0001301540-12-000002.txt : 20120214
0001301540-12-000002.hdr.sgml : 20120214
20120214130232
ACCESSION NUMBER: 0001301540-12-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
EFFECTIVENESS DATE: 20120214
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: 12606856
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
rpa13f12312011.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, 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 02-14-2012
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: 88
Form 13F Information Table Value Total: 179669
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 3105 164898 SOLE 156948 NONE 7950
Abbott Laboratories COM 002824100 200 3557 SOLE 2657 NONE 900
Accenture SHS CLASS A G1151C101 6010 112897 SOLE 106032 NONE 6865
Adobe Systems COM 00724F101 3426 121185 SOLE 113470 NONE 7715
Advanced Energy COM 007973100 1775 165410 SOLE 155330 NONE 10080
Agco COM 001084102 3820 88899 SOLE 83394 NONE 5505
Agnico Eagle Mines COM 008474108 353 9710 SOLE 9710 NONE 0
Altria Group COM 02209S103 261 8817 SOLE 8817 NONE 0
Anadarko Petroleum COM 032511107 2653 34760 SOLE 33365 NONE 1395
Ascent Media Corp COM SER A 043632108 320 6302 SOLE 5732 NONE 570
Bank of America COM 060505104 619 111371 SOLE 105421 NONE 5950
Barrick Gold COM 067901108 3665 80995 SOLE 76960 NONE 4035
Best Buy COM 086516101 3654 156335 SOLE 145560 NONE 10775
Capitol Federal Financial COM 14057J101 2565 222245 SOLE 204367 NONE 17878
Chart Industries COM PAR 16115Q308 5340 98760 SOLE 93285 NONE 5475
ChevronTexaco COM 166764100 1325 12455 SOLE 12455 NONE 0
Chiquita Banana COM 170032809 1992 238829 SOLE 224419 NONE 14410
Cisco Systems COM 17275R102 5185 286755 SOLE 266070 NONE 20685
Coca-Cola COM 191216100 201 2873 SOLE 2340 NONE 533
Covidien SHS G2554F113 3385 75209 SOLE 70399 NONE 4810
Devon Energy COM 25179M103 4154 67008 SOLE 63731 NONE 3277
Dominion Resources COM 25746U109 265 5000 SOLE 5000 NONE 0
DuPont COM 263534109 213 4661 SOLE 4161 NONE 500
Eastman Chemical COM 277432100 245 6266 SOLE 6266 NONE 0
Eaton Vance Floating Rate COM 278279104 218 15335 SOLE 14910 NONE 425
Ecolab COM 278865100 594 10270 SOLE 10270 NONE 0
Eldorado Gold COM 284902103 165 12000 SOLE 12000 NONE 0
Emerson Electric COM 291011104 319 6848 SOLE 6848 NONE 0
Esco Technologies COM 296315104 4045 140565 SOLE 132620 NONE 7945
Exxon Mobil COM 30231G102 2417 28520 SOLE 25151 NONE 3369
Flow International COM 343468104 1939 553930 SOLE 523930 NONE 30000
General Electric COM 369604103 899 50209 SOLE 45092 NONE 5117
General Mills COM 370334104 915 22640 SOLE 22640 NONE 0
General Motors COM 37045V100 1204 59408 SOLE 55110 NONE 4298
GM Mandatory Preferred JR PFD CNV SRB 37045V209 3814 111370 SOLE 104425 NONE 6945
Goldcorp COM 380956409 266 6000 SOLE 6000 NONE 0
Green Mountain Coffee COM 393122106 6144 136991 SOLE 128201 NONE 8790
Headwaters COM 42210P102 1780 801724 SOLE 747834 NONE 53890
Hugoton Royalty Trust UNIT BEN INT 444717102 2115 112270 SOLE 105590 NONE 6680
Imperial Oil COM NEW 453038408 222 5000 SOLE 5000 NONE 0
ING Prime Rate Trust SH BEN INT 44977W106 91 17925 SOLE 17925 NONE 0
International Business Machine COM 459200101 599 3258 SOLE 2992 NONE 266
J. M. Smucker COM NEW 832696405 321 4111 SOLE 4048 NONE 63
Japan Smaller Cap Fund COM 47109U104 242 33744 SOLE 31410 NONE 2334
Johnson & Johnson COM 478160104 351 5357 SOLE 4757 NONE 600
Kinross Gold COM NO PAR 496902404 2772 243175 SOLE 231965 NONE 11210
Kraft Foods CL A 50075N104 217 5810 SOLE 5810 NONE 0
Ladenburg Thalmann Financial S COM 50575Q102 74 30000 SOLE 30000 NONE 0
Layne Christensen COM 521050104 4742 195970 SOLE 184375 NONE 11595
LSB Industries COM 502160104 5284 188517 SOLE 177342 NONE 11175
M.S. Emerging Markets Debt Fun COM 61744H105 130 12440 SOLE 12440 NONE 0
Market Vectors Gold Miners ETF GOLD MINER ETF 57060U100 2923 56825 SOLE 53575 NONE 3250
Merck COM 58933Y105 203 5391 SOLE 5213 NONE 178
Metabolix COM 591018809 1951 428855 SOLE 406725 NONE 22130
MFS Charter Income Trust SH BEN INT 552727109 100 10900 SOLE 8900 NONE 2000
MFS Multi Market Income SH BEN INT 552737108 74 11000 SOLE 11000 NONE 0
Microsoft COM 594918104 5781 222699 SOLE 209407 NONE 13292
Monmouth Real Estate Investmen CL A 609720107 2701 295170 SOLE 267970 NONE 27200
MS Emerging Mkts Debt COM 617477104 142 10045 SOLE 10045 NONE 0
National Oilwell Varco COM 637071101 5587 82173 SOLE 76918 NONE 5255
NETWORK ENGINES INC COM 64121A107 58 60000 SOLE 60000 NONE 0
Newmont Mining COM 651639106 2894 48222 SOLE 46332 NONE 1890
Nokia Corp Spon Adr SPONSORED ADR 654902204 2285 474050 SOLE 445410 NONE 28640
NTT Docomo SPONS ADR 62942M201 4196 228639 SOLE 214839 NONE 13800
Overhill Farms COM 690212105 2103 566725 SOLE 544525 NONE 22200
Pearson Plc SPONSORED ADR 705015105 2197 116410 SOLE 108340 NONE 8070
Penn West Petroleum Ltd COM 707887105 995 50270 SOLE 47170 NONE 3100
People's United Financial COM 712704105 4080 317519 SOLE 292494 NONE 25025
Pepsico COM 713448108 256 3858 SOLE 3608 NONE 250
Philip Morris Intl Inc COM 718172109 652 8307 SOLE 8307 NONE 0
Platinum Group Metals COM NEW 72765Q205 23 26800 SOLE 26800 NONE 0
Procter & Gamble COM 742718109 1814 27187 SOLE 25068 NONE 2119
Quanta Services Inc COM 74762E102 4109 190780 SOLE 180260 NONE 10520
RF MICRO DEVICES INC COM 749941100 86 16000 SOLE 16000 NONE 0
Streetracks Gold Trust GOLD SHS 78463V107 477 3210 SOLE 3210 NONE 0
Stryker COM 863667101 4217 84840 SOLE 79605 NONE 5235
SunOpta COM 8676EP108 3629 752860 SOLE 709660 NONE 43200
Symantec COM 871503108 3086 197218 SOLE 185393 NONE 11825
TELLABS INC COM 879664100 40 10000 SOLE 10000 NONE 0
Templeton Global Income COM 880198106 1178 124671 SOLE 116371 NONE 8301
TJX Companies COM 872540109 3728 57749 SOLE 54279 NONE 3470
TOREADOR RESOURCES CORP COM 891050106 196 38000 SOLE 38000 NONE 0
TRIANGLE PETROLEUM CORP COM NEW 89600B201 90 15000 SOLE 15000 NONE 0
Vanguard Short-Term Bond SHORT TRM BOND 921937827 983 12160 SOLE 11410 NONE 750
Veolia Environnement SPONSORED ADR 92334N103 1690 152940 SOLE 144690 NONE 8250
Vodafone Plc ADR SPONS ADR NEW 92857W209 5819 207608 SOLE 195387 NONE 12221
W. P. Carey COM 92930Y107 7730 188815 SOLE 177725 NONE 11090
Williams COM 969457100 4986 151000 SOLE 140995 NONE 10005