0001301540-11-000008.txt : 20111114
0001301540-11-000008.hdr.sgml : 20111111
20111114131748
ACCESSION NUMBER: 0001301540-11-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
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: 111200321
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
rpa13f09302011.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: September 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 11-14-2011
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: 77
Form 13F Information Table Value Total: 170669
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 2812 164613 SOLE 156538 NONE 8075
Accenture SHS CLASS A G1151C101 6097 115732 SOLE 108617 NONE 7115
Adobe Systems COM 00724F101 1763 72935 SOLE 70210 NONE 2725
Advanced Energy COM 007973100 1690 196060 SOLE 185980 NONE 10080
AES COM 00130H105 798 81776 SOLE 73543 NONE 8233
Agco COM 001084102 3080 89094 SOLE 83399 NONE 5695
Altria Group COM 02209S103 236 8817 SOLE 8817 NONE 0
Ameron International COM 030710107 5382 63367 SOLE 60042 NONE 3325
Anadarko Petroleum COM 032511107 2430 38545 SOLE 36905 NONE 1640
Ascent Media Corp COM SER A 043632108 1508 38346 SOLE 36471 NONE 1875
Bank of America COM 060505104 1424 232723 SOLE 216313 NONE 16410
Barrick Gold COM 067901108 3602 77210 SOLE 73175 NONE 4035
Best Buy COM 086516101 3838 164700 SOLE 153840 NONE 10860
Capitol Federal Financial COM 14057J101 2379 225258 SOLE 207380 NONE 17878
Chart Industries COM PAR 16115Q308 3872 91795 SOLE 86565 NONE 5230
ChevronTexaco COM 166764100 1275 13770 SOLE 13770 NONE 0
Chiquita Banana COM 170032809 2100 251759 SOLE 236549 NONE 15210
Cisco Systems COM 17275R102 4460 287730 SOLE 267045 NONE 20685
Covidien SHS G2554F113 3344 75819 SOLE 71009 NONE 4810
Devon Energy COM 25179M103 3794 68438 SOLE 64861 NONE 3577
Dominion Resources COM 25746U109 305 6000 SOLE 6000 NONE 0
Eastman Chemical COM 277432100 215 3133 SOLE 3133 NONE 0
Ecolab COM 278865100 504 10300 SOLE 10300 NONE 0
Eldorado Gold COM 284902103 206 12000 SOLE 12000 NONE 0
Emerson Electric COM 291011104 229 5548 SOLE 5548 NONE 0
Esco Technologies COM 296315104 3463 135815 SOLE 127520 NONE 8295
Exxon Mobil COM 30231G102 1672 23020 SOLE 19651 NONE 3369
Flow International COM 343468104 1311 593325 SOLE 563125 NONE 30200
General Electric COM 369604103 728 47809 SOLE 42692 NONE 5117
General Mills COM 370334104 871 22640 SOLE 22640 NONE 0
General Motors COM 37045V100 281 13905 SOLE 13759 NONE 146
GM Mandatory Preferred JR PFD CNV SRB 37045V209 4401 125466 SOLE 117781 NONE 7685
Goldcorp COM 380956409 274 6000 SOLE 6000 NONE 0
Green Mountain Coffee COM 393122106 2949 31725 SOLE 27525 NONE 4200
Headwaters COM 42210P102 1427 991155 SOLE 928315 NONE 62840
Hugoton Royalty Trust UNIT BEN INT 444717102 2157 101360 SOLE 94850 NONE 6510
International Business Machine COM 459200101 550 3144 SOLE 2878 NONE 266
J. M. Smucker COM NEW 832696405 300 4111 SOLE 4048 NONE 63
Japan Smaller Cap Fund COM 47109U104 255 34278 SOLE 31944 NONE 2334
Johnson & Johnson COM 478160104 354 5557 SOLE 4957 NONE 600
Kinross Gold COM NO PAR 496902404 4546 307575 SOLE 293265 NONE 14310
Kraft Foods CL A 50075N104 201 5989 SOLE 5989 NONE 0
Ladenburg Thalmann Financial S COM 50575Q102 47 30000 SOLE 30000 NONE 0
Layne Christensen COM 521050104 4490 194380 SOLE 182885 NONE 11495
LSB Industries COM 502160104 4510 157297 SOLE 148037 NONE 9260
M.S. Emerging Markets Debt Fun COM 61744H105 120 12440 SOLE 12440 NONE 0
Market Vectors Gold Miners ETF GOLD MINER ETF 57060U100 2480 44935 SOLE 42560 NONE 2375
Metabolix COM 591018809 1780 406349 SOLE 385069 NONE 21280
MFS Charter Income Trust SH BEN INT 552727109 93 10900 SOLE 8900 NONE 2000
MFS Multi Market Income SH BEN INT 552737108 69 11000 SOLE 11000 NONE 0
Microsoft COM 594918104 5700 228989 SOLE 215217 NONE 13772
Monmouth Real Estate Investmen CL A 609720107 2168 273340 SOLE 250740 NONE 22600
National Oilwell Varco COM 637071101 4617 90143 SOLE 84248 NONE 5895
Newmont Mining COM 651639106 2992 47525 SOLE 44965 NONE 2560
Northgate Minerals COM 666416102 50 15000 SOLE 15000 NONE 0
NorthWestern Energy COM NEW 668074305 3185 99729 SOLE 92134 NONE 7595
NTT Docomo SPONS ADR 62942M201 4117 225489 SOLE 211114 NONE 14375
Overhill Farms COM 690212105 1754 473920 SOLE 451720 NONE 22200
Pearson Plc SPONSORED ADR 705015105 2296 131115 SOLE 122595 NONE 8520
Penn West Petroleum Ltd COM 707887105 793 53675 SOLE 50575 NONE 3100
People's United Financial COM 712704105 3739 327940 SOLE 302915 NONE 25025
Pepsico COM 713448108 239 3858 SOLE 3608 NONE 250
Philip Morris Intl Inc COM 718172109 518 8307 SOLE 8307 NONE 0
Platinum Group Metals COM NEW 72765Q205 28 26800 SOLE 26800 NONE 0
Procter & Gamble COM 742718109 1688 26721 SOLE 24602 NONE 2119
Quanta Services Inc COM 74762E102 3878 206390 SOLE 195140 NONE 11250
Streetracks Gold Trust GOLD SHS 78463V107 278 1760 SOLE 1760 NONE 0
Stryker COM 863667101 4112 87255 SOLE 81970 NONE 5285
SunOpta COM 8676EP108 3588 727695 SOLE 684495 NONE 43200
Symantec COM 871503108 3320 203706 SOLE 190756 NONE 12950
Templeton Global Income COM 880198106 1349 142747 SOLE 134447 NONE 8301
TJX Companies COM 872540109 3366 60679 SOLE 57129 NONE 3550
Vanguard Short-Term Bond SHORT TRM BOND 921937827 1177 14450 SOLE 13700 NONE 750
Veolia Environnement SPONSORED ADR 92334N103 2584 177490 SOLE 166890 NONE 10600
Vodafone Plc ADR SPONS ADR NEW 92857W209 5360 208878 SOLE 196557 NONE 12321
W. P. Carey COM 92930Y107 7227 198380 SOLE 186540 NONE 11840
Williams COM 969457100 3874 159155 SOLE 149150 NONE 10005