0001085146-11-001102.txt : 20111104
0001085146-11-001102.hdr.sgml : 20111104
20111104144257
ACCESSION NUMBER: 0001085146-11-001102
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111104
DATE AS OF CHANGE: 20111104
EFFECTIVENESS DATE: 20111104
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: 111180682
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
sam3q2011.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, 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 November 04, 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: 148
Form 13F Information Table Value Total: $1,429,319 (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 894 12000 SH DEFINED 01 02 12000 0 0
ABBOTT LABS COM 002824100 6741 130000 SH DEFINED 01 02 130000 0 0
ADVANCED ENERGY INDS COM 007973100 24200 2680000 SH DEFINED 01 02 2680000 0 0
AECOM TECHNOLOGY CORP DELAWA COM 00766T100 2363 130000 SH DEFINED 01 02 130000 0 0
AGCO CORP COM 001084102 1048 29100 SH DEFINED 01 02 29100 0 0
AGRIUM INC COM 008916108 8191 116000 SH DEFINED 01 02 116000 0 0
AIR PRODS & CHEMS INC COM 009158106 1031 13000 SH DEFINED 01 02 13000 0 0
AMERICAN STS WTR CO COM 029899101 12438 372840 SH DEFINED 01 02 372840 0 0
AMERICAN WTR WKS CO INC NEW COM 030420103 53504 1762306 SH DEFINED 01 02 1762306 0 0
AMGEN INC COM 031162100 3347 60000 SH DEFINED 01 02 60000 0 0
AMYRIS INC COM 03236M101 91 4500 SH DEFINED 01 02 4500 0 0
AQUA AMERICA INC COM 03836W103 20936 966138 SH DEFINED 01 02 966138 0 0
ARCHER DANIELS MIDLAND CO COM 039483102 5680 220400 SH DEFINED 01 02 220400 0 0
ASHLAND INC NEW COM 044209104 18649 415152 SH DEFINED 01 02 415152 0 0
AUTODESK INC COM 052769106 1172 40000 SH DEFINED 01 02 40000 0 0
AVON PRODS INC COM 054303102 7619 384200 SH DEFINED 01 02 384200 0 0
BANK NOVA SCOTIA HALIFAX COM 064149107 2096 40438 SH DEFINED 01 02 40438 0 0
CABOT CORP COM 127055101 1240 48000 SH DEFINED 01 02 48000 0 0
CALAVO GROWERS INC COM 128246105 2059 100000 SH DEFINED 01 02 100000 0 0
CALGON CARBON CORP COM 129603106 13761 905900 SH DEFINED 01 02 905900 0 0
CALIFORNIA WTR SVC GROUP COM 130788102 6176 349518 SH DEFINED 01 02 349518 0 0
CANADIAN SOLAR INC COM 136635109 17570 4448000 SH DEFINED 01 02 4448000 0 0
CATERPILLAR INC DEL COM 149123101 4158 55150 SH DEFINED 01 02 55150 0 0
CDN IMPERIAL BK OF COMMERCE COM 136069101 2039 28750 SH DEFINED 01 02 28750 0 0
CERADYNE INC COM 156710105 3175 110000 SH DEFINED 01 02 110000 0 0
CEREPLAST INC COM NEW 156732307 1151 404000 SH DEFINED 01 02 404000 0 0
CF INDS HLDGS INC COM 125269100 6182 43860 SH DEFINED 01 02 43860 0 0
CHEVRON CORP NEW COM 166764100 3718 39386 SH DEFINED 01 02 39386 0 0
CHINA HYDROELECTRIC CORP SPONSORED ADR 16949D101 3264 1600000 SH DEFINED 01 02 1600000 0 0
CLEAN ENERGY FUELS CORP COM 184499101 14191 1237234 SH DEFINED 01 02 1237234 0 0
COGNEX CORP COM 192422103 2038 72000 SH DEFINED 01 02 72000 0 0
COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 502 10600 SH DEFINED 01 02 10600 0 0
COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 74413 4832000 SH DEFINED 01 02 4832000 0 0
COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 19827 1070000 SH DEFINED 01 02 1070000 0 0
CONNECTICUT WTR SVC INC COM 207797101 290 11500 SH DEFINED 01 02 11500 0 0
CORN PRODS INTL INC COM 219023108 12567 316469 SH DEFINED 01 02 316469 0 0
CORNING INC COM 219350105 3305 261030 SH DEFINED 01 02 261030 0 0
COVANTA HLDG CORP COM 22282E102 2920 192100 SH DEFINED 01 02 192100 0 0
CPFL ENERGIA S A SPONSORED ADR 126153105 21174 919000 SH DEFINED 01 02 919000 0 0
CYTEC INDS INC COM 232820100 2162 60000 SH DEFINED 01 02 60000 0 0
DANAHER CORP DEL COM 235851102 48493 1114020 SH DEFINED 01 02 1114020 0 0
DEERE & CO COM 244199105 11125 163500 SH DEFINED 01 02 163500 0 0
DELL INC COM 24702R101 5077 341400 SH DEFINED 01 02 341400 0 0
DOLE FOOD CO INC NEW COM 256603101 1039 100000 SH DEFINED 01 02 100000 0 0
DONALDSON INC COM 257651109 1064 19000 SH DEFINED 01 02 19000 0 0
DOW CHEM CO COM 260543103 3039 128000 SH DEFINED 01 02 128000 0 0
DU PONT E I DE NEMOURS & CO COM 263534109 5475 132400 SH DEFINED 01 02 132400 0 0
DYNAMIC MATLS CORP COM 267888105 2405 149000 SH DEFINED 01 02 149000 0 0
ECOLAB INC COM 278865100 6413 130000 SH DEFINED 01 02 130000 0 0
ECOLOGY & ENVIRONMENT INC CL A 278878103 277 18111 SH DEFINED 01 02 18111 0 0
ELSTER GROUP SE SPONSORED ADR 290348101 6793 447497 SH DEFINED 01 02 447497 0 0
ENBRIDGE INC COM 29250N105 58794 1828000 SH DEFINED 01 02 1828000 0 0
ENCANA CORP COM 292505104 11844 602000 SH DEFINED 01 02 602000 0 0
ENERSYS COM 29275Y102 212 10000 SH DEFINED 01 02 10000 0 0
ENOVA SYSTEMS INC COM NEW 29355M200 645 1500000 SH DEFINED 01 02 1500000 0 0
F M C CORP COM NEW 302491303 4300 60000 SH DEFINED 01 02 60000 0 0
FEI CO COM 30241L109 2000 66000 SH DEFINED 01 02 66000 0 0
FLEXIBLE SOLUTIONS INTL INC COM 33938T104 433 181380 SH DEFINED 01 02 181380 0 0
FLOWSERVE CORP COM 34354P105 9791 124570 SH DEFINED 01 02 124570 0 0
FUEL SYS SOLUTIONS INC COM 35952W103 36723 1850000 SH DEFINED 01 02 1850000 0 0
GENERAL CABLE CORP DEL NEW COM 369300108 5822 238410 SH DEFINED 01 02 238410 0 0
GENERAL MLS INC COM 370334104 4280 110000 SH DEFINED 01 02 110000 0 0
GEVO INC COM 374396109 89 15000 SH DEFINED 01 02 15000 0 0
GNC HLDGS INC COM CL A 36191G107 6176 297500 SH DEFINED 01 02 297500 0 0
GREAT LAKES DREDGE & DOCK CO COM 390607109 636 150000 SH DEFINED 01 02 150000 0 0
GREEN MTN COFFEE ROASTERS IN COM 393122106 690 7160 SH DEFINED 01 02 7160 0 0
HANSEN NAT CORP COM 411310105 5299 60000 SH DEFINED 01 02 60000 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 5388 314880 SH DEFINED 01 02 314880 0 0
HAWAIIAN ELEC INDUSTRIES COM 419870100 39870 1634000 SH DEFINED 01 02 1634000 0 0
HEALTH NET INC COM 42222G108 8248 343531 SH DEFINED 01 02 343531 0 0
HEWLETT PACKARD CO COM 428236103 8268 347688 SH DEFINED 01 02 347688 0 0
HEXCEL CORP NEW COM 428291108 3229 145000 SH DEFINED 01 02 145000 0 0
HOSPIRA INC COM 441060100 4581 121600 SH DEFINED 01 02 121600 0 0
ICF INTL INC COM 44925C103 5814 307930 SH DEFINED 01 02 307930 0 0
IDEX CORP COM 45167R104 25452 779300 SH DEFINED 01 02 779300 0 0
INSITUFORM TECHNOLOGIES INC CL A 457667103 334 25000 SH DEFINED 01 02 25000 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 9539 53240 SH DEFINED 01 02 53240 0 0
IPG PHOTONICS CORP COM 44980X109 1398 30000 SH DEFINED 01 02 30000 0 0
ITC HLDGS CORP COM 465685105 59937 791880 SH DEFINED 01 02 791880 0 0
ITRON INC COM 465741106 6971 216898 SH DEFINED 01 02 216898 0 0
ITT CORP NEW COM 450911102 74808 1720903 SH DEFINED 01 02 1720903 0 0
JOHNSON CTLS INC COM 478366107 10251 374110 SH DEFINED 01 02 374110 0 0
KELLOGG CO COM 487836108 13638 253250 SH DEFINED 01 02 253250 0 0
KIMBERLY CLARK CORP COM 494368103 7943 111511 SH DEFINED 01 02 111511 0 0
KROGER CO COM 501044101 3906 175800 SH DEFINED 01 02 175800 0 0
LAYNE CHRISTENSEN CO COM 521050104 555 23310 SH DEFINED 01 02 23310 0 0
LIFE TECHNOLOGIES CORP COM 53217V109 4281 110000 SH DEFINED 01 02 110000 0 0
LIFE TIME FITNESS INC COM 53217R207 1525 40000 SH DEFINED 01 02 40000 0 0
LIMITED BRANDS INC COM 532716107 2998 75091 SH DEFINED 01 02 75091 0 0
LINDSAY CORP COM 535555106 11407 205046 SH DEFINED 01 02 205046 0 0
LSB INDS INC COM 502160104 3001 96000 SH DEFINED 01 02 96000 0 0
MACYS INC COM 55616P104 1336 49000 SH DEFINED 01 02 49000 0 0
MASTEC INC COM 576323109 13003 698700 SH DEFINED 01 02 698700 0 0
MAXWELL TECHNOLOGIES INC COM 577767106 1864 100000 SH DEFINED 01 02 100000 0 0
MCDONALDS CORP COM 580135101 1510 17006 SH DEFINED 01 02 17006 0 0
MCKESSON CORP COM 58155Q103 935 12500 SH DEFINED 01 02 12500 0 0
MEAD JOHNSON NUTRITION CO COM 582839106 10450 146750 SH DEFINED 01 02 146750 0 0
MEDIFAST INC COM 58470H101 752 44800 SH DEFINED 01 02 44800 0 0
MERCK & CO INC NEW COM 58933Y105 5062 155000 SH DEFINED 01 02 155000 0 0
MICROSOFT CORP COM 594918104 7603 298755 SH DEFINED 01 02 298755 0 0
MIDDLESEX WATER CO COM 596680108 303 17719 SH DEFINED 01 02 17719 0 0
MOSAIC CO NEW COM 61945C103 8905 164300 SH DEFINED 01 02 164300 0 0
MYLAN INC COM 628530107 12352 698240 SH DEFINED 01 02 698240 0 0
NALCO HOLDING COMPANY COM 62985Q101 2129 60900 SH DEFINED 01 02 60900 0 0
NORTHEAST UTILS COM 664397106 24764 726000 SH DEFINED 01 02 726000 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 3363 44631 SH DEFINED 01 02 44631 0 0
OWENS CORNING NEW COM 690742101 3488 155000 SH DEFINED 01 02 155000 0 0
PALL CORP COM 696429307 41505 944800 SH DEFINED 01 02 944800 0 0
PAREXEL INTL CORP COM 699462107 483 25400 SH DEFINED 01 02 25400 0 0
PENNICHUCK CORP COM NEW 708254206 393 14000 SH DEFINED 01 02 14000 0 0
PENTAIR INC COM 709631105 26049 799800 SH DEFINED 01 02 799800 0 0
PEPCO HOLDINGS INC COM 713291102 32967 1726000 SH DEFINED 01 02 1726000 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 163 7000 SH DEFINED 01 02 7000 0 0
PFIZER INC COM 717081103 14994 833936 SH DEFINED 01 02 833936 0 0
POTASH CORP SASK INC COM 73755L107 11157 244675 SH DEFINED 01 02 244675 0 0
PRAXAIR INC COM 74005P104 1813 19000 SH DEFINED 01 02 19000 0 0
PROCTER & GAMBLE CO COM 742718109 14689 230602 SH DEFINED 01 02 230602 0 0
QUANTA SVCS INC COM 74762E102 28635 1473000 SH DEFINED 01 02 1473000 0 0
RALCORP HLDGS INC NEW COM 751028101 18444 243200 SH DEFINED 01 02 243200 0 0
REGAL BELOIT CORP COM 758750103 2109 43000 SH DEFINED 01 02 43000 0 0
RENTECH INC COM 760112102 113 130000 SH DEFINED 01 02 130000 0 0
REYNOLDS AMERICAN INC COM 761713106 6506 174895 SH DEFINED 01 02 174895 0 0
ROBBINS & MYERS INC COM 770196103 5506 152049 SH DEFINED 01 02 152049 0 0
ROFIN SINAR TECHNOLOGIES INC COM 775043102 1903 95000 SH DEFINED 01 02 95000 0 0
ROPER INDS INC NEW COM 776696106 14371 199267 SH DEFINED 01 02 199267 0 0
SKECHERS U S A INC CL A 830566105 260 17602 SH DEFINED 01 02 17602 0 0
SMARTHEAT INC COM 83172F104 456 680000 SH DEFINED 01 02 680000 0 0
SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 2058 40750 SH DEFINED 01 02 40750 0 0
SOUTHWESTERN ENERGY CO COM 845467109 17323 500800 SH DEFINED 01 02 500800 0 0
STANTEC INC COM 85472N109 13456 604300 SH DEFINED 01 02 604300 0 0
SUNOPTA INC COM 8676EP108 9135 1883487 SH DEFINED 01 02 1883487 0 0
TECK RESOURCES LTD CL B 878742204 1155 38864 SH DEFINED 01 02 38864 0 0
TESLA MTRS INC COM 88160R101 4426 183500 SH DEFINED 01 02 183500 0 0
TETRA TECH INC NEW COM 88162G103 21270 1130769 SH DEFINED 01 02 1130769 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 15494 419435 SH DEFINED 01 02 419435 0 0
THERMO FISHER SCIENTIFIC INC COM 883556102 60642 1177520 SH DEFINED 01 02 1177520 0 0
TITANIUM METALS CORP COM NEW 888339207 1549 100000 SH DEFINED 01 02 100000 0 0
TORO CO COM 891092108 261 5200 SH DEFINED 01 02 5200 0 0
TRINA SOLAR LIMITED SPON ADR 89628E104 654 102250 SH DEFINED 01 02 102250 0 0
TRINITY INDS INC COM 896522109 173 7600 SH DEFINED 01 02 7600 0 0
U S GEOTHERMAL INC COM 90338S102 490 1000000 SH DEFINED 01 02 1000000 0 0
ULTRA PETROLEUM CORP COM 903914109 428 15000 SH DEFINED 01 02 15000 0 0
URS CORP NEW COM 903236107 8765 284307 SH DEFINED 01 02 284307 0 0
WASTE MGMT INC DEL COM 94106L109 1239 38261 SH DEFINED 01 02 38261 0 0
WATTS WATER TECHNOLOGIES INC CL A 942749102 6457 237401 SH DEFINED 01 02 237401 0 0
WESTPORT INNOVATIONS INC COM NEW 960908309 3481 116000 SH DEFINED 01 02 116000 0 0
YINGLI GREEN ENERGY HLDG CO ADR 98584B103 98 30000 SH DEFINED 01 02 30000 0 0
YORK WTR CO COM 987184108 272 16820 SH DEFINED 01 02 16820 0 0