| Rubicon Technology Inc. |
| (Name of Issuer) |
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1.
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
SAM Sustainable Asset Management AG
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) o
(b) o
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
Switzerland
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NUMBER OF
SHARES
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5.
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SOLE VOTING POWER
2356350
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BENEFICIALLY
OWNED BY
EACH
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6.
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SHARED VOTING POWER
0
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REPORTING
PERSON
WITH:
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7.
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SOLE DISPOSITIVE POWER
2356350
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8.
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SHARED DISPOSITIVE POWER
0
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2356350
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10.
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
10.27 %
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12.
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
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| Item 1. | (a) | Name of Issuer: |
| Rubicon Technology Inc. | ||
| (b) | Address of Issuer's Principal Executive Offices:
9931 Franklin Avenue
Franklin Park, IL 60131
United States
|
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| 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: 78112T107 |
| 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: [ X ] | |||
| 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 2356350 common shares | ||
| (b) | Percent of class: 10.27 % | ||
| (c) | Number of shares as to which the person has: | ||
| (i) | Sole power to vote or to direct the vote: 2356350 | ||
| (ii) | Shared power to vote or to direct the vote: | ||
| (iii) | Sole power to dispose or to direct the disposition of: 2356350 | ||
| (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 Rubicon 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 | |||
| 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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