 2428 SH DEFINED 01 02 2428 0 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 5864 73300 SH DEFINED 01 02 73300 0 0 HAIN CELESTIAL GROUP INC COM 405217100 325 19000 SH DEFINED 01 02 19000 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 1377 58100 SH DEFINED 01 02 58100 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 13819 650000 SH DEFINED 01 02 650000 0 0 HEALTH NET INC COM 42222G108 2729 115101 SH DEFINED 01 02 115101 0 0 HEINZ H J CO COM 423074103 282 6530 SH DEFINED 01 02 6530 0 0 HEWLETT PACKARD CO COM 428236103 7656 144638 SH DEFINED 01 02 144638 0 0 HUMANA INC COM 444859102 225 5080 SH DEFINED 01 02 5080 0 0 ICF INTL INC COM 44925C103 9935 372660 SH DEFINED 01 02 372660 0 0 IDEX CORP COM 45167R104 26249 834350 SH DEFINED 01 02 834350 0 0 INSITUFORM TECHNOLOGIES INC CL A 457667103 28670 1280491 SH DEFINED 01 02 1280491 0 0 INTEL CORP COM 458140100 1023 49700 SH DEFINED 01 02 49700 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 5813 43847 SH DEFINED 01 02 43847 0 0 ISIS PHARMACEUTICALS INC COM 464330109 36 3200 SH DEFINED 01 02 3200 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 59 2600 SH DEFINED 01 02 2600 0 0 ITC HLDGS CORP COM 465685105 38812 741400 SH DEFINED 01 02 741400 0 0 ITRON INC COM 465741106 481 7000 SH DEFINED 01 02 7000 0 0 ITT CORP NEW COM 450911102 113702 2243532 SH DEFINED 01 02 2243532 0 0 JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 50619 8757570 SH DEFINED 01 02 8757570 0 0 JOHNSON & JOHNSON COM 478160104 8406 129500 SH DEFINED 01 02 129500 0 0 JOHNSON CTLS INC COM 478366107 452 16190 SH DEFINED 01 02 16190 0 0 JPMORGAN CHASE & CO COM 46625H100 509 12256 SH DEFINED 01 02 12256 0 0 KELLOGG CO COM 487836108 11286 209040 SH DEFINED 01 02 209040 0 0 KIMBERLY CLARK CORP COM 494368103 2840 44106 SH DEFINED 01 02 44106 0 0 KRAFT FOODS INC CL A 50075N104 649 23625 SH DEFINED 01 02 23625 0 0 KT CORP SPONSORED ADR 48268K101 212 12700 SH DEFINED 01 02 12700 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 2448 32500 SH DEFINED 01 02 32500 0 0 LAYNE CHRISTENSEN CO COM 521050104 7506 258995 SH DEFINED 01 02 258995 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 1360 25940 SH DEFINED 01 02 25940 0 0 LIFE TIME FITNESS INC COM 53217R207 4903 193500 SH DEFINED 01 02 193500 0 0 LIMITED BRANDS INC COM 532716107 510 26136 SH DEFINED 01 02 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600544100 178 10770 SH DEFINED 01 02 10770 0 0 MILLIPORE CORP COM 601073109 17988 247059 SH DEFINED 01 02 247059 0 0 MKS INSTRUMENT INC COM 55306N104 526 30000 SH DEFINED 01 02 30000 0 0 MOTOROLA INC COM 620076109 486 62730 SH DEFINED 01 02 62730 0 0 MUELLER WTR PRODS INC COM SER A 624758108 12246 2355002 SH DEFINED 01 02 2355002 0 0 MYLAN INC COM 628530107 9930 533580 SH DEFINED 01 02 533580 0 0 MYR GROUP INC DEL COM 55405W104 9667 532334 SH DEFINED 01 02 532334 0 0 MYRIAD GENETICS INC COM 62855J104 47 1800 SH DEFINED 01 02 1800 0 0 NALCO HOLDING COMPANY COM 62985Q101 20012 781412 SH DEFINED 01 02 781412 0 0 NBTY INC COM 628782104 6310 145000 SH DEFINED 01 02 145000 0 0 NETEASE COM INC SPONSORED ADR 64110W102 477 12900 SH DEFINED 01 02 12900 0 0 NEWMONT MINING CORP COM 651639106 768 16140 SH DEFINED 01 02 16140 0 0 NEXEN INC COM 65334H102 967 40525 SH DEFINED 01 02 40525 0 0 NEXXUS LIGHTING INC COM 65338E105 4420 1300000 SH DEFINED 01 02 1300000 0 0 NIKE INC CL B 654106103 1306 19750 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SH DEFINED 01 02 7190 0 0 SUNOPTA INC COM 8676EP108 5102 1509350 SH DEFINED 01 02 1509350 0 0 SUNPOWER CORP COM CL A 867652109 430 18000 SH DEFINED 01 02 18000 0 0 SYMANTEC CORP COM 871503108 1019 56170 SH DEFINED 01 02 56170 0 0 SYNOPSYS INC COM 871607107 172 7700 SH DEFINED 01 02 7700 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 123 10900 SH DEFINED 01 02 10900 0 0 TARGET CORP COM 87612E106 831 17060 SH DEFINED 01 02 17060 0 0 TC PIPELINES LP UT COM LTD PRT 87233Q108 85 2300 SH DEFINED 01 02 2300 0 0 TECK RESOURCES LTD CL B 878742204 1270 35494 SH DEFINED 01 02 35494 0 0 TEMPLE INLAND INC COM 879868107 360 16800 SH DEFINED 01 02 16800 0 0 TETRA TECH INC NEW COM 88162G103 24656 895622 SH DEFINED 01 02 895622 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 4303 77000 SH DEFINED 01 02 77000 0 0 TEXAS INSTRS INC COM 882508104 116 4476 SH DEFINED 01 02 4476 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 122188 2542930 SH DEFINED 01 02 2542930 0 0 TORO CO COM 891092108 10513 244830 SH DEFINED 01 02 244830 0 0 TRANSCANADA CORP COM 89353D107 90 2651 SH DEFINED 01 02 2651 0 0 TRAVELERS COMPANIES INC COM 89417E109 45 900 SH DEFINED 01 02 900 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 28236 526600 SH DEFINED 01 02 526600 0 0 ULTRA PETROLEUM CORP COM 903914109 1534 30000 SH DEFINED 01 02 30000 0 0 UNITED NAT FOODS INC COM 911163103 8305 307350 SH DEFINED 01 02 307350 0 0 UNITED PARCEL SERVICE INC CL B 911312106 215 3700 SH DEFINED 01 02 3700 0 0 UNITED TECHNOLOGIES CORP COM 913017109 553 7850 SH DEFINED 01 02 7850 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4810 155100 SH DEFINED 01 02 155100 0 0 UQM TECHNOLOGIES INC COM 903213106 2512 373200 SH DEFINED 01 02 373200 0 0 V F CORP COM 918204108 1336 18000 SH DEFINED 01 02 18000 0 0 VALE S A ADR 91912E105 621 21600 SH DEFINED 01 02 21600 0 0 VALMONT INDS INC COM 920253101 1996 25000 SH DEFINED 01 02 25000 0 0 WALGREEN CO COM 931422109 868 23370 SH DEFINED 01 02 23370 0 0 WASTE MGMT INC DEL COM 94106L109 5558 163510 SH DEFINED 01 02 163510 0 0 WEBMD HEALTH CORP COM 94770V102 120 3100 SH DEFINED 01 02 3100 0 0 WELLPOINT INC COM 94973V107 5053 86000 SH DEFINED 01 02 86000 0 0 WELLS FARGO & CO NEW COM 949746101 187 6980 SH DEFINED 01 02 6980 0 0 WESTERN UN CO COM 959802109 76 4000 SH DEFINED 01 02 4000 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 2902 248900 SH DEFINED 01 02 248900 0 0 WEYERHAEUSER CO COM 962166104 96 2200 SH DEFINED 01 02 2200 0 0 WHIRLPOOL CORP COM 963320106 1196 14630 SH DEFINED 01 02 14630 0 0 WHOLE FOODS MKT INC COM 966837106 53 1910 SH DEFINED 01 02 1910 0 0 WOLVERINE WORLD WIDE INC COM 978097103 716 26000 SH DEFINED 01 02 26000 0 0 XCEL ENERGY INC COM 98389B100 135 6300 SH DEFINED 01 02 6300 0 0 XTO ENERGY INC COM 98385X106 150 3200 SH DEFINED 01 02 3200 0 0 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 31901 2008890 SH DEFINED 01 02 2008890 0 0 YORK WTR CO COM 987184108 245 16820 SH DEFINED 01 02 16820 0 0
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