0001301540-13-000002.txt : 20130219
0001301540-13-000002.hdr.sgml : 20130219
20130215102522
ACCESSION NUMBER: 0001301540-13-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130215
DATE AS OF CHANGE: 20130215
EFFECTIVENESS DATE: 20130215
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: 13617835
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
rpa13f12312012.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: December 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 02-14-2013
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: 71
Form 13F Information Table Value Total: 184404
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 3539 170245 SOLE 162395 7850
Accenture SHS CLASS A G1151C101 6696 100692 SOLE 94422 6270
Advanced Energy COM 007973100 1963 142175 SOLE 135625 6550
Affiliated Managers Group COM 008252108 332 2550 SOLE 2550 0
Agco COM 001084102 5500 111979 SOLE 105514 6465
Agnico Eagle Mines COM 008474108 492 9375 SOLE 9375 0
Anadarko Petroleum COM 032511107 2539 34170 SOLE 32720 1450
Annaly Capital Mgmt COM 035710409 193 13730 SOLE 13730 0
Apple Computer COM 037833100 4192 7877 SOLE 7476 401
Barrick Gold COM 067901108 2921 83435 SOLE 79500 3935
Best Buy COM 086516101 2515 212250 SOLE 199715 12535
Capitol Federal Financial COM 14057J101 2550 218160 SOLE 200282 17878
Chart Industries COM PAR $0.01 16115Q308 5188 77800 SOLE 72940 4860
ChevronTexaco COM 166764100 833 7705 SOLE 7705 0
Cisco Systems COM 17275R102 5627 286379 SOLE 266829 19550
Coca-Cola COM 191216100 219 6046 SOLE 4980 1066
Covidien SHS G2554F113 4248 73578 SOLE 69088 4490
Devon Energy COM 25179M103 3304 63483 SOLE 60636 2847
Eaton Vance Sr. Floating Rate COM 27828Q105 166 10375 SOLE 10375 0
Eldorado Gold COM 284902103 155 12000 SOLE 12000 0
Emerson Electric COM 291011104 357 6748 SOLE 6748 0
Esco Technologies COM 296315104 4928 131730 SOLE 124340 7390
Exxon Mobil COM 30231G102 1672 19324 SOLE 16230 3094
General Electric COM 369604103 555 26445 SOLE 21328 5117
General Mills COM 370334104 349 8640 SOLE 8640 0
General Motors COM 37045V100 1652 57290 SOLE 52992 4298
Gentherm COM 37253A103 2393 179890 SOLE 174140 5750
GM Mandatory Preferred JR PFD CNV SRB 37045V209 4740 107420 SOLE 101250 6170
Goldcorp COM 380956409 229 6240 SOLE 6240 0
Green Mountain Coffee COM 393122106 13354 323030 SOLE 305970 17060
Hugoton Royalty Trust UNIT BEN INT 444717102 2356 322352 SOLE 308822 13530
International Business Machine COM 459200101 538 2809 SOLE 2543 266
Japan Smaller Cap Fund COM 47109U104 119 16571 SOLE 14237 2334
Johnson & Johnson COM 478160104 363 5184 SOLE 4584 600
Kinross Gold COM NO PAR 496902404 2571 264550 SOLE 253340 11210
Ladenburg Thalmann Financial S COM 50575Q102 42 30000 SOLE 30000 0
Layne Christensen COM 521050104 8239 339455 SOLE 320140 19315
LSB Industries COM 502160104 5870 165727 SOLE 155582 10145
M.S. Emerging Markets Debt Fun COM 61744H105 149 12440 SOLE 12440 0
Market Vectors Gold Miners ETF GOLD MINER ETF 57060U100 2617 56420 SOLE 53320 3100
Maxwell Technologies COM 577767106 2777 334615 SOLE 323455 11160
MFS Charter Income Trust SH BEN INT 552727109 110 10900 SOLE 8900 2000
Microsoft COM 594918104 6631 248264 SOLE 234422 13842
Monmouth Real Estate Investmen CL A 609720107 3086 297840 SOLE 269840 28000
National Oilwell Varco COM 637071101 6096 89188 SOLE 84093 5095
Newmont Mining COM 651639106 2353 50677 SOLE 48162 2515
NTT Docomo SPONS ADR 62942M201 3218 223324 SOLE 210224 13100
Old Republic International COM 680223104 2690 252550 SOLE 231345 21205
Overhill Farms COM 690212105 2423 559504 SOLE 539504 20000
Penn West Petroleum Ltd COM 707887105 522 48055 SOLE 44955 3100
People's United Financial COM 712704105 3812 315329 SOLE 291054 24275
Pepsico COM 713448108 276 4038 SOLE 3788 250
Pfizer COM 717081103 206 8211 SOLE 8211 0
Platinum Group Metals COM NEW 72765Q205 22 26800 SOLE 26800 0
Procter & Gamble COM 742718109 1420 20921 SOLE 18802 2119
Pzena Investment Management CLASS A 74731Q103 2696 499203 SOLE 483528 15675
Quanta Services Inc COM 74762E102 4732 173415 SOLE 163365 10050
Reed Elsevier SPONS ADR NEW 758204200 4029 136201 SOLE 131776 4425
Resolute Forest Products COM 76117W109 303 22906 SOLE 22217 689
Streetracks Gold Trust GOLD SHS 78463V107 484 2985 SOLE 2985 0
Stryker COM 863667101 4694 85630 SOLE 80395 5235
SunOpta COM 8676EP108 4407 782720 SOLE 739265 43455
Sunrise Senior Living COM 86768K106 173 12000 SOLE 12000 0
Templeton Global Income COM 880198106 1130 119721 SOLE 111421 8301
TJX Companies COM 872540109 3810 89764 SOLE 83734 6030
Vanguard Short-Term Bond SHORT TRM BOND 921937827 1165 14380 SOLE 13630 750
Veolia Environnement SPONSORED ADR 92334N103 250 20395 SOLE 20395 0
Vodafone Plc ADR SPONS ADR NEW 92857W209 5261 208853 SOLE 197207 11646
W. P. Carey COM 92936U109 9069 173910 SOLE 164215 9695
Whole Foods Market COM 966837106 232 2550 SOLE 2300 250
ZaZa Energy COM 98919T100 62 30000 SOLE 30000 0