-----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, KWI3lKGoRDff4tNna4eh/6kA2ox+7tGpHLXV/RqL6/+KmAZeEjTmsgWQtO4O7con 0a4sH3+iJRJU4h0y9oW1Ag== 0001140361-10-001397.txt : 20100111 0001140361-10-001397.hdr.sgml : 20100111 20100111113659 ACCESSION NUMBER: 0001140361-10-001397 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100111 DATE AS OF CHANGE: 20100111 EFFECTIVENESS DATE: 20100111 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: 10519439 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 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2009 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. 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 1/8/2010 - --------------------------------- --------------------------------- ---------- [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: 138 Form 13F Information Table Value Total: $183,993,743.81 -------------- 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 52,082.10 630.0 X SOLE 0 0 0 3M Common Stock 88579Y101 2,183,645.38 26414.0 X SOLE 0 0 0 A E S Corp Common Stock 00130H105 35,404.60 2660.0 X SOLE 0 0 0 A E S Corp Common Stock 00130H105 1,623,101.26 121946.0 X SOLE 0 0 0 ADOBE SYS INC Common Stock 00724F101 2,758,500.00 75000.0 X SOLE 0 0 0 Adobe Systems Inc Common Stock 00724F101 44,503.80 1210.0 X SOLE 0 0 0 Adobe Systems Inc Common Stock 00724F101 1,892,588.46 51457.0 X SOLE 0 0 0 Albina Community Bancorp Common Stock 13288105 1,526.11 1511.0 X SOLE 0 0 0 AMERICAN SUPERCONDUCTOR CORP Common Stock 030111108 1,022,500.00 25000.0 X SOLE 0 0 0 APOGEE ENTERPRISES INC Common Stock 037598109 952,000.00 68000.0 X SOLE 0 0 0 Apogee Enterprises Inc Common Stock 037598109 23,744.00 1696.0 X SOLE 0 0 0 Apogee Enterprises Inc Common Stock 037598109 1,398,978.00 99927.0 X SOLE 0 0 0 APPLIED MATLS INC Common Stock 038222105 1,603,100.00 115000.0 X SOLE 0 0 0 AUTODESK INC Common Stock 052769106 2,820,510.00 111000.0 X SOLE 0 0 0 Baxter International Inc Common Stock 071813109 66,895.20 1140.0 X SOLE 0 0 0 BAXTER INTL INC Common Stock 071813109 6,161,400.00 105000.0 X SOLE 0 0 0 Baxter Int'l Inc. Common Stock 071813109 2,154,553.56 36717.0 X SOLE 0 0 0 Berkshire Hathaway Cl B Common Stock 84670207 29,574.00 9.0 X SOLE 0 0 0 Caterpillar Inc. Common Stock 149123101 8,548.50 150.0 X SOLE 0 0 0 Century Tel Enterprise Common Stock 156700106 18,105.00 500.0 X SOLE 0 0 0 Chevrontexaco Corp Common Stock 166764100 46,194.00 600.0 X SOLE 0 0 0 CISCO SYS INC Common Stock 17275R102 2,753,100.00 115000.0 X SOLE 0 0 0 Cisco Systems Inc Common Stock 17275R102 48,478.50 2025.0 X SOLE 0 0 0 Cisco Systems, Inc. Common Stock 17275R102 1,985,200.56 82924.0 X SOLE 0 0 0 Citadel Broadcasting Cp Common Stock 17285T106 1.10 69.0 X SOLE 0 0 0 Citigroup Common Stock 172967101 2,065.44 624.0 X SOLE 0 0 0 Colgate Palmolive Common Stock 194162103 2,499,167.30 30422.0 X SOLE 0 0 0 Colgate-Palmolive Co Common Stock 194162103 70,402.55 857.0 X SOLE 0 0 0 Corning Inc Common Stock 219350105 33,020.10 1710.0 X SOLE 0 0 0 Corning Inc. Common Stock 219350105 1,915,552.00 99200.0 X SOLE 0 0 0 Costco Companies Inc Common Stock 22160K105 61,240.95 1035.0 X SOLE 0 0 0 Costco Companies Inc Common Stock 22160K105 2,143,137.40 36220.0 X SOLE 0 0 0 Disney, Walt Co. Common Stock 254687106 29,025.00 900.0 X SOLE 0 0 0 EATON CORP Common Stock 278058102 3,244,620.00 51000.0 X SOLE 0 0 0 ECHELON CORP Common Stock 27874N105 289,000.00 25000.0 X SOLE 0 0 0 ECOLAB INC Common Stock 278865100 3,566,400.00 80000.0 X SOLE 0 0 0 Edison International Common Stock 281020107 417.36 12.0 X SOLE 0 0 0 Exxon Mobil Corporation Common Stock 30231G102 23,184.60 340.0 X SOLE 0 0 0 Federal Express Common Stock 31428X106 36,050.40 432.0 X SOLE 0 0 0 Federal Express Common Stock 31428X106 1,712,913.10 20526.2 X SOLE 0 0 0 General Electric Common Stock 369604103 36,614.60 2420.0 X SOLE 0 0 0 General Mills Common Stock 370334104 2,460,293.45 34745.0 X SOLE 0 0 0 General Mills Inc Common Stock 370334104 69,252.18 978.0 X SOLE 0 0 0 Glaxosmithkline Plc Adrf Common Stock 37733W105 52,812.50 1250.0 X SOLE 0 0 0 GOOGLE INC Common Stock 38259P508 11,779,620.00 19000.0 X SOLE 0 0 0 Google Inc Class A Common Stock 38259P508 63,237.96 102.0 X SOLE 0 0 0 Google Inc Class A Common Stock 38259P508 2,618,795.52 4224.0 X SOLE 0 0 0 Granite Construction Inc Common Stock 387328107 24,403.50 725.0 X SOLE 0 0 0 Granite Construction Inc Common Stock 387328107 1,304,257.68 38748.0 X SOLE 0 0 0 Groupe Danone ADR Common Stock 399449107 37,650.00 3000.0 X SOLE 0 0 0 Herman Miller Common Stock 600544100 1,026,501.29 64196.5 X SOLE 0 0 0 HEWLETT PACKARD CO Common Stock 428236103 3,209,073.00 62300.0 X SOLE 0 0 0 INTEL CORP Common Stock 458140100 3,264,000.00 160000.0 X SOLE 0 0 0 Intel Corp Common Stock 458140100 42,840.00 2100.0 X SOLE 0 0 0 Intel Corp Common Stock 458140100 2,099,099.04 102897.0 X SOLE 0 0 0 INTERNATIONAL BUSINESS MACHS Common Stock 459200101 6,021,400.00 46000.0 X SOLE 0 0 0 Int'l Business Machines Common Stock 459200101 69,377.00 530.0 X SOLE 0 0 0 Int'l Business Machines Common Stock 459200101 2,677,297.70 20453.0 X SOLE 0 0 0 ITRON INC Common Stock 465741106 1,013,550.00 15000.0 X SOLE 0 0 0 JOHNSON & JOHNSON Common Stock 478160104 3,890,364.00 60400.0 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 - ------------------------------ -------------- --------- ------------- -------- --- ---- ---------- -------- ---- ------ ---- Johnson & Johnson Common Stock 478160104 59,063.97 917.0 X SOLE 0 0 0 Johnson & Johnson Common Stock 478160104 2,438,092.93 37852.7 X SOLE 0 0 0 Johnson Controls Inc Common Stock 478366107 82,755.12 3038.0 X SOLE 0 0 0 Johnson Controls Inc Common Stock 478366107 2,882,890.92 105833.0 X SOLE 0 0 0 JOHNSON CTLS INC Common Stock 478366107 3,541,200.00 130000.0 X SOLE 0 0 0 KONINKLIJKE PHILIPS ELECTRS NV Common Stock 500472303 2,944,000.00 100000.0 X SOLE 0 0 0 Microsoft, Corp. Common Stock 594918104 18,135.60 595.0 X SOLE 0 0 0 MILLER HERMAN INC Common Stock 600544100 699,924.00 43800.0 X SOLE 0 0 0 Miller Herman Inc Common Stock 600544100 22,386.00 1400.0 X SOLE 0 0 0 Moodys Corp Common Stock 615369105 24,120.00 900.0 X SOLE 0 0 0 NETAPP INC Common Stock 64110D104 2,991,930.00 87000.0 X SOLE 0 0 0 NIKE INC Common Stock 654106103 3,832,060.00 58000.0 X SOLE 0 0 0 NOKIA CORP Common Stock 654902204 3,186,800.00 248000.0 X SOLE 0 0 0 Nokia Corp Spon Adr Common Stock 654902204 29,233.75 2275.0 X SOLE 0 0 0 Nokia Corp Spon Adr Common Stock 654902204 1,224,720.65 95309.0 X SOLE 0 0 0 Northwest Natural Gas Co Common Stock 667655104 8,332.40 185.0 X SOLE 0 0 0 NOVO-NORDISK A S Common Stock 670100205 1,762,260.00 27600.0 X SOLE 0 0 0 Novo-Nordisk A-S Adr Common Stock 670100205 55,932.60 876.0 X SOLE 0 0 0 Novo-Nordisk A-S Adr Common Stock 670100205 2,092,364.50 32770.0 X SOLE 0 0 0 NUCOR CORP Common Stock 670346105 3,265,500.00 70000.0 X SOLE 0 0 0 Nucor Corp Common Stock 670346105 35,920.50 770.0 X SOLE 0 0 0 Nucor Corp Common Stock 670346105 1,946,026.75 41715.5 X SOLE 0 0 0 ORMAT TECHNOLOGIES INC Common Stock 686688102 908,160.00 24000.0 X SOLE 0 0 0 Pfizer Common Stock 717081103 18,808.46 1034.0 X SOLE 0 0 0 PORTLAND GEN ELEC CO Common Stock 736508847 1,632,800.00 80000.0 X SOLE 0 0 0 POTLATCH CORP NEW Common Stock 737630103 3,188,000.00 100000.0 X SOLE 0 0 0 PRAXAIR INC Common Stock 74005P104 4,015,500.00 50000.0 X SOLE 0 0 0 Praxair Inc Common Stock 74005P104 48,025.38 598.0 X SOLE 0 0 0 Praxair Inc Common Stock 74005P104 1,953,380.13 24323.0 X SOLE 0 0 0 Procter & Gamble Common Stock 742718109 18,189.00 300.0 X SOLE 0 0 0 PROLOGIS Common Stock 743410102 1,574,350.00 115000.0 X SOLE 0 0 0 Prologis Common Stock 743410102 10,116.91 739.0 X SOLE 0 0 0 Prologis Common Stock 743410102 733,688.17 53593.0 X SOLE 0 0 0 Quest Diagnostic Inc Common Stock 74834L100 49,330.46 817.0 X SOLE 0 0 0 Quest Diagnostic Inc Common Stock 74834L100 2,314,546.54 38333.0 X SOLE 0 0 0 Rowe T Price Group Inc Common Stock 74144T108 34,932.00 656.0 X SOLE 0 0 0 Rowe T Price Group Inc Common Stock 74144T108 1,479,604.50 27786.0 X SOLE 0 0 0 Royal Caribbean Cruisesf Common Stock V7780T103 2,528.00 100.0 X SOLE 0 0 0 Royal Dutch Petroleum Common Stock 780259206 41,295.57 687.0 X SOLE 0 0 0 SCHNITZER STL INDS Common Stock 806882106 2,862,000.00 60000.0 X SOLE 0 0 0 Smith & Nephew Adr New Common Stock 83175M205 137,196.25 2677.0 X SOLE 0 0 0 Smith & Nephew Adr New Common Stock 83175M205 3,448,920.00 67296.0 X SOLE 0 0 0 SONOCO PRODS CO Common Stock 835495102 1,345,500.00 46000.0 X SOLE 0 0 0 Sonoco Products Common Stock 835495102 1,629,283.50 55702.0 X SOLE 0 0 0 Sonoco Products Co Common Stock 835495102 33,608.25 1149.0 X SOLE 0 0 0 STAPLES INC Common Stock 855030102 6,762,250.00 275000.0 X SOLE 0 0 0 Staples Inc Common Stock 855030102 55,327.50 2250.0 X SOLE 0 0 0 Staples Inc Common Stock 855030102 2,218,485.21 90219.0 X SOLE 0 0 0 Starbucks Corp. Common Stock 855244109 7,379.20 320.0 X SOLE 0 0 0 Sunpower Class A Common Stock 867652109 31,605.00 700.0 X SOLE 0 0 0 SUNPOWER CORP Common Stock 867652109 710,400.00 30000.0 X SOLE 0 0 0 Suntech Power Hldgs Adrf Common Stock 86800C104 13,470.30 810.0 X SOLE 0 0 0 Sysco Corporation Common Stock 871829107 10,058.40 360.0 X SOLE 0 0 0 T J X Cos Inc Common Stock 872540109 76,389.50 2090.0 X SOLE 0 0 0 T J X Cos Inc Common Stock 872540109 2,507,951.35 68617.0 X SOLE 0 0 0 Target Corporation Common Stock 87612E106 24,185.00 500.0 X SOLE 0 0 0 Telefonica S.A. Common Stock 879382208 61,888.32 741.0 X SOLE 0 0 0 Telefonica S.A. Common Stock 879382208 2,358,354.24 28237.0 X SOLE 0 0 0 TENNANT CO Common Stock 880345103 2,095,200.00 80000.0 X SOLE 0 0 0 Tennant Company Common Stock 880345103 39,389.76 1504.0 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 - ------------------------------ -------------- --------- ------------- -------- --- ---- ---------- -------- ---- ------ ---- Tennant Company Common Stock 880345103 1,696,352.49 64771.0 X SOLE 0 0 0 Travelers Companies Inc Common Stock 89417E109 50,508.18 1013.0 X SOLE 0 0 0 Travelers Group Inc Common Stock 89417E109 1,991,299.08 39937.8 X SOLE 0 0 0 UNITED NAT FOODS INC Common Stock 911163103 3,048,360.00 114000.0 X SOLE 0 0 0 United Parcel Service B Common Stock 911312106 25,816.50 450.0 X SOLE 0 0 0 US Dataworks Inc Common Stock 91729G301 1,085.84 4601.0 X SOLE 0 0 0 Verizon Communications Common Stock 92343V104 19,844.87 599.0 X SOLE 0 0 0 Vestas Wind Sys A/S Adrf Common Stock 925458101 48,445.33 2378.0 X SOLE 0 0 0 Vestas Wind Sys A/S Adrf Common Stock 925458101 1,863,902.46 91492.0 X SOLE 0 0 0 VMWARE INC Common Stock 928563402 1,271,400.00 30000.0 X SOLE 0 0 0 Vodaphone Group Common Stock 92857W209 30,017.00 1300.0 X SOLE 0 0 0 WATERS CORP Common Stock 941848103 4,027,400.00 65000.0 X SOLE 0 0 0 Waters Corp Common Stock 941848103 72,988.88 1178.0 X SOLE 0 0 0 Waters Corp Common Stock 941848103 2,259,433.36 36466.0 X SOLE 0 0 0 Weight Watchers Intl Inc Common Stock 948626106 29,772.36 1021.0 X SOLE 0 0 0 Weight Watchers Intl Inc Common Stock 948626106 1,305,230.76 44761.0 X SOLE 0 0 0 Wells Fargo Common Stock 949746101 20,620.36 764.0 X SOLE 0 0 0 WHOLE FOODS MKT INC Common Stock 966837106 1,564,650.00 57000.0 X SOLE 0 0 0
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