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AB Sustainable Global Thematic Fund, Inc. – ‘NPORT-P’ for 10/31/19 – ‘NPORT-EX’

On:  Monday, 12/23/19, at 1:37pm ET   ·   For:  10/31/19   ·   Accession #:  1752724-19-200441   ·   File #:  811-03131

Previous ‘NPORT-P’:  None   ·   Next:  ‘NPORT-P’ on 3/9/20 for 1/31/20   ·   Latest:  ‘NPORT-P’ on 3/28/24 for 1/31/24

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/23/19  AB Sustainable Global Themat… Inc NPORT-P    10/31/19    2:294K                                   Confluence Techs Inc/FA
          → AB Sustainable Global Thematic Fund, Inc. ⇒ Advisor Class (ATEYX) — Class A (ALTFX) — Class B (ATEBX) — Class C (ATECX) — Class I (AGTIX) — Class K (ATEKX) — Class R (ATERX)

Monthly Portfolio Investments Report (Public) by an Investment Company   —   Form N-PORT
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: NPORT-P     Monthly Portfolio Investments Report (Public) by    HTML     96K 
                an Investment Company -- primary_doc.xml                         
 2: NPORT-EX    Portfolio Holdings Schedule -- Form N-PORT          HTML    117K

‘NPORT-EX’   —   Portfolio Holdings Schedule — Form N-PORT

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AB Sustainable Global Thematic Fund

Portfolio of Investments

October 31, 2019 (unaudited)

 

Company

    Shares        U.S. $ Value  

COMMON STOCKS - 92.5%

 

Health Care - 22.2%

 

Biotechnology - 0.9%

 

Abcam PLC

      607,760        $ 9,163,730  
       

 

 

  

Health Care Equipment & Supplies - 6.8%

 

Abbott Laboratories

      119,490          9,990,559  

Danaher Corp.

      149,603          20,618,285  

Koninklijke Philips NV

      480,340          21,074,471  

West Pharmaceutical Services, Inc.

      124,763          17,945,910  
       

 

 

  
          69,629,225  
       

 

 

  

Health Care Providers & Services - 4.4%

 

Apollo Hospitals Enterprise Ltd.

      1,120,430          23,478,463  

UnitedHealth Group, Inc.

      88,197          22,287,382  
       

 

 

  
          45,765,845  
       

 

 

  

Life Sciences Tools & Services - 10.1%

 

Bio-Rad Laboratories, Inc.-Class A (a)

      71,290          23,641,190  

Bruker Corp.

      359,555          16,000,197  

Gerresheimer AG

      256,920          20,719,341  

ICON PLC (a)

      84,090          12,352,821  

QIAGEN NV (a)

      461,660          13,762,085  

Tecan Group AG

      74,780          17,691,393  
       

 

 

  
          104,167,027  
       

 

 

  
          228,725,827  
       

 

 

  

Information Technology - 19.5%

 

Electronic Equipment, Instruments & Components - 3.3%

 

Horiba Ltd.

      255,800          17,261,598  

Keyence Corp.

      26,300          16,629,396  
       

 

 

  
          33,890,994  
       

 

 

  

IT Services - 5.1%

 

Pagseguro Digital Ltd. (a)(b)

      392,860          14,567,249  

Square, Inc.-Class A (a)(b)

      212,607          13,060,448  

Visa, Inc.-Class A (b)

      140,065          25,052,026  
       

 

 

  
          52,679,723  
       

 

 

  

Semiconductors & Semiconductor Equipment - 3.5%

 

Infineon Technologies AG

      1,092,043          21,151,529  

NVIDIA Corp.

      72,779          14,630,034  
       

 

 

  
          35,781,563  
       

 

 

  

Software - 5.7%

 

Dassault Systemes SE

      111,080          16,870,467  

Microsoft Corp.

      140,895          20,200,116  

Proofpoint, Inc. (a)(b)

      101,736          11,737,282  

Zendesk, Inc. (a)

      144,290          10,194,089  
       

 

 

  
          59,001,954  
       

 

 

  

Technology Hardware, Storage & Peripherals - 1.9%

 

Apple, Inc. (b)

      78,929          19,634,378  
       

 

 

  
          200,988,612  
       

 

 

  

Company

    Shares        U.S. $ Value  

Industrials - 13.5%

 

Aerospace & Defense - 1.4%

 

Hexcel Corp.

      199,189        $ 14,863,483  
       

 

 

  

Building Products - 2.4%

 

Kingspan Group PLC

      479,645          24,853,680  
       

 

 

  

Commercial Services & Supplies - 1.0%

 

China Everbright International Ltd.

      13,502,740          10,205,450  
       

 

 

  

Electrical Equipment - 3.7%

 

Schneider Electric SE

      196,490          18,261,852  

Vestas Wind Systems A/S

      249,560          20,331,103  
       

 

 

  
          38,592,955  
       

 

 

  

Industrial Conglomerates - 1.1%

 

Siemens AG

      93,494          10,789,207  
       

 

 

  

Machinery - 2.3%

 

Xylem, Inc./NY (b)

      313,228          24,021,455  
       

 

 

  

Professional Services - 1.6%

 

Recruit Holdings Co., Ltd.

      480,300          15,962,310  
       

 

 

  
          139,288,540  
       

 

 

  

Financials - 10.6%

 

Banks - 1.0%

 

HDFC Bank Ltd.

      618,020          10,704,941  
       

 

 

  

Capital Markets - 5.1%

 

Charles Schwab Corp. (The)

      303,822          12,368,594  

MSCI, Inc.-Class A

      97,380          22,841,453  

Partners Group Holding AG

      22,384          17,492,227  
       

 

 

  
          52,702,274  
       

 

 

  

Insurance - 2.7%

 

AIA Group Ltd.

      1,925,200          19,171,561  

Prudential PLC

      460,040          8,035,443  
       

 

 

  
          27,207,004  
       

 

 

  

Thrifts & Mortgage Finance - 1.8%

 

Housing Development Finance Corp. Ltd.

      624,883          18,798,883  
       

 

 

  
          109,413,102  
       

 

 

  

Consumer Discretionary - 8.4%

 

Auto Components - 1.8%

 

Aptiv PLC (b)

      212,102          18,993,734  
       

 

 

  

Diversified Consumer Services - 1.4%

 

Bright Horizons Family Solutions, Inc. (a)

      96,970          14,401,984  
       

 

 

  

Internet & Direct Marketing Retail - 3.4%

 

Alibaba Group Holding Ltd. (Sponsored ADR) (a)

      88,790          15,686,529  

Amazon.com, Inc. (a)

      5,847          10,388,131  

Etsy, Inc. (a)

      201,040          8,944,270  
       

 

 

  
          35,018,930  
       

 

 

  

Company

    Shares        U.S. $ Value  

Textiles, Apparel & Luxury Goods - 1.8%

 

NIKE, Inc.-Class B

      204,130        $ 18,279,842  
       

 

 

  
          86,694,490  
       

 

 

  

Consumer Staples - 5.8%

 

Food Products - 2.1%

 

Kerry Group PLC-Class A

      181,340          21,923,731  
       

 

 

  

Household Products - 3.7%

 

Procter & Gamble Co. (The)

      141,120          17,570,851  

Unicharm Corp.

      608,900          20,636,153  
       

 

 

  
          38,207,004  
       

 

 

  
          60,130,735  
       

 

 

  

Materials - 5.1%

 

Chemicals - 5.1%

 

Chr Hansen Holding A/S

      188,510          14,472,983  

Ecolab, Inc.

      130,679          25,099,515  

Koninklijke DSM NV

      108,970          12,933,425  
       

 

 

  
          52,505,923  
       

 

 

  

Utilities - 4.9%

 

Multi-Utilities - 1.1%

 

Suez

      735,270          11,468,400  
       

 

 

  

Water Utilities - 3.8%

 

American Water Works Co., Inc.

      222,441          27,420,302  

Beijing Enterprises Water Group Ltd. (a)

      21,766,000          11,345,050  
       

 

 

  
          38,765,352  
       

 

 

  
          50,233,752  
       

 

 

  

Real Estate - 1.4%

 

Equity Real Estate Investment Trusts (REITs) - 1.4%

 

SBA Communications Corp.

      60,030          14,446,219  
       

 

 

  

Communication Services - 1.1%

 

Interactive Media & Services - 1.1%

 

Tencent Holdings Ltd.

      286,500          11,621,275  
       

 

 

  

Total Common Stocks
(cost $715,497,665)

           954,048,475  
       

 

 

  

SHORT-TERM INVESTMENTS - 7.3%

 

Investment Companies - 7.3%

 

AB Fixed Income Shares, Inc.-Government Money Market Portfolio-Class AB,
1.78% (c)(d)(e)
(cost $74,918,252)

      74,918,252          74,918,252  
       

 

 

  

Total Investments - 99.8%
(cost $790,415,917) (f)

           1,028,966,727  

Other assets less liabilities - 0.2%

           2,086,529  
       

 

 

  

Net Assets - 100.0%

         $ 1,031,053,256  
       

 

 

  

FORWARD CURRENCY EXCHANGE CONTRACTS

 

Counterparty

    Contracts to
Deliver
(000)		      In Exchange
For
(000)		      Settlement
Date		      Unrealized
Appreciation/
(Depreciation)		  

Bank of America, NA

    USD      3,500      RUB      225,797        11/14/19      $ 17,182  

Bank of America, NA

    JPY      1,438,410      USD      13,399        12/16/19        44,134  

Bank of America, NA

    USD      4,119      CAD      5,449        12/16/19        18,961  

Barclays Bank PLC

    BRL      20,789      USD      4,992        11/04/19        (191,687 ) 

Barclays Bank PLC

    USD      5,192      BRL      20,789        11/04/19        (8,285 ) 

Barclays Bank PLC

    EUR      15,609      USD      17,330        12/16/19        (128,927 ) 

Barclays Bank PLC

    USD      16,429      AUD      23,905        12/16/19        68,562  

Barclays Bank PLC

    USD      26,182      CAD      34,444        12/16/19        (24,937 ) 

Barclays Bank PLC

    USD      5,143      EUR      4,647        12/16/19        55,239  

Barclays Bank PLC

    INR      145,730      USD      2,034        1/16/20        1,284  

Barclays Bank PLC

    INR      2,811,056      USD      39,021        1/16/20        (195,833 ) 

Barclays Bank PLC

    CNY      96,200      USD      13,506        2/13/20        (115,228 ) 

Barclays Bank PLC

    USD      1,529      CNY      10,824        2/13/20        3,886  

BNP Paribas SA

    CHF      5,790      USD      5,878        12/16/19        (10,478 ) 

BNP Paribas SA

    USD      3,496      AUD      5,079        12/16/19        8,767  

Citibank, NA

    BRL      12,265      USD      3,063        11/04/19        4,888  

Citibank, NA

    USD      2,944      BRL      12,265        11/04/19        113,798  

Citibank, NA

    USD      12,240      TWD      380,531        11/27/19        279,155  

Citibank, NA

    EUR      3,588      USD      4,016        12/16/19        2,584  

Citibank, NA

    EUR      5,513      USD      6,061        12/16/19        (105,337 ) 

Citibank, NA

    HKD      48,542      USD      6,193        12/16/19        (169 ) 

Citibank, NA

    USD      10,455      EUR      9,409        12/16/19        69,462  

Citibank, NA

    USD      7,908      GBP      6,368        12/16/19        352,635  

Citibank, NA

    USD      13,120      KRW      15,339,787        2/06/20        18,141  

Goldman Sachs Bank USA

    USD      8,819      GBP      7,041        12/16/19        313,939  

JPMorgan Chase Bank, NA

    BRL      8,524      USD      2,129        11/04/19        3,397  

JPMorgan Chase Bank, NA

    USD      2,137      BRL      8,524        11/04/19        (11,456 ) 

Natwest Markets PLC

    EUR      4,678      USD      5,211        12/16/19        (21,037 ) 

Natwest Markets PLC

    GBP      1,107      USD      1,427        12/16/19        (8,506 ) 

Natwest Markets PLC

    USD      5,761      EUR      5,218        12/16/19        75,536  

Natwest Markets PLC

    USD      1,844      GBP      1,437        12/16/19        19,786  

Natwest Markets PLC

    USD      13,645      JPY      1,438,410        12/16/19        (289,758 ) 

Natwest Markets PLC

    USD      2,749      MXN      54,520        12/16/19        66,879  

State Street Bank & Trust Co.

    EUR      2,488      USD      2,784        12/16/19        1,550  

State Street Bank & Trust Co.

    USD      6,968      EUR      6,319        12/16/19        100,175  

State Street Bank & Trust Co.

    USD      7,144      EUR      6,379        12/16/19        (8,714 ) 

State Street Bank & Trust Co.

    USD      15,433      GBP      12,485        12/16/19        761,816  

State Street Bank & Trust Co.

    USD      1,391      NOK      12,435        12/16/19        (38,332 ) 

State Street Bank & Trust Co.

    USD      6,025      SEK      58,180        12/16/19        14,843  

State Street Bank & Trust Co.

    USD      3,604      ZAR      53,675        12/17/19        (72,612 ) 

UBS AG

    EUR      117,233      USD      130,400        12/16/19        (728,601 ) 
                 

 

 

  
   $ 456,702  
                 

 

 

  

(a)

Non-income producing security.

(b)

Represents entire or partial securities out on loan.

(c)

Affiliated investments.

(d)

The rate shown represents the 7-day yield as of period end.

(e)

To obtain a copy of the fund’s shareholder report, please go to the Securities and Exchange Commission’s website at www.sec.gov, or call AB at (800) 227-4618.

(f)

As of October 31, 2019, the cost basis of investment securities owned was substantially identical for both book and tax purposes. Gross unrealized appreciation of investments was $268,212,783 and gross unrealized depreciation of investments was $(29,205,271), resulting in net unrealized appreciation of $239,007,512..

Please note: The sector classifications presented herein are based on the Global Industry Classification Standard (GICS) which was developed by Morgan Stanley Capital International and Standard & Poor’s. The components are divided into sector, industry group, and industry sub-indices as classified by the GICS for each of the market capitalization indices in the broad market.

Currency Abbreviations:

 

AUD    -    Australian Dollar
BRL    -    Brazilian Real
CAD    -    Canadian Dollar
CHF    -    Swiss Franc
CNY    -    Chinese Yuan Renminbi
EUR    -    Euro
GBP    -    Great British Pound
HKD    -    Hong Kong Dollar
INR    -    Indian Rupee
JPY    -    Japanese Yen
KRW    -    South Korean Won
MXN    -    Mexican Peso
NOK    -    Norwegian Krone
RUB    -    Russian Ruble
SEK    -    Swedish Krona
TWD    -    New Taiwan Dollar
USD    -    United States Dollar
ZAR    -    South African Rand

Glossary:

 

ADR    -    American Depositary Receipt

Country Breakdown1

October 31, 2019 (unaudited)

 

  45.5%       

United States

  6.9%       

Japan

  5.7%       

Ireland

  5.2%       

India

  5.1%       

Germany

  4.7%       

China

  4.5%       

France

  3.4%       

Switzerland

  3.4%       

Denmark

  3.3%       

Netherlands

  1.9%       

Hong Kong

  1.7%       

United Kingdom

  1.4%       

Brazil

  7.3%       

Short-Term

 

 

       
  100.0%       

Total Investments

 

 

       

 

1

All data are as of October 31, 2019. The Fund’s country breakdown is expressed as a percentage of total investments and may vary over time.

AB Sustainable Global Thematic Fund

October 31, 2019 (unaudited)

In accordance with U.S. GAAP regarding fair value measurements, fair value is defined as the price that the Fund would receive to sell an asset or pay to transfer a liability in an orderly transaction between market participants at the measurement date. U.S. GAAP establishes a framework for measuring fair value, and a three-level hierarchy for fair value measurements based upon the transparency of inputs to the valuation of an asset or liability (including those valued based on their market values). Inputs may be observable or unobservable and refer broadly to the assumptions that market participants would use in pricing the asset or liability. Observable inputs reflect the assumptions market participants would use in pricing the asset or liability based on market data obtained from sources independent of the Fund. Unobservable inputs reflect the Fund’s own assumptions about the assumptions that market participants would use in pricing the asset or liability based on the best information available in the circumstances. Each investment is assigned a level based upon the observability of the inputs which are significant to the overall valuation. The three-tier hierarchy of inputs is summarized below.

 

  •  

Level 1—quoted prices in active markets for identical investments

  •  

Level 2—other significant observable inputs (including quoted prices for similar investments, interest rates, prepayment speeds, credit risk, etc.)

  •  

Level 3—significant unobservable inputs (including the Fund’s own assumptions in determining the fair value of investments)

Where readily available market prices or relevant bid prices are not available for certain equity investments, such investments may be valued based on similar publicly traded investments, movements in relevant indices since last available prices or based upon underlying company fundamentals and comparable company data (such as multiples to earnings or other multiples to equity). Where an investment is valued using an observable input, by pricing vendors, such as another publicly traded security, the investment will be classified as Level 2. If management determines that an adjustment is appropriate based on restrictions on resale, illiquidity or uncertainty, and such adjustment is a significant component of the valuation, the investment will be classified as Level 3. An investment will also be classified as Level 3 where management uses company fundamentals and other significant inputs to determine the valuation.

The following table summarizes the valuation of the Fund’s investments by the above fair value hierarchy levels as of October 31, 2019:

 

Investments in Securities:

    Level 1     Level 2     Level 3     Total  

Assets:

 

Common Stocks:

         

Health Care

    $ 145,762,159     $ 82,963,668     $  – 0  –    $ 228,725,827  

Information Technology

      129,075,622       71,912,990       – 0  –      200,988,612  

Industrials

      63,738,618       75,549,922       – 0  –      139,288,540  

Financials

      35,210,047       74,203,055       – 0  –      109,413,102  

Consumer Discretionary

      86,694,490       – 0  –      – 0  –      86,694,490  

Consumer Staples

      39,494,582       20,636,153       – 0  –      60,130,735  

Materials

      25,099,515       27,406,408       – 0  –      52,505,923  

Utilities

      27,420,302       22,813,450       – 0  –      50,233,752  

Real Estate

      14,446,219       – 0  –      – 0  –      14,446,219  

Communication Services

      – 0  –      11,621,275       – 0  –      11,621,275  

Short-Term Investments

      74,918,252       – 0  –      – 0  –      74,918,252  
  

 

 

    

 

 

    

 

 

    

 

 

  

Total Investments in Securities

      641,859,806       387,106,921 (a)      – 0  –      1,028,966,727  

Other Financial Instruments (b):

         

Assets:

 

Forward Currency Exchange Contracts

      – 0  –      2,416,599       – 0  –      2,416,599  

Liabilities:

 

Forward Currency Exchange Contracts

      – 0  –      (1,959,897 )      – 0  –      (1,959,897 ) 
  

 

 

    

 

 

    

 

 

    

 

 

  

Total

    $     641,859,806     $     387,563,623     $              – 0  –    $     1,029,423,429  
  

 

 

    

 

 

    

 

 

    

 

 

  

 

(a)

A significant portion of the Fund’s foreign equity investments are categorized as Level 2 investments since they are valued using fair value prices based on third party vendor modeling tools to the extent available.

(b)

Other financial instruments are derivative instruments, such as futures, forwards and swaps, which are valued at the unrealized appreciation/(depreciation) on the instrument. Other financial instruments may also include swaps with upfront premiums, options written and swaptions written which are valued at market value.

A summary of the Fund’s transactions in AB mutual funds for the three months ended October 31, 2019 is as follows:

 

     Market Value      Purchases      Sales      Market Value      Dividend  
     7/31/19      at Cost      Proceeds      10/31/19      Income  

Fund

    (000)      (000)      (000)      (000)      (000)  

Government Money Market Portfolio

    $ 39,175      $ 55,213      $ 19,470      $ 74,918      $ 245  

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘NPORT-P’ Filing    Date    Other Filings
Filed on:12/23/19
For Period end:10/31/19485BPOS,  497,  497K
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