-----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, GXZghhHe+yqzrqnuuRqkoU/YtdlAf+/X6IIFugUQr29jbVakLuxvUNkVADBXKYh7 Hm/Tu195lqmpPVMaPt6/zQ== 0001140361-09-017191.txt : 20090729 0001140361-09-017191.hdr.sgml : 20090729 20090729154505 ACCESSION NUMBER: 0001140361-09-017191 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090729 DATE AS OF CHANGE: 20090729 EFFECTIVENESS DATE: 20090729 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-11731 FILM NUMBER: 09970180 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/A 1 form13f.txt PORTFOLIO 21 INVESTMENTS 13-F A 6-30-2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2009 Check here if Amendment [x]; Amendment Number: 1 ------- This Amendment (Check only one.): [x] 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. Persons 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 7/28/2009 - --------------------------------- --------------------------------- ---------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 149 Form 13F Information Table Value Total: $153,571,463.00 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. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ ----------------- --------- ---------- ------------------ ---------- -------- ---------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ ----------------- --------- ---------- --------- --- ---- ---------- -------- ---- ------ ---- 3M Common Stock 88579Y101 1644576.4 27364.00 X SOLE 0 0 0 3M Common Stock 88579Y101 37863 630.00 X SOLE 0 0 0 A E S Corp Common Stock 00130H105 1450855.26 124966.00 X SOLE 0 0 0 A E S Corp Common Stock 00130H105 30882.6 2660.00 X SOLE 0 0 0 ADOBE SYS INC Common Stock 00724F101 2122500 75000.00 X SOLE 0 0 0 Adobe Systems Inc Common Stock 00724F101 1496956.8 52896.00 X SOLE 0 0 0 Adobe Systems Inc Common Stock 00724F101 34243 1210.00 X SOLE 0 0 0 AGILENT TECHNOLOGIES INC Common Stock 00846U101 2412828 118800.00 X SOLE 0 0 0 Albina Community Bancorp Common Stock 13288105 3022 1511.00 X SOLE 0 0 0 Amazon Com Inc Common Stock 23135106 2108232 25200.00 X SOLE 0 0 0 APOGEE ENTERPRISES INC Common Stock 037598109 836400 68000.00 X SOLE 0 0 0 Apogee Enterprises Inc Common Stock 037598109 1230480.56 100202.00 X SOLE 0 0 0 Apogee Enterprises Inc Common Stock 037598109 20826.88 1696.00 X SOLE 0 0 0 APPLIED MATLS INC Common Stock 038222105 1261550 115000.00 X SOLE 0 0 0 Ascent Solar Tech Inc Common Stock 43635101 4535.6 580.00 X SOLE 0 0 0 AUTODESK INC Common Stock 052769106 2106780 111000.00 X SOLE 0 0 0 Baxter International Inc Common Stock 071813109 60374.4 1140.00 X SOLE 0 0 0 BAXTER INTL INC Common Stock 071813109 5560800 105000.00 X SOLE 0 0 0 Baxter Int'l Inc. Common Stock 071813109 2023919.36 38216.00 X SOLE 0 0 0 Berkshire Hathaway Cl B Common Stock 84670207 26061.57 9.00 X SOLE 0 0 0 Caterpillar Inc. Common Stock 149123101 4956 150.00 X SOLE 0 0 0 Century Tel Enterprise Common Stock 156700106 15350 500.00 X SOLE 0 0 0 Chevrontexaco Corp Common Stock 166764100 39750 600.00 X SOLE 0 0 0 CISCO SYS INC Common Stock 17275R102 2143600 115000.00 X SOLE 0 0 0 Cisco Systems Inc Common Stock 17275R102 37766.25 2025.00 X SOLE 0 0 0 Cisco Systems, Inc. Common Stock 17275R102 1572642.6 84324.00 X SOLE 0 0 0 Citadel Broadcasting Cp Common Stock 17285T106 2.76 69.00 X SOLE 0 0 0 Citigroup Common Stock 172967101 1853.28 624.00 X SOLE 0 0 0 Colgate Palmolive Common Stock 194162103 2224843.74 31451.00 X SOLE 0 0 0 Colgate-Palmolive Co Common Stock 194162103 60624.18 857.00 X SOLE 0 0 0 Corning Inc Common Stock 219350105 27462.6 1710.00 X SOLE 0 0 0 Corning Inc. Common Stock 219350105 1656589 103150.00 X SOLE 0 0 0 Costco Companies Inc Common Stock 22160K105 1692486.6 36970.00 X SOLE 0 0 0 Costco Companies Inc Common Stock 22160K105 47382.3 1035.00 X SOLE 0 0 0 Day4 Energy Inc Common Stock 239582109 861.9 1300.00 X SOLE 0 0 0 DELL INC Common Stock 24702R101 1263160 92000.00 X SOLE 0 0 0 Disney, Walt Co. Common Stock 254687106 20997 900.00 X SOLE 0 0 0 EATON CORP Common Stock 278058102 2275110 51000.00 X SOLE 0 0 0 ECHELON CORP Common Stock 27874N105 212000 25000.00 X SOLE 0 0 0 ECOLAB INC Common Stock 278865100 604345 15500.00 X SOLE 0 0 0 ERICSSON L M TEL CO Common Stock 294821608 821520 84000.00 X SOLE 0 0 0 Exxon Mobil Corporation Common Stock 30231G102 90813.09 1299.00 X SOLE 0 0 0 Federal Express Common Stock 31428X106 1147230.38 20626.22 X SOLE 0 0 0 Federal Express Common Stock 31428X106 24027.84 432.00 X SOLE 0 0 0 First Solar Inc Common Stock 336433107 2919.6 18.00 X SOLE 0 0 0 Fluor Corp Common Stock 343412102 3179.98 62.00 X SOLE 0 0 0 FUEL TECH INC Common Stock 359523107 291000 30000.00 X SOLE 0 0 0 General Electric Common Stock 369604103 69241.76 5908.00 X SOLE 0 0 0 General Mills Common Stock 370334104 1983668.2 35410.00 X SOLE 0 0 0 General Mills Inc Common Stock 370334104 54787.56 978.00 X SOLE 0 0 0 GENZYME CORP Common Stock 372917104 1670100 30000.00 X SOLE 0 0 0 Glaxosmithkline Plc Adrf Common Stock 37733W105 45942 1300.00 X SOLE 0 0 0 GOOGLE INC Common Stock 38259P508 8010210 19000.00 X SOLE 0 0 0 Google Inc Class A Common Stock 38259P508 1841083.53 4367.00 X SOLE 0 0 0 Google Inc Class A Common Stock 38259P508 43002.18 102.00 X SOLE 0 0 0 Granite Construction Inc Common Stock 387328107 1292029.44 38823.00 X SOLE 0 0 0 Granite Construction Inc Common Stock 387328107 24128 725.00 X SOLE 0 0 0 Groupe Danone ADR Common Stock 399449107 37650 3000.00 X SOLE 0 0 0 Herman Miller Common Stock 600544100 986307.6 64296.45 X SOLE 0 0 0 HEWLETT PACKARD CO Common Stock 428236103 2407895 62300.00 X SOLE 0 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ ----------------- --------- ---------- ------------------ ---------- -------- ---------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ ----------------- --------- ---------- --------- --- ---- ---------- -------- ---- ------ ---- INTEL CORP Common Stock 458140100 2648000 160000.00 X SOLE 0 0 0 Intel Corp Common Stock 458140100 1735962.79 104892.01 X SOLE 0 0 0 Intel Corp Common Stock 458140100 34755 2100.00 X SOLE 0 0 0 INTERFACE INC Common Stock 458665106 186000 30000.00 X SOLE 0 0 0 INTERNATIONAL BUSINESS MACHS Common Stock 459200101 4803320 46000.00 X SOLE 0 0 0 Int'l Business Machines Common Stock 459200101 2335353.3 22365.00 X SOLE 0 0 0 Int'l Business Machines Common Stock 459200101 55342.6 530.00 X SOLE 0 0 0 ITRON INC Common Stock 465741106 826050 15000.00 X SOLE 0 0 0 JOHNSON & JOHNSON Common Stock 478160104 3408000 60000.00 X SOLE 0 0 0 Johnson & Johnson Common Stock 478160104 2183716.22 38445.71 X SOLE 0 0 0 Johnson & Johnson Common Stock 478160104 52085.6 917.00 X SOLE 0 0 0 Johnson Controls Inc Common Stock 478366107 2719300.56 125198.00 X SOLE 0 0 0 Johnson Controls Inc Common Stock 478366107 76497.84 3522.00 X SOLE 0 0 0 JOHNSON CTLS INC Common Stock 478366107 3692400 170000.00 X SOLE 0 0 0 KONINKLIJKE PHILIPS ELECTRS NV Common Stock 500472303 1842000 100000.00 X SOLE 0 0 0 Microsoft, Corp. Common Stock 594918104 129427.65 5445.00 X SOLE 0 0 0 MILLER HERMAN INC Common Stock 600544100 671892 43800.00 X SOLE 0 0 0 Miller Herman Inc Common Stock 600544100 21476 1400.00 X SOLE 0 0 0 Moodys Corp Common Stock 615369105 23715 900.00 X SOLE 0 0 0 NETAPP INC Common Stock 64110D104 1715640 87000.00 X SOLE 0 0 0 NIKE INC Common Stock 654106103 3003240 58000.00 X SOLE 0 0 0 NOKIA CORP Common Stock 654902204 3615840 248000.00 X SOLE 0 0 0 Nokia Corp Spon Adr Common Stock 654902204 1425690.72 97784.00 X SOLE 0 0 0 Nokia Corp Spon Adr Common Stock 654902204 33169.5 2275.00 X SOLE 0 0 0 Northwest Natural Gas Co Common Stock 667655104 7977.6 180.00 X SOLE 0 0 0 NOVO-NORDISK A S Common Stock 670100205 1503096 27600.00 X SOLE 0 0 0 Novo-Nordisk A-S Adr Common Stock 670100205 1813245.7 33295.00 X SOLE 0 0 0 Novo-Nordisk A-S Adr Common Stock 670100205 47706.96 876.00 X SOLE 0 0 0 NUCOR CORP Common Stock 670346105 3110100 70000.00 X SOLE 0 0 0 Nucor Corp Common Stock 670346105 1891717.06 42577.47 X SOLE 0 0 0 Nucor Corp Common Stock 670346105 47140.23 1061.00 X SOLE 0 0 0 ORMAT TECHNOLOGIES INC Common Stock 686688102 967440 24000.00 X SOLE 0 0 0 Pfizer Common Stock 717081103 63360 4224.00 X SOLE 0 0 0 PNC Bank Corp Common Stock 693475105 16688.3 430.00 X SOLE 0 0 0 PORTLAND GEN ELEC CO Common Stock 736508847 974000 50000.00 X SOLE 0 0 0 POTLATCH CORP NEW Common Stock 737630103 1578850 65000.00 X SOLE 0 0 0 PRAXAIR INC Common Stock 74005P104 3553500 50000.00 X SOLE 0 0 0 Praxair Inc Common Stock 74005P104 1760048.55 24765.00 X SOLE 0 0 0 Praxair Inc Common Stock 74005P104 42499.86 598.00 X SOLE 0 0 0 Procter & Gamble Common Stock 742718109 15330 300.00 X SOLE 0 0 0 PROLOGIS Common Stock 743410102 926900 115000.00 X SOLE 0 0 0 Prologis Common Stock 743410102 431153.58 53493.00 X SOLE 0 0 0 Prologis Common Stock 743410102 5956.34 739.00 X SOLE 0 0 0 Quest Diagnostic Inc Common Stock 74834L100 2200939.29 39003.00 X SOLE 0 0 0 Quest Diagnostic Inc Common Stock 74834L100 46103.31 817.00 X SOLE 0 0 0 Rowe T Price Group Inc Common Stock 74144T108 1174635.63 28189.00 X SOLE 0 0 0 Rowe T Price Group Inc Common Stock 74144T108 27335.52 656.00 X SOLE 0 0 0 Royal Caribbean Cruisesf Common Stock V7780T103 1354 100.00 X SOLE 0 0 0 Royal Dutch Petroleum Common Stock 780259206 34480.53 687.00 X SOLE 0 0 0 Santa Fe Pacific Gold Common Stock 80201E108 50422.54 553.00 X SOLE 0 0 0 SCHNITZER STL INDS Common Stock 806882106 3171600 60000.00 X SOLE 0 0 0 Smith & Nephew Adr New Common Stock 83175M205 2964293.82 79557.00 X SOLE 0 0 0 Smith & Nephew Adr New Common Stock 83175M205 99745.02 2677.00 X SOLE 0 0 0 SONOCO PRODS CO Common Stock 835495102 1101700 46000.00 X SOLE 0 0 0 Sonoco Products Common Stock 835495102 1342517.25 56055.00 X SOLE 0 0 0 Sonoco Products Co Common Stock 835495102 27518.55 1149.00 X SOLE 0 0 0 STAPLES INC Common Stock 855030102 5546750 275000.00 X SOLE 0 0 0 Staples Inc Common Stock 855030102 1891148.52 93714.00 X SOLE 0 0 0 Staples Inc Common Stock 855030102 45405 2250.00 X SOLE 0 0 0 Starbucks Corp. Common Stock 855244109 4444.8 320.00 X SOLE 0 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ ----------------- --------- ---------- ------------------ ---------- -------- ---------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ ----------------- --------- ---------- --------- --- ---- ---------- -------- ---- ------ ---- Sunpower Class A Common Stock 867652109 31605 700.00 X SOLE 0 0 0 SUNPOWER CORP Common Stock 867652109 186480 7000.00 X SOLE 0 0 0 Suntech Power Hldgs Adrf Common Stock 86800C104 17145.6 960.00 X SOLE 0 0 0 Sysco Corporation Common Stock 871829107 8092.8 360.00 X SOLE 0 0 0 T J X Cos Inc Common Stock 872540109 2315047.02 73587.00 X SOLE 0 0 0 T J X Cos Inc Common Stock 872540109 65751.4 2090.00 X SOLE 0 0 0 Target Corporation Common Stock 87612E106 19735 500.00 X SOLE 0 0 0 Telefonica S.A. Common Stock 879382208 1957472.37 28833.00 X SOLE 0 0 0 Telefonica S.A. Common Stock 879382208 50306.49 741.00 X SOLE 0 0 0 TENNANT CO Common Stock 880345103 1471200 80000.00 X SOLE 0 0 0 Tennant Company Common Stock 880345103 1228985.31 66829.00 X SOLE 0 0 0 Tennant Company Common Stock 880345103 27658.56 1504.00 X SOLE 0 0 0 Travelers Companies Inc Common Stock 89417E109 41573.52 1013.00 X SOLE 0 0 0 Travelers Group Inc Common Stock 89417E109 1716449.06 41823.81 X SOLE 0 0 0 UNITED NAT FOODS INC Common Stock 911163103 2992500 114000.00 X SOLE 0 0 0 United Parcel Service B Common Stock 911312106 22495.5 450.00 X SOLE 0 0 0 US Dataworks Inc Common Stock 91729G301 1426.31 4601.00 X SOLE 0 0 0 Verizon Communications Common Stock 92343V104 18407.27 599.00 X SOLE 0 0 0 VMWARE INC Common Stock 928563402 818100 30000.00 X SOLE 0 0 0 Vodaphone Group Common Stock 92857W209 25337 1300.00 X SOLE 0 0 0 WATERS CORP Common Stock 941848103 772050 15000.00 X SOLE 0 0 0 Waters Corp Common Stock 941848103 1934191.13 37579.00 X SOLE 0 0 0 Waters Corp Common Stock 941848103 60631.66 1178.00 X SOLE 0 0 0 Weight Watchers Intl Inc Common Stock 948626106 1170885.72 45436.00 X SOLE 0 0 0 Weight Watchers Intl Inc Common Stock 948626106 26311.17 1021.00 X SOLE 0 0 0 Wells Fargo Common Stock 949746101 18534.64 764.00 X SOLE 0 0 0 WHOLE FOODS MKT INC Common Stock 966837106 1081860 57000.00 X SOLE 0 0 0 Wyeth Common Stock 983024100 31773 700.00 X SOLE 0 0 0 XEROX CORP Common Stock 984121103 511272 78900.00 X SOLE 0 0 0
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