-----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, Lmrf88s3LzlNBiwVqeUhIab/Za2I1qKRsknV8+qNgmLjv7PfomPeQqCEMCiJSEr/ pwQuZDEZN4MJ1PcCQYJkLw== 0001301540-11-000002.txt : 20110215 0001301540-11-000002.hdr.sgml : 20110215 20110215090937 ACCESSION NUMBER: 0001301540-11-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110215 DATE AS OF CHANGE: 20110215 EFFECTIVENESS DATE: 20110215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Rock Point Advisors, LLC CENTRAL INDEX KEY: 0001301540 IRS NUMBER: 201192730 STATE OF INCORPORATION: VT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11103 FILM NUMBER: 11612529 BUSINESS ADDRESS: STREET 1: ONE LAWSON LANE STREET 2: SUITE 125 CITY: BURLINGTON STATE: VT ZIP: 05401 BUSINESS PHONE: 802-864-2266 MAIL ADDRESS: STREET 1: P.O. BOX 700 CITY: BURLINGTON STATE: VT ZIP: 05402-0700 13F-HR 1 rpa13f12312010.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: December 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: Rock Point Advisors, LLC Address: 1 Lawson Lane P.O. Box 700 Burlington, VT 05402 Form 13F File Number: 28-11103 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Evan I. Pemberton Title: Chief Compliance Officer Phone: 802-864-2266 Signature, Place, and Date of Signing: Evan I. Pemberton Burlington, VT 02-14-2011 Report type (Check only one.): [x] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: none FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: NONE Form 13F Information Table Entry Total: 85 Form 13F Information Table Value Total: 178,929 List of Other Included Managers: NONE FORM 13F INFORMATION TABLE VALUE INVESTMENT VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) SHRS DISCRETION SOLE SHARED NONE - -------------------------------- ---------------- ----------- ----------- -------- ---------- -------- ---------- -------- ABB Ltd ADR SPONSORED ADR 000375204 3214 143173 SOLE 135298 7875 Accenture SHS CLASS A G1151C101 5475 112920 SOLE 105455 7465 Advanced Energy COM 007973100 757 55505 SOLE 53655 1850 AES COM 00130H105 730 59936 SOLE 53203 6733 Agco COM 001084102 2454 48439 SOLE 44854 3585 Altria Group COM 02209S103 217 8817 SOLE 8817 0 Ameron International COM 030710107 5378 70427 SOLE 65200 5227 Anadarko Petroleum COM 032511107 2845 37350 SOLE 35710 1640 Annaly Capital Mgmt COM 035710409 4175 233005 SOLE 218945 14060 Ascent Media Corp COM SER A 043632108 1563 40323 SOLE 38077 2246 Bank of America COM 060505104 2746 205850 SOLE 190840 15010 Barrick Gold COM 067901108 1738 32690 SOLE 32305 385 Capitol Federal Financial COM 14057C106 2376 199506 SOLE 181628 17878 Chart Industries COM 16115Q308 4070 120480 SOLE 113410 7070 ChevronTexaco COM 166764100 1392 15258 SOLE 15258 0 Chiquita Banana COM 170032809 3040 216847 SOLE 201137 15710 Covidien SHS G2554F105 3285 71954 SOLE 67164 4790 Deere COM 244199105 1849 22260 SOLE 21220 1040 Devon Energy COM 25179M103 4723 60163 SOLE 56976 3187 Dominion Resources COM 25746U109 256 6000 SOLE 6000 0 DuPont COM 263534109 257 5161 SOLE 4661 500 Eastman Chemical COM 277432100 305 3633 SOLE 3633 0 Eldorado Gold COM 284902103 223 12000 SOLE 12000 0 Emerson Electric COM 291011104 319 5576 SOLE 5576 0 Esco Technologies COM 296315104 1010 26690 SOLE 24715 1975 Exxon Mobil COM 30231G102 1712 23411 SOLE 19924 3487 Flow International COM 343468104 2171 530855 SOLE 501655 29200 Fluor Corporation COM 343412102 3722 56173 SOLE 52048 4125 General Electric COM 369604103 726 39679 SOLE 34562 5117 General Mills COM 370334104 908 25500 SOLE 25500 0 Goldcorp COM 380956409 276 6000 SOLE 6000 0 Green Mountain Coffee COM 393122106 2168 65970 SOLE 60020 5950 H&Q Life Sciences SH BEN INT 404053100 457 42473 SOLE 40432 2041 Headwaters COM 42210P102 1383 301860 SOLE 279590 22270 Hugoton Royalty Trust UNIT BEN INT 444717102 2357 114870 SOLE 106960 7910 Imperial Oil COM NEW 453038408 203 5000 SOLE 5000 0 International Business Machine COM 459200101 472 3219 SOLE 2953 266 iShares Barclays TIPS BARCLYS TIPS BD 464287176 2287 21275 SOLE 20495 780 J. M. Smucker COM 832696405 282 4299 SOLE 4106 193 Japan Smaller Cap Fund COM 47109U104 333 37150 SOLE 32300 4850 Johnson & Johnson COM 478160104 3944 63768 SOLE 58703 5065 Kinross Gold COM NO PAR 496902404 4423 233290 SOLE 220330 12960 Kraft Foods CL A 50075N104 210 6677 SOLE 6677 0 Kroger COM 501044101 2909 130118 SOLE 119923 10195 Ladenburg Thalmann Financial S COM 50575Q102 35 30000 SOLE 30000 0 Layne Christensen COM 521050104 5019 145810 SOLE 136205 9605 LSB Industries COM 502160104 5510 227130 SOLE 213505 13625 Martek COM 572901106 4990 159409 SOLE 147944 11465 Merck COM 58933Y105 206 5721 SOLE 5543 178 Metabolix COM 591018809 3634 298619 SOLE 278799 19820 MFS Charter Income Trust SH BEN INT 552727109 103 10900 SOLE 8900 2000 MFS Multi Market Income SH BEN INT 552737108 145 21000 SOLE 21000 0 Microsoft COM 594918104 4112 147323 SOLE 136686 10637 National Oilwell Varco COM 637071101 6480 96363 SOLE 89718 6645 Newmont Mining COM 651639106 1628 26500 SOLE 25040 1460 Northgate Minerals COM 666416102 48 15000 SOLE 15000 0 NorthWestern Energy COM 668074305 2809 97439 SOLE 89844 7595 NTT Docomo SPONS ADR 62942M201 3628 208239 SOLE 193864 14375 Nuance Communications COM 67020Y100 3043 167387 SOLE 155407 11980 Overhill Farms COM 690212105 971 168570 SOLE 162520 6050 PDL Biopharma COM 69329Y104 1647 264412 SOLE 247432 16980 Pearson Plc SPONSORED ADR 705015105 2122 133515 SOLE 124395 9120 Penn West Petroleum Ltd TR UNIT 707887105 1161 48550 SOLE 45450 3100 People's United Financial COM 712704105 1712 122174 SOLE 112214 9960 Pepsico COM 713448108 259 3971 SOLE 3721 250 Pfizer COM 717081103 182 10382 SOLE 10382 0 Philip Morris Intl Inc COM 718172109 481 8217 SOLE 8217 0 Pike Electric COM 721283109 955 111260 SOLE 104985 6275 Platinum Group Metals COM 72765Q205 50 18800 SOLE 18800 0 Procter & Gamble COM 742718109 1709 26569 SOLE 24450 2119 Quanta Services Inc COM 74762E102 3438 172590 SOLE 162990 9600 Rock of Ages CL A 772632105 135 25788 SOLE 25788 0 Streetracks Gold Trust GOLD SHS 78463V107 2183 15736 SOLE 14886 850 Stryker COM 863667101 4100 76350 SOLE 70865 5485 SunOpta COM 8676EP108 5187 663290 SOLE 622940 40350 Symantec COM 871503108 3265 195056 SOLE 181566 13490 Telvent GIT S.A. SHS E90215109 2502 94683 SOLE 88203 6480 Templeton Global Income COM 880198106 2173 203095 SOLE 190629 12467 TJX Companies COM 872540109 2542 57254 SOLE 53704 3550 Vanguard Intermediate-Term Bon INTERMED TERM 921937819 247 2990 SOLE 2590 400 Vanguard Short-Term Bond SHORT TRM BOND 921937827 1221 15179 SOLE 14179 1000 Veolia Environnement SPONSORED ADR 92334N103 1430 48718 SOLE 45893 2825 Vodafone Plc ADR SPONS ADR 92857W209 3875 146550 SOLE 136294 10256 W. P. Carey COM 92930Y107 6080 194305 SOLE 181860 12445 Williams COM 969457100 2572 104035 SOLE 96425 7610
-----END PRIVACY-ENHANCED MESSAGE-----