0001301540-12-000003.txt : 20120515 0001301540-12-000003.hdr.sgml : 20120515 20120515112803 ACCESSION NUMBER: 0001301540-12-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120515 DATE AS OF CHANGE: 20120515 EFFECTIVENESS DATE: 20120515 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: 12842173 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 rpa13f03312012.txt 13F 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, 2012 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: 77 College Street, 4th Floor 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 05-14-2012 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: 80 Form 13F Information Table Value Total: 190329 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 3408 168293 SOLE 160343 7950 Abbott Laboratories COM 002824100 218 3557 SOLE 2657 900 Accenture SHS CLASS A G1151C101 7233 112147 SOLE 105282 6865 Adobe Systems COM 00724F101 4128 120320 SOLE 112605 7715 Advanced Energy COM 007973100 2110 160855 SOLE 151505 9350 Agco COM 001084102 4167 88259 SOLE 82754 5505 Agnico Eagle Mines COM 008474108 324 9710 SOLE 9710 0 Altria Group COM 02209S103 272 8817 SOLE 8817 0 Anadarko Petroleum COM 032511107 2779 35470 SOLE 34120 1350 Bank of America COM 060505104 751 78513 SOLE 74863 3650 Barrick Gold COM 067901108 3544 81505 SOLE 77470 4035 Best Buy COM 086516101 3677 155285 SOLE 144510 10775 Capitol Federal Financial COM 14057J101 2627 221087 SOLE 203209 17878 Chart Industries COM PAR $.01 16115Q308 5993 81725 SOLE 77090 4635 ChevronTexaco COM 166764100 1262 11775 SOLE 11775 0 Chiquita Banana COM 170032809 2189 249089 SOLE 234679 14410 Cisco Systems COM 17275R102 6027 286115 SOLE 265430 20685 Coca-Cola COM 191216100 213 2873 SOLE 2340 533 Covidien SHS G2554F113 4227 77299 SOLE 72489 4810 Devon Energy COM 25179M103 5205 73183 SOLE 69871 3312 Dominion Resources COM 25746U109 256 5000 SOLE 5000 0 DuPont COM 263534109 231 4361 SOLE 3861 500 Eastman Chemical COM 277432100 303 5866 SOLE 5866 0 Eaton Vance Sr. Floating Rate COM 27828Q105 172 11305 SOLE 11305 0 Ecolab COM 278865100 632 10235 SOLE 10235 0 Eldorado Gold COM 284902103 165 12000 SOLE 12000 0 Emerson Electric COM 291011104 357 6848 SOLE 6848 0 Esco Technologies COM 296315104 5143 139865 SOLE 131920 7945 Exxon Mobil COM 30231G102 2435 28075 SOLE 24781 3294 General Electric COM 369604103 1005 50059 SOLE 44942 5117 General Mills COM 370334104 873 22140 SOLE 22140 0 General Motors COM 37045V100 1524 59408 SOLE 55110 4298 GM Mandatory Preferred JR PFD CNV SRB 37045V209 4738 113225 SOLE 106280 6945 Goldcorp COM 380956409 270 6000 SOLE 6000 0 Green Mountain Coffee COM 393122106 7155 152750 SOLE 143740 9010 Hugoton Royalty Trust UNIT BEN INT 444717102 1736 118240 SOLE 111560 6680 Imperial Oil COM NEW 453038408 227 5000 SOLE 5000 0 ING Prime Rate Trust SH BEN INT 44977W106 102 17925 SOLE 17925 0 International Business Machine COM 459200101 680 3258 SOLE 2992 266 J. M. Smucker COM NEW 832696405 308 3783 SOLE 3720 63 Japan Smaller Cap Fund COM 47109U104 255 32544 SOLE 30210 2334 Johnson & Johnson COM 478160104 373 6417 SOLE 5817 600 Kinross Gold COM NO PAR 496902404 2610 266575 SOLE 255365 11210 Kraft Foods CL A 50075N104 221 5810 SOLE 5810 0 Ladenburg Thalmann Financial S COM 50575Q102 53 30000 SOLE 30000 0 Layne Christensen COM 521050104 5680 255270 SOLE 241350 13920 LSB Industries COM 502160104 7350 188857 SOLE 177682 11175 M.S. Emerging Markets Debt Fun COM 61744H105 135 12440 SOLE 12440 0 Market Vectors Gold Miners ETF GOLD MINER ETF 57060U100 2740 55305 SOLE 52055 3250 Merck COM 58933Y105 207 5391 SOLE 5213 178 MFS Charter Income Trust SH BEN INT 552727109 104 10900 SOLE 8900 2000 MFS Multi Market Income SH BEN INT 552737108 77 11000 SOLE 11000 0 Microsoft COM 594918104 6913 214329 SOLE 201177 13152 Monmouth Real Estate Investmen CL A 609720107 2856 293220 SOLE 266020 27200 National Oilwell Varco COM 637071101 6475 81478 SOLE 76373 5105 Newmont Mining COM 651639106 2553 49802 SOLE 47912 1890 Nokia Corp Spon Adr SPONSORED ADR 654902204 2754 501600 SOLE 472960 28640 NTT Docomo SPONS ADR 62942M201 3885 233069 SOLE 219269 13800 Overhill Farms COM 690212105 2718 603900 SOLE 581300 22600 Pearson Plc SPONSORED ADR 705015105 2162 115360 SOLE 107290 8070 Penn West Petroleum Ltd COM 707887105 980 50070 SOLE 46970 3100 People's United Financial COM 712704105 4296 324744 SOLE 299719 25025 Pepsico COM 713448108 256 3858 SOLE 3608 250 Philip Morris Intl Inc COM 718172109 728 8217 SOLE 8217 0 Platinum Group Metals COM NEW 72765Q205 39 26800 SOLE 26800 0 Procter & Gamble COM 742718109 1767 26739 SOLE 24620 2119 Quanta Services Inc COM 74762E102 4026 192625 SOLE 182105 10520 Streetracks Gold Trust GOLD SHS 78463V107 472 2910 SOLE 2910 0 Stryker COM 863667101 4797 86460 SOLE 81225 5235 SunOpta COM 8676EP108 4258 778495 SOLE 735295 43200 Templeton Global Income COM 880198106 1187 122971 SOLE 114671 8301 TJX Companies COM 872540109 4533 114163 SOLE 107223 6940 Triangle Petroleum COM NEW 89600B201 69 10000 SOLE 10000 0 Vanguard Short-Term Bond SHORT TRM BOND 921937827 907 11210 SOLE 10460 750 Veolia Environnement SPONSORED ADR 92334N103 2588 156745 SOLE 148495 8250 Vodafone Plc ADR SPONS AD NEW 92857W209 5738 208753 SOLE 196532 12221 W. P. Carey COM 92930Y107 9103 195690 SOLE 184400 11290 Williams COM 969457100 4719 153160 SOLE 143155 10005 WPX Energy COM 98212B103 911 50602 SOLE 47274 3328 ZaZa Energy COM 98919T100 168 36000 SOLE 36000 0