0001085146-12-000113.txt : 20120202 0001085146-12-000113.hdr.sgml : 20120202 20120202072529 ACCESSION NUMBER: 0001085146-12-000113 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 EFFECTIVENESS DATE: 20120202 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sustainable Asset Management USA, Inc. CENTRAL INDEX KEY: 0001455838 IRS NUMBER: 043557623 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13430 FILM NUMBER: 12564310 BUSINESS ADDRESS: STREET 1: 909 THIRD AVENUE 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-908-9831 MAIL ADDRESS: STREET 1: 909 THIRD AVENUE 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 rsam4q2011.txt SUSTAINABLE ASSET MANAGEMENT USA, INC. 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, 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: Sustainable Asset Management USA, Inc. Address: 909 Third Avenue New York, NY 10022 13F File Number: 028-13430 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: William G. Butterly, III Title: Chief Legal Officer Phone: 212-908-0443 Signature, Place, and Date of Signing: /s/ William G. Butterly, III New York, NY February 01, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 54 Form 13F Information Table Value Total: $53,700 (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 01 028-12637 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADVANCED ENERGY INDS COM 007973100 376 35000 SH DEFINED 35000 0 0 AMERICAN STS WTR CO COM 029899101 906 25950 SH DEFINED 25950 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 4703 147600 SH DEFINED 147600 0 0 AQUA AMERICA INC COM 03836W103 2501 113400 SH DEFINED 113400 0 0 ASHLAND INC NEW COM 044209104 1012 17700 SH DEFINED 17700 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 227 4550 SH DEFINED 4550 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 804 44000 SH DEFINED 44000 0 0 CHEVRON CORP NEW COM 166764100 412 3871 SH DEFINED 3871 0 0 CLEAN ENERGY FUELS CORP COM 184499101 249 20000 SH DEFINED 20000 0 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 338 19000 SH DEFINED 19000 0 0 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 231 11000 SH DEFINED 11000 0 0 CPFL ENERGIA S A SPONSORED ADR 126153105 254 9000 SH DEFINED 9000 0 0 DANAHER CORP DEL COM 235851102 4723 100400 SH DEFINED 100400 0 0 DELL INC COM 24702R101 255 17400 SH DEFINED 17400 0 0 ELSTER GROUP SE SPONSORED ADR 290348101 1113 85642 SH DEFINED 85642 0 0 FLOWSERVE CORP COM 34354P105 589 5931 SH DEFINED 5931 0 0 FUEL SYS SOLUTIONS INC COM 35952W103 358 21700 SH DEFINED 21700 0 0 GENERAL CABLE CORP DEL NEW COM 369300108 279 11160 SH DEFINED 11160 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 403 24830 SH DEFINED 24830 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 318 12000 SH DEFINED 12000 0 0 HEALTH NET INC COM 42222G108 594 19531 SH DEFINED 19531 0 0 HEWLETT PACKARD CO COM 428236103 530 20568 SH DEFINED 20568 0 0 ICF INTL INC COM 44925C103 616 24830 SH DEFINED 24830 0 0 IDEX CORP COM 45167R104 2687 72400 SH DEFINED 72400 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 488 2655 SH DEFINED 2655 0 0 ITC HLDGS CORP COM 465685105 798 10511 SH DEFINED 10511 0 0 ITRON INC COM 465741106 663 18538 SH DEFINED 18538 0 0 JOHNSON CTLS INC COM 478366107 433 13850 SH DEFINED 13850 0 0 KIMBERLY CLARK CORP COM 494368103 429 5836 SH DEFINED 5836 0 0 KROGER CO COM 501044101 240 9900 SH DEFINED 9900 0 0 LAYNE CHRISTENSEN CO COM 521050104 551 22811 SH DEFINED 22811 0 0 LIMITED BRANDS INC COM 532716107 328 8136 SH DEFINED 8136 0 0 LINDSAY CORP COM 535555106 577 10500 SH DEFINED 10500 0 0 MASTEC INC COM 576323109 330 19000 SH DEFINED 19000 0 0 MCDONALDS CORP COM 580135101 266 2656 SH DEFINED 2656 0 0 MICROSOFT CORP COM 594918104 496 19090 SH DEFINED 19090 0 0 MYLAN INC COM 628530107 437 20350 SH DEFINED 20350 0 0 NORTHEAST UTILS COM 664397106 433 12000 SH DEFINED 12000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 537 5731 SH DEFINED 5731 0 0 PALL CORP COM 696429307 2052 35900 SH DEFINED 35900 0 0 PENTAIR INC COM 709631105 2128 63900 SH DEFINED 63900 0 0 PEPCO HOLDINGS INC COM 713291102 528 26000 SH DEFINED 26000 0 0 PFIZER INC COM 717081103 597 27606 SH DEFINED 27606 0 0 PROCTER & GAMBLE CO COM 742718109 600 8992 SH DEFINED 8992 0 0 QUANTA SVCS INC COM 74762E102 323 15000 SH DEFINED 15000 0 0 REYNOLDS AMERICAN INC COM 761713106 586 14150 SH DEFINED 14150 0 0 ROBBINS & MYERS INC COM 770196103 262 5383 SH DEFINED 5383 0 0 ROPER INDS INC NEW COM 776696106 1167 13440 SH DEFINED 13440 0 0 SMITH A O COM 831865209 2139 53300 SH DEFINED 53300 0 0 TETRA TECH INC NEW COM 88162G103 1933 89500 SH DEFINED 89500 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 306 7570 SH DEFINED 7570 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 2420 53800 SH DEFINED 53800 0 0 WATTS WATER TECHNOLOGIES INC CL A 942749102 1809 52854 SH DEFINED 52854 0 0 XYLEM INC COM 98419M100 5366 208900 SH DEFINED 208900 0 0