-----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, CtrbbW+uw1MbZuiDg+Yf4oI7ddv1pmxfsRqfUo3LymQ0ZLtISt94lhvYojLEO/q0 V5lc1nL+D2vUumacQVFUMA== 0001085146-10-000793.txt : 20101001 0001085146-10-000793.hdr.sgml : 20101001 20100930174334 ACCESSION NUMBER: 0001085146-10-000793 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20101001 DATE AS OF CHANGE: 20100930 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED BATTERY TECHNOLOGIES, INC. CENTRAL INDEX KEY: 0000745651 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 222497491 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-36707 FILM NUMBER: 101100116 BUSINESS ADDRESS: STREET 1: 15 WEST 39TH STREET STREET 2: SUITE 14A CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 212-391-2752 MAIL ADDRESS: STREET 1: 15 WEST 39TH STREET STREET 2: SUITE 14A CITY: NEW YORK STATE: NY ZIP: 10018 FORMER COMPANY: FORMER CONFORMED NAME: BUY IT CHEAP COM INC /DE DATE OF NAME CHANGE: 20000119 FORMER COMPANY: FORMER CONFORMED NAME: NORTHEAST USA CORP /NEW DATE OF NAME CHANGE: 19990929 FORMER COMPANY: FORMER CONFORMED NAME: CELCOR INC DATE OF NAME CHANGE: 19920703 FILED BY: 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: SC 13G 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 SC 13G 1 samadvancedbattery2_09302010.htm SAM SUSTAINABLE ASSET MANAGEMENT AG


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


SCHEDULE 13G
 
Under the Securities Exchange Act of 1934

(Amendment No. )*
 
Advanced Battery Technology Inc.
(Name of Issuer)
 
Common
(Title of Class of Securities)
 
00752H102
 (CUSIP Number)
 
September 2, 2010
 (Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
o Rule 13d-1(b)
þ Rule 13d-1(c)
o Rule 13d-1(d)
 
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 


 
 

 

CUSIP NO.   00752H102
 
1.
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
SAM Sustainable Asset Management AG
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
                     (a)      o
                    (b)      o
3.
SEC USE ONLY
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Switzerland
 
NUMBER OF
SHARES
5.
SOLE VOTING POWER
 
3440000
BENEFICIALLY
OWNED BY
EACH
6.
SHARED VOTING POWER
 
0
REPORTING
PERSON
WITH:
7.
SOLE DISPOSITIVE POWER
 
3440000
 
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
3440000
10.
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
5.00 %
12.
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
OO

 
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Item 1. (a) Name of Issuer: Advanced Battery Technology Inc.
     
  (b)
Address of Issuer's Principal Executive Offices:
 
15 West 39th Street
Suite 14A
New York, NY 10018
United States
 
Item 2. (a) Names of Persons Filing: SAM Sustainable Asset Management AG
     
  (b) Address of Principal Business Office or, if None, Residence: Josefstrasse 218, 8005 Zurich
     
  (c) Citizenship: Switzerland
     
  (d) Title of Class of Securities: COMMON
     
  (e) CUSIP Number: 00752H102
 
Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
       
  (a)  o Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
  (b)  o Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
  (c)  o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
  (d)  o Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e)  o An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
  (f)  o An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
  (g)  o A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
  (h)  o A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
  (i)  o A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
  (j)  o Group, in accordance with §240.13d-1(b)(1)(ii)(J).
       
    If this statement is filed pursuant to Rule 13d-1(c) check this box: þ
 
Item 4. Ownership.
   
  Provide the following information regarding the aggregate number and percentage of the class of securities of the Issuer identified in Item 1.
   
  (a) Amount beneficially owned 3440000 common shares
     
  (b) Percent of class:   5.00 %
     
  (c) Number of shares as to which the person has:
     
    (i)
Sole power to vote or to direct the vote: 3440000
    (ii)
Shared power to vote or to direct the vote:  
    (iii)
Sole power to dispose or to direct the disposition of: 3440000
    (iv) Shared power to dispose or to direct the disposition of:  
       
  Instruction.  For computations regarding securities which represent a right to acquire an  underlying security see §240.13d-3(d)(1).
 
Item 5.    Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o.

Instruction:  Dissolution of a group requires a response to this item.

Item 6.Ownership of More than Five Percent on Behalf of Another Person.

SAM Sustainable Asset Management AG is filing this Schedule 13G in its capacity as investment adviser with discretionary authority with respect to various advisory clients.  No individual advisory client is known to have beneficial ownership of 5% of the outstanding shares of Advanced Battery Technology Inc.
 
Item 7.   Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

n/a

Item 8. Identification and Classification of Members of the Group.
 
n/a
 
Item 9. Notice of Dissolution of Group.
 
n/a
  
Item 10.          Certification.
The reason for the delay in filing is a systems error. The error has been corrected in the meantime.

By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect
 
 
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SIGNATURE
 
After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. 
 
Dated: September 29, 2010  
     
By: Christian Hasler  
  Head Legal & Compliance  
     
 
 
 
 
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