0001301540-11-000004.txt : 20110513 0001301540-11-000004.hdr.sgml : 20110513 20110513101308 ACCESSION NUMBER: 0001301540-11-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 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: 11838324 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 rpa13f03312011.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: March 31, 2011 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 05-12-2011 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: 79 Form 13F Information Table Value Total: 188,278 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 3457 142913 SOLE 135038 NONE 7875 Accenture SHS CLASS A G1151C101 6323 115025 SOLE 107560 NONE 7465 Advanced Energy COM 007973100 1964 120125 SOLE 114425 NONE 5700 AES COM 00130H105 778 59856 SOLE 53123 NONE 6733 Agco COM 001084102 2568 46719 SOLE 43234 NONE 3485 Altria Group COM 02209S103 230 8817 SOLE 8817 NONE 0 Ameron International COM 030710107 5082 72817 SOLE 67590 NONE 5227 Anadarko Petroleum COM 032511107 2953 36045 SOLE 34405 NONE 1640 Annaly Capital Mgmt COM 035710409 4271 244765 SOLE 230555 NONE 14210 Ascent Media Corp COM SER A 043632108 1957 40053 SOLE 37848 NONE 2205 Bank of America COM 060505104 2829 212260 SOLE 197250 NONE 15010 Barrick Gold COM 067901108 3529 67990 SOLE 63955 NONE 4035 Capitol Federal Financial COM 14057J101 2273 201688 SOLE 183810 NONE 17878 Chart Industries COM 16115Q308 6110 111010 SOLE 104065 NONE 6945 ChevronTexaco COM 166764100 1586 14758 SOLE 14758 NONE 0 Chiquita Banana COM 170032809 3268 213022 SOLE 197812 NONE 15210 Covidien SHS G2554F113 3599 69299 SOLE 64489 NONE 4810 Deere COM 244199105 2049 21150 SOLE 20110 NONE 1040 Devon Energy COM 25179M103 5492 59848 SOLE 56661 NONE 3187 Dominion Resources COM 25746U109 268 6000 SOLE 6000 NONE 0 DuPont COM 263534109 284 5161 SOLE 4661 NONE 500 Eastman Chemical COM 277432100 311 3133 SOLE 3133 NONE 0 Ecolab COM 278865100 526 10300 SOLE 10300 NONE 0 Eldorado Gold COM 284902103 195 12000 SOLE 12000 NONE 0 Emerson Electric COM 291011104 314 5376 SOLE 5376 NONE 0 Esco Technologies COM 296315104 1029 26985 SOLE 25010 NONE 1975 Exxon Mobil COM 30231G102 1959 23291 SOLE 19804 NONE 3487 Flow International COM 343468104 2336 532200 SOLE 503000 NONE 29200 Fluor Corporation COM 343412102 4026 54658 SOLE 50633 NONE 4025 General Electric COM 369604103 959 47809 SOLE 42692 NONE 5117 General Mills COM 370334104 895 24500 SOLE 24500 NONE 0 GM Mandatory Preferred JR PFD CNV SRB 37045V209 3197 66420 SOLE 61670 NONE 4750 Goldcorp COM 380956409 299 6000 SOLE 6000 NONE 0 Green Mountain Coffee COM 393122106 2590 40080 SOLE 35680 NONE 4400 H&Q Life Sciences SH BEN INT 404053100 446 37071 SOLE 35230 NONE 1841 Headwaters COM 42210P102 1762 298585 SOLE 276315 NONE 22270 Hugoton Royalty Trust UNIT BEN INT 444717102 2735 114995 SOLE 107085 NONE 7910 Imperial Oil COM NEW 453038408 255 5000 SOLE 5000 NONE 0 International Business Machine COM 459200101 521 3194 SOLE 2928 NONE 266 iShares Barclays TIPS BARCLYS TIPS BD 464287176 2101 19245 SOLE 18715 NONE 530 J. M. Smucker COM 832696405 307 4299 SOLE 4106 NONE 193 Japan Smaller Cap Fund COM 47109U104 238 26150 SOLE 24400 NONE 1750 Johnson & Johnson COM 478160104 3407 57499 SOLE 53084 NONE 4415 Kinross Gold COM NO PAR 496902404 4389 278685 SOLE 264625 NONE 14060 Ladenburg Thalmann Financial S COM 50575Q102 35 30000 SOLE 30000 NONE 0 Layne Christensen COM 521050104 5050 146385 SOLE 136780 NONE 9605 LSB Industries COM 502160104 6176 155802 SOLE 146507 NONE 9295 Metabolix COM 591018809 3291 313124 SOLE 293304 NONE 19820 MFS Charter Income Trust SH BEN INT 552727109 100 10900 SOLE 8900 NONE 2000 MFS Multi Market Income SH BEN INT 552737108 121 18000 SOLE 18000 NONE 0 Microsoft COM 594918104 3952 155648 SOLE 144561 NONE 11087 National Oilwell Varco COM 637071101 6542 82523 SOLE 76908 NONE 5615 Newmont Mining COM 651639106 2436 44630 SOLE 42070 NONE 2560 Northgate Minerals COM 666416102 41 15000 SOLE 15000 NONE 0 NorthWestern Energy COM 668074305 2963 97789 SOLE 90194 NONE 7595 NTT Docomo SPONS ADR 62942M201 3861 219479 SOLE 205104 NONE 14375 Nuance Communications COM 67020Y100 3331 170397 SOLE 158567 NONE 11830 Overhill Farms COM 690212105 1329 218620 SOLE 206420 NONE 12200 PDL Biopharma COM 69329Y104 1634 281642 SOLE 264662 NONE 16980 Pearson Plc SPONSORED ADR 705015105 2356 132370 SOLE 123250 NONE 9120 Penn West Petroleum Ltd COM 707887105 1207 43585 SOLE 40485 NONE 3100 People's United Financial COM 712704105 1569 124700 SOLE 114740 NONE 9960 Pepsico COM 713448108 243 3771 SOLE 3521 NONE 250 Philip Morris Intl Inc COM 718172109 539 8217 SOLE 8217 NONE 0 Platinum Group Metals COM 72765Q205 37 18800 SOLE 18800 NONE 0 Procter & Gamble COM 742718109 1637 26569 SOLE 24450 NONE 2119 Quanta Services Inc COM 74762E102 3919 174730 SOLE 164530 NONE 10200 Streetracks Gold Trust GOLD SHS 78463V107 2595 18556 SOLE 17706 NONE 850 Stryker COM 863667101 4624 76055 SOLE 70770 NONE 5285 SunOpta COM 8676EP108 5091 685150 SOLE 643750 NONE 41400 Symantec COM 871503108 3605 194421 SOLE 181531 NONE 12890 Telvent GIT S.A. SHS E90215109 2725 93618 SOLE 87138 NONE 6480 Templeton Global Income COM 880198106 1537 146497 SOLE 138197 NONE 8301 TJX Companies COM 872540109 2848 57279 SOLE 53729 NONE 3550 Vanguard Short-Term Bond SHORT TRM BOND 921937827 1196 14919 SOLE 13919 NONE 1000 Veolia Environnement SPONSORED ADR 92334N103 1549 49703 SOLE 46853 NONE 2850 Vodafone Plc ADR SPONS ADR 92857W209 4269 148500 SOLE 138244 NONE 10256 W. P. Carey COM 92930Y107 6977 195445 SOLE 183015 NONE 12430 Williams COM 969457100 3226 103465 SOLE 95855 NONE 7610