-----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, Ug5H0IRDLPkEN38RfjuuQudH4FDKR9v0doiZSX5QfHaklYLeBtMqUgzLVrbN3cOP npxnmxzYPdV+M9x43W1TWQ== 0001140361-09-009267.txt : 20090409 0001140361-09-009267.hdr.sgml : 20090409 20090408174547 ACCESSION NUMBER: 0001140361-09-009267 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090409 DATE AS OF CHANGE: 20090408 EFFECTIVENESS DATE: 20090409 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Portfolio 21 Investments CENTRAL INDEX KEY: 0001353318 IRS NUMBER: 930962124 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11731 FILM NUMBER: 09740702 BUSINESS ADDRESS: STREET 1: 721 NW 9TH AVE STREET 2: SUITE 250 CITY: PORTLAND STATE: OR ZIP: 97209 BUSINESS PHONE: 503-224-7828 MAIL ADDRESS: STREET 1: 721 NW 9TH AVE STREET 2: SUITE 250 CITY: PORTLAND STATE: OR ZIP: 97209 FORMER COMPANY: FORMER CONFORMED NAME: Progressive Investment Management DATE OF NAME CHANGE: 20060214 13F-HR 1 form13fhr.txt PORTFOLIO 21 INVESTMENTS 13FHR 3-31-2009 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: Portfolio 21 Investments ----------------------------------------------------- Address: 721 NW 9th Ave Suite 250 Portland OR, 97209 ----------------------------------------------------- Form 13F File Number: --- 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: /s/ James Madden ------------------------- Title: Senior Portfolio Manager ------------------------- Phone: 608-663-9863 ------------------------- Signature, Place, and Date of Signing: /s/ James Madden Madison, WI 4/10/2009 - ---------------- ----------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] 13F File Number Name 28-____________ ________________________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------ Form 13F Information Table Entry Total: 168 ------------ Form 13F Information Table Value Total: $125,444,119 ------------ List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE
FORM 13F INFORMATION TABLE SHARES/ SH/ PUT/ INVSTMNT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- ------------ ---------- --- ---- -------- -------- ------ ------ ---- 3M Common Stock 88579Y101 31,323.60 630 yes sole 0 0 0 3M Common Stock 88579Y101 1,317,530.28 26499 yes sole 0 0 0 A E S Corp Common Stock 00130H105 15,454.60 2660 yes sole 0 0 0 A E S Corp Common Stock 00130H105 685,760.11 118031 yes sole 0 0 0 ADOBE SYS INC Common Stock 00724F101 1,604,250.00 75,000.00 yes sole 0 0 0 Adobe Systems Inc Common Stock 00724F101 25,881.90 1210 yes sole 0 0 0 Adobe Systems Inc Common Stock 00724F101 1,092,301.74 51066 yes sole 0 0 0 AGILENT TECHNOLOGIES INC Common Stock 00846U101 1,825,956.00 118,800.00 yes sole 0 0 0 Albina Community Bancorp Common Stock 013288105 3,248.65 1511 yes sole 0 0 0 Allstate Corporation Common Stock 20002101 17,235.00 900 yes sole 0 0 0 Amazon Com Inc Common Stock 23135106 1,850,688.00 25200 yes sole 0 0 0 American Tel and Tel Common Stock 00206R102 6,325.20 251 yes sole 0 0 0 APOGEE ENTERPRISES INC Common Stock 37598109 746,640.00 68,000.00 yes sole 0 0 0 Apogee Enterprises Inc Common Stock 37598109 18,622.08 1696 yes sole 0 0 0 Apogee Enterprises Inc Common Stock 37598109 1,070,528.04 97498 yes sole 0 0 0 APPLIED MATLS INC Common Stock 38222105 1,236,250.00 115,000.00 yes sole 0 0 0 Ascent Solar Tech Inc Common Stock 43635101 2,354.80 580 yes sole 0 0 0 AUTODESK INC Common Stock 52769106 1,865,910.00 111,000.00 yes sole 0 0 0 Baxter International Inc Common Stock 71813109 58,390.80 1140 yes sole 0 0 0 BAXTER INTL INC Common Stock 71813109 3,841,500.00 75,000.00 yes sole 0 0 0 Baxter Int'l Inc. Common Stock 71813109 1,921,825.62 37521 yes sole 0 0 0 Berkshire Hathaway Cl B Common Stock 84670207 25,380.00 9 yes sole 0 0 0 Caterpillar Inc. Common Stock 149123101 4,194.00 150 yes sole 0 0 0 Century Tel Enterprise Common Stock 156700106 14,060.00 500 yes sole 0 0 0 Chevrontexaco Corp Common Stock 166764100 40,344.00 600 yes sole 0 0 0 CISCO SYS INC Common Stock 17275R102 1,928,550.00 115,000.00 yes sole 0 0 0 Cisco Systems Inc Common Stock 17275R102 33,959.25 2025 yes sole 0 0 0 Cisco Systems, Inc. Common Stock 17275R102 1,368,415.23 81599 yes sole 0 0 0 Citadel Broadcasting Cp Common Stock 17285T106 4.55 69 yes sole 0 0 0 Citigroup Common Stock 172967101 1,578.72 624 yes sole 0 0 0 Colgate Palmolive Common Stock 194162103 1,809,565.38 30681 yes sole 0 0 0 Colgate-Palmolive Co Common Stock 194162103 50,545.86 857 yes sole 0 0 0 Corning Inc Common Stock 219350105 22,691.70 1710 yes sole 0 0 0 Corning Inc. Common Stock 219350105 1,319,900.55 99465 yes sole 0 0 0 Costco Companies Inc Common Stock 22160K105 47,941.20 1035 yes sole 0 0 0 Costco Companies Inc Common Stock 22160K105 1,653,624.00 35700 yes sole 0 0 0 Day4 Energy Inc Common Stock 239582109 671.58 1300 yes sole 0 0 0 DELL INC Common Stock 24702R101 872,160.00 92,000.00 yes sole 0 0 0 Disney, Walt Co. Common Stock 254687106 16,344.00 900 yes sole 0 0 0 Du Pont E I De Nemour&Co. Common Stock 263534109 23,893.10 1070 yes sole 0 0 0 EATON CORP Common Stock 278058102 1,879,860.00 51,000.00 yes sole 0 0 0 ECHELON CORP Common Stock 27874N105 202,250.00 25,000.00 yes sole 0 0 0 ECOLAB INC Common Stock 278865100 538,315.00 15,500.00 yes sole 0 0 0 ERICSSON L M TEL CO Common Stock 294821608 679,560.00 84,000.00 yes sole 0 0 0 Exxon Mobil Corporation Common Stock 30231G102 98,540.70 1447 yes sole 0 0 0 Federal Express Common Stock 31428X106 19,219.68 432 yes sole 0 0 0 Federal Express Common Stock 31428X106 895,593.51 20130.221 yes sole 0 0 0 First Solar Inc Common Stock 336433107 2,388.60 18 yes sole 0 0 0 Fluor Corp Common Stock 343412102 2,142.10 62 yes sole 0 0 0 FUEL TECH INC Common Stock 359523107 313,800.00 30,000.00 yes sole 0 0 0 Genentech Inc New Common Stock 368710406 84,333.36 888 yes sole 0 0 0 Genentech Inc New Common Stock 368710406 2,092,758.92 22036 yes sole 0 0 0 General Electric Common Stock 369604103 59,729.88 5908 yes sole 0 0 0 General Mills Common Stock 370334104 1,719,712.76 34477 yes sole 0 0 0 General Mills Inc Common Stock 370334104 48,782.64 978 yes sole 0 0 0 Glaxosmithkline Plc Adrf Common Stock 37733W105 40,391.00 1300 yes sole 0 0 0 GOOGLE INC Common Stock 38259P508 6,613,140.00 19,000.00 yes sole 0 0 0 Google Inc Class A Common Stock 38259P508 35,502.12 102 yes sole 0 0 0 Google Inc Class A Common Stock 38259P508 1,485,172.02 4267 yes sole 0 0 0 Granite Construction Inc Common Stock 387328107 27,173.00 725 yes sole 0 0 0 Granite Construction Inc Common Stock 387328107 1,405,237.64 37493 yes sole 0 0 0 Groupe Danone ADR Common Stock 399449107 37,650.00 3000 yes sole 0 0 0 Herman Miller Common Stock 600544100 654,219.70 61371.454 yes sole 0 0 0 HEWLETT PACKARD CO Common Stock 428236103 1,997,338.00 62,300.00 yes sole 0 0 0 INTEL CORP Common Stock 458140100 2,408,000.00 160,000.00 yes sole 0 0 0 Intel Corp Common Stock 458140100 31,563.00 2100 yes sole 0 0 0 Intel Corp Common Stock 458140100 1,534,367.79 102087.012 yes sole 0 0 0 INTERFACE INC Common Stock 458665106 89,700.00 30,000.00 yes sole 0 0 0 INTERNATIONAL BUSINESS MACHS Common Stock 459200101 4,456,940.00 46,000.00 yes sole 0 0 0 Int'l Business Machines Common Stock 459200101 51,351.70 530 yes sole 0 0 0 Int'l Business Machines Common Stock 459200101 2,108,810.85 21765 yes sole 0 0 0 ITRON INC Common Stock 465741106 710,250.00 15,000.00 yes sole 0 0 0 JOHNSON & JOHNSON Common Stock 478160104 3,156,000.00 60,000.00 yes sole 0 0 0 Johnson & Johnson Common Stock 478160104 48,234.20 917 yes sole 0 0 0 Johnson & Johnson Common Stock 478160104 1,982,426.05 37688.708 yes sole 0 0 0 Johnson Controls Inc Common Stock 478366107 42,264.00 3522 yes sole 0 0 0 Johnson Controls Inc Common Stock 478366107 1,410,984.00 117582 yes sole 0 0 0 JOHNSON CTLS INC Common Stock 478366107 2,040,000.00 170,000.00 yes sole 0 0 0 KONINKLIJKE PHILIPS ELECTRS NV Common Stock 500472303 1,487,000.00 100,000.00 yes sole 0 0 0 Microsoft, Corp. Common Stock 594918104 100,024.65 5445 yes sole 0 0 0 MILLER HERMAN INC Common Stock 600544100 466,908.00 43,800.00 yes sole 0 0 0 Miller Herman Inc Common Stock 600544100 14,924.00 1400 yes sole 0 0 0 Monsanto Co New Del Common Stock 61166W101 3,074.70 37 yes sole 0 0 0 Moodys Corp Common Stock 615369105 20,628.00 900 yes sole 0 0 0 NETAPP INC Common Stock 64110D104 1,291,080.00 87,000.00 yes sole 0 0 0 NIKE INC Common Stock 654106103 2,719,620.00 58,000.00 yes sole 0 0 0 NOKIA CORP Common Stock 654902204 2,894,160.00 248,000.00 yes sole 0 0 0 Nokia Corp Spon Adr Common Stock 654902204 26,549.25 2275 yes sole 0 0 0 Nokia Corp Spon Adr Common Stock 654902204 1,100,586.03 94309 yes sole 0 0 0 Northwest Natural Gas Co Common Stock 667655104 7,815.60 180 yes sole 0 0 0 NOVO-NORDISK A S Common Stock 670100205 1,324,248.00 27,600.00 yes sole 0 0 0 Novo-Nordisk A-S Adr Common Stock 670100205 42,030.48 876 yes sole 0 0 0 Novo-Nordisk A-S Adr Common Stock 670100205 1,538,670.62 32069 yes sole 0 0 0 NUCOR CORP Common Stock 670346105 2,671,900.00 70,000.00 yes sole 0 0 0 Nucor Corp Common Stock 670346105 40,498.37 1061 yes sole 0 0 0 Nucor Corp Common Stock 670346105 1,571,324.22 41166.472 yes sole 0 0 0 Occidental Petroleum Common Stock 674599105 3,172.05 57 yes sole 0 0 0 Oracle Corporation Common Stock 68389X105 3,523.65 195 yes sole 0 0 0 ORMAT TECHNOLOGIES INC Common Stock 686688102 659,040.00 24,000.00 yes sole 0 0 0 Penn Virginia Corp Common Stock 707882106 647.82 59 yes sole 0 0 0 Pfizer Common Stock 717081103 66,738.00 4900 yes sole 0 0 0 PNC Bank Corp Common Stock 693475105 12,594.70 430 yes sole 0 0 0 PORTLAND GEN ELEC CO Common Stock 736508847 879,500.00 50,000.00 yes sole 0 0 0 POTLATCH CORP NEW Common Stock 737630103 1,507,350.00 65,000.00 yes sole 0 0 0 PRAXAIR INC Common Stock 74005P104 3,364,500.00 50,000.00 yes sole 0 0 0 Praxair Inc Common Stock 74005P104 40,239.42 598 yes sole 0 0 0 Praxair Inc Common Stock 74005P104 1,614,219.81 23989 yes sole 0 0 0 Procter & Gamble Common Stock 742718109 33,339.72 708 yes sole 0 0 0 PROLOGIS Common Stock 743410102 747,500.00 115,000.00 yes sole 0 0 0 Prologis Common Stock 743410102 330,278.00 50812 yes sole 0 0 0 Prologis Common Stock 743410102 4,803.50 739 yes sole 0 0 0 Qualcomm Inc. Common Stock 747525103 3,112.80 80 yes sole 0 0 0 Quest Diagnostic Inc Common Stock 74834L100 38,791.16 817 yes sole 0 0 0 Quest Diagnostic Inc Common Stock 74834L100 1,834,199.88 38631 yes sole 0 0 0 Rowe T Price Group Inc Common Stock 74144T108 18,932.16 656 yes sole 0 0 0 Rowe T Price Group Inc Common Stock 74144T108 774,111.78 26823 yes sole 0 0 0 Royal Caribbean Cruisesf Common Stock V7780T103 801.00 100 yes sole 0 0 0 Royal Dutch Petroleum Common Stock 780259206 30,434.10 687 yes sole 0 0 0 SCHNITZER STL INDS Common Stock 806882106 1,883,400.00 60,000.00 yes sole 0 0 0 Sigma Aldrich Corp. Common Stock 826552101 755.80 20 yes sole 0 0 0 Smith & Nephew Adr New Common Stock 83175M205 83,656.25 2677 yes sole 0 0 0 Smith & Nephew Adr New Common Stock 83175M205 2,334,468.75 74703 yes sole 0 0 0 SONOCO PRODS CO Common Stock 835495102 965,080.00 46,000.00 yes sole 0 0 0 Sonoco Products Common Stock 835495102 1,140,137.12 54344 yes sole 0 0 0 Sonoco Products Co Common Stock 835495102 24,106.02 1149 yes sole 0 0 0 STAPLES INC Common Stock 855030102 4,980,250.00 275,000.00 yes sole 0 0 0 Staples Inc Common Stock 855030102 40,747.50 2250 yes sole 0 0 0 Staples Inc Common Stock 855030102 1,648,856.70 91046.753 yes sole 0 0 0 Starbucks Corp. Common Stock 855244109 3,555.20 320 yes sole 0 0 0 Stryker Corp Common Stock 863667101 851.00 25 yes sole 0 0 0 Sun Company Common Stock 86764P109 18,536.00 700 yes sole 0 0 0 Suncor Energy Inc Common Stock 867229106 34,336.66 1546 yes sole 0 0 0 Suncor Energy Inc Common Stock 867229106 1,249,993.21 56280.649 yes sole 0 0 0 Sunpower Class A Common Stock 867652109 31,605.00 700 yes sole 0 0 0 SUNPOWER CORP Common Stock 867652109 166,460.00 7,000.00 yes sole 0 0 0 Suntech Power Hldgs Adrf Common Stock 86800C104 11,222.40 960 yes sole 0 0 0 Sysco Corporation Common Stock 871829107 8,208.00 360 yes sole 0 0 0 T J X Cos Inc Common Stock 872540109 53,587.60 2090 yes sole 0 0 0 T J X Cos Inc Common Stock 872540109 1,838,952.08 71722 yes sole 0 0 0 Target Corporation Common Stock 87612E106 19,017.67 553 yes sole 0 0 0 TENNANT CO Common Stock 880345103 749,600.00 80,000.00 yes sole 0 0 0 Tennant Company Common Stock 880345103 14,092.48 1504 yes sole 0 0 0 Tennant Company Common Stock 880345103 595,697.75 63575 yes sole 0 0 0 Travelers Companies Inc Common Stock 89417E109 41,168.32 1013 yes sole 0 0 0 Travelers Group Inc Common Stock 89417E109 1,677,855.22 41285.808 yes sole 0 0 0 Tupperware Brands Corp Common Stock 899896104 917.46 54 yes sole 0 0 0 U S Bancorp Del Common Stock 902973304 1,227.24 84 yes sole 0 0 0 UNITED NAT FOODS INC Common Stock 911163103 2,162,580.00 114,000.00 yes sole 0 0 0 United Parcel Service B Common Stock 911312106 22,149.00 450 yes sole 0 0 0 United Technologies Corp. Common Stock 913017109 1,805.16 42 yes sole 0 0 0 US Dataworks Inc Common Stock 91729G301 966.21 4601 yes sole 0 0 0 Valero Energy Corp New Common Stock 91913Y100 966.60 54 yes sole 0 0 0 Verizon Communications Common Stock 92343V104 18,089.80 599 yes sole 0 0 0 VMWARE INC Common Stock 928563402 708,600.00 30,000.00 yes sole 0 0 0 Vodaphone Group Common Stock 92857W209 22,646.00 1300 yes sole 0 0 0 Wal-Mart Stores Common Stock 931142103 4,115.90 79 yes sole 0 0 0 WATERS CORP Common Stock 941848103 554,250.00 15,000.00 yes sole 0 0 0 Waters Corp Common Stock 941848103 43,527.10 1178 yes sole 0 0 0 Waters Corp Common Stock 941848103 1,331,382.40 36032 yes sole 0 0 0 Weight Watchers Intl Inc Common Stock 948626106 18,939.55 1021 yes sole 0 0 0 Weight Watchers Intl Inc Common Stock 948626106 804,699.00 43380 yes sole 0 0 0 Wells Fargo Common Stock 949746101 10,879.36 764 yes sole 0 0 0 WHOLE FOODS MKT INC Common Stock 966837106 957,600.00 57,000.00 yes sole 0 0 0 Wyeth Common Stock 983024100 30,128.00 700 yes sole 0 0 0 Xcel Energy Inc Common Stock 98389B100 1,974.78 106 yes sole 0 0 0 XEROX CORP Common Stock 984121103 358,995.00 78,900.00 yes sole 0 0 0 Xerox Corp. Common Stock 984121103 2,730.00 600 yes sole 0 0 0 Zimmer Holdings Inc Common Stock 98956P102 4,380.00 120 yes sole 0 0 0
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