0001301540-11-000006.txt : 20110812
0001301540-11-000006.hdr.sgml : 20110812
20110812160327
ACCESSION NUMBER: 0001301540-11-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110812
DATE AS OF CHANGE: 20110812
EFFECTIVENESS DATE: 20110812
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: 111031384
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
rpa13f06302011.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: June 30, 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 08-12-2011
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: 82
Form 13F Information Table Value Total: 190701
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 3710 142963 SOLE 135088 NONE 7875
Accenture SHS CLASS A G1151C101 6753 111775 SOLE 104650 NONE 7125
Advanced Energy COM 007973100 1834 124035 SOLE 117335 NONE 6700
AES COM 00130H105 770 60466 SOLE 53733 NONE 6733
Agco COM 001084102 2293 46449 SOLE 43064 NONE 3385
Altria Group COM 02209S103 233 8817 SOLE 8817 NONE 0
Ameron International COM 030710107 4933 75102 SOLE 69875 NONE 5227
Anadarko Petroleum COM 032511107 2811 36625 SOLE 34985 NONE 1640
Annaly Capital Mgmt COM 035710409 4473 247925 SOLE 233715 NONE 14210
Ascent Media Corp COM SER A 043632108 2044 38586 SOLE 36611 NONE 1975
Bank of America COM 060505104 2760 251853 SOLE 235443 NONE 16410
Barrick Gold COM 067901108 3351 73980 SOLE 69945 NONE 4035
Best Buy COM 086516101 4915 156470 SOLE 145610 NONE 10860
Capitol Federal Financial COM 14057J101 2468 209893 SOLE 192015 NONE 17878
Chart Industries COM PAR 16115Q308 5782 107105 SOLE 100495 NONE 6610
ChevronTexaco COM 166764100 1411 13723 SOLE 13723 NONE 0
Chiquita Banana COM 170032809 2874 220747 SOLE 205537 NONE 15210
Covidien SHS G2554F113 3829 71934 SOLE 67124 NONE 4810
Deere COM 244199105 1788 21680 SOLE 20640 NONE 1040
Devon Energy COM 25179M103 5004 63498 SOLE 59971 NONE 3527
Dominion Resources COM 25746U109 290 6000 SOLE 6000 NONE 0
DuPont COM 263534109 252 4661 SOLE 4161 NONE 500
Eastman Chemical COM 277432100 320 3133 SOLE 3133 NONE 0
Ecolab COM 278865100 581 10300 SOLE 10300 NONE 0
Eldorado Gold COM 284902103 177 12000 SOLE 12000 NONE 0
Emerson Electric COM 291011104 302 5376 SOLE 5376 NONE 0
Esco Technologies COM 296315104 1018 27670 SOLE 25695 NONE 1975
Exxon Mobil COM 30231G102 1865 22920 SOLE 19433 NONE 3487
Flow International COM 343468104 1946 546590 SOLE 517390 NONE 29200
Fluor Corporation COM 343412102 3653 56503 SOLE 52478 NONE 4025
General Electric COM 369604103 902 47809 SOLE 42692 NONE 5117
General Mills COM 370334104 893 24000 SOLE 24000 NONE 0
General Motors COM 37045V100 416 13693 SOLE 13550 NONE 143
GM Mandatory Preferred JR PFD CNV SRB 37045V209 3410 69965 SOLE 65215 NONE 4750
Goldcorp COM 380956409 290 6000 SOLE 6000 NONE 0
Green Mountain Coffee COM 393122106 2850 31925 SOLE 27525 NONE 4400
Headwaters COM 42210P102 1194 381430 SOLE 355090 NONE 26340
Hugoton Royalty Trust UNIT BEN INT 444717102 2288 100625 SOLE 94115 NONE 6510
Imperial Oil COM NEW 453038408 233 5000 SOLE 5000 NONE 0
International Business Machine COM 459200101 539 3144 SOLE 2878 NONE 266
iShares Barclays TIPS BARCLYS TIPS BD 464287176 1909 17250 SOLE 16820 NONE 430
J. M. Smucker COM NEW 832696405 329 4299 SOLE 4106 NONE 193
Japan Smaller Cap Fund COM 47109U104 215 26150 SOLE 24400 NONE 1750
Johnson & Johnson COM 478160104 1420 21347 SOLE 20352 NONE 995
Kinross Gold COM NO PAR 496902404 4507 285265 SOLE 271205 NONE 14060
Kraft Foods CL A 50075N104 205 5810 SOLE 5810 NONE 0
Ladenburg Thalmann Financial S COM 50575Q102 41 30000 SOLE 30000 NONE 0
Layne Christensen COM 521050104 5450 179620 SOLE 168125 NONE 11495
LSB Industries COM 502160104 6481 150997 SOLE 141897 NONE 9100
M.S. Emerging Markets Debt Fun COM 61744H105 132 12440 SOLE 12440 NONE 0
Metabolix COM 591018809 2334 326919 SOLE 306989 NONE 19930
MFS Charter Income Trust SH BEN INT 552727109 102 10900 SOLE 8900 NONE 2000
MFS Multi Market Income SH BEN INT 552737108 75 11000 SOLE 11000 NONE 0
Microsoft COM 594918104 5650 217297 SOLE 203825 NONE 13472
National Oilwell Varco COM 637071101 6598 84358 SOLE 78743 NONE 5615
Newmont Mining COM 651639106 2467 45710 SOLE 43150 NONE 2560
Northgate Minerals COM 666416102 39 15000 SOLE 15000 NONE 0
NorthWestern Energy COM NEW 668074305 3233 97649 SOLE 90054 NONE 7595
NTT Docomo SPONS ADR 62942M201 4003 223534 SOLE 209159 NONE 14375
Nuance Communications COM 67020Y100 2454 114298 SOLE 107968 NONE 6330
Overhill Farms COM 690212105 1675 300280 SOLE 285430 NONE 14850
Pearson Plc SPONSORED ADR 705015105 2411 126850 SOLE 118330 NONE 8520
Penn West Petroleum Ltd COM 707887105 1062 46030 SOLE 42930 NONE 3100
People's United Financial COM 712704105 2236 166350 SOLE 151290 NONE 15060
Pepsico COM 713448108 266 3771 SOLE 3521 NONE 250
Philip Morris Intl Inc COM 718172109 549 8217 SOLE 8217 NONE 0
Platinum Group Metals COM NEW 72765Q205 33 18800 SOLE 18800 NONE 0
Procter & Gamble COM 742718109 1689 26569 SOLE 24450 NONE 2119
Quanta Services Inc COM 74762E102 3629 179655 SOLE 169355 NONE 10300
Streetracks Gold Trust GOLD SHS 78463V107 2703 18516 SOLE 17666 NONE 850
Stryker COM 863667101 4695 80000 SOLE 74715 NONE 5285
SunOpta COM 8676EP108 4846 681605 SOLE 640205 NONE 41400
Symantec COM 871503108 3836 194521 SOLE 181631 NONE 12890
Telvent GIT S.A. SHS E90215109 3389 85162 SOLE 79917 NONE 5245
Templeton Global Income COM 880198106 1570 142747 SOLE 134447 NONE 8301
TJX Companies COM 872540109 3061 58279 SOLE 54729 NONE 3550
Vanguard Intermediate-Term Bon INTERMED TERM 921937819 201 2395 SOLE 1995 NONE 400
Vanguard Short-Term Bond SHORT TRM BOND 921937827 1222 15084 SOLE 14084 NONE 1000
Veolia Environnement SPONSORED ADR 92334N103 1491 52628 SOLE 49778 NONE 2850
Vodafone Plc ADR SPONS ADR NEW 92857W209 4129 154530 SOLE 144274 NONE 10256
W. P. Carey COM 92930Y107 7736 191040 SOLE 179200 NONE 11840
Williams COM 969457100 3173 104880 SOLE 97270 NONE 7610