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