0001301540-13-000004.txt : 20130514
0001301540-13-000004.hdr.sgml : 20130514
20130514134303
ACCESSION NUMBER: 0001301540-13-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130514
DATE AS OF CHANGE: 20130514
EFFECTIVENESS DATE: 20130514
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: 13840591
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
rpa13f03312013.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, 2013
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 05-14-2013
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: 72
Form 13F Information Table Value Total: 201981
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 3830 168265 SOLE 160415 7850
Accenture SHS CLASS A G1151C101 7501 98732 SOLE 92462 6270
Ace SHS H0023R105 3178 35717 SOLE 32957 2760
Affiliated Managers Group COM 008252108 392 2550 SOLE 2550 0
Agco COM 001084102 5708 109509 SOLE 103484 6025
Agnico Eagle Mines COM 008474108 359 8750 SOLE 8750 0
Almost Family COM 020409108 1975 96675 SOLE 93150 3525
Anadarko Petroleum COM 032511107 2894 33095 SOLE 31645 1450
Apple Computer COM 037833100 6199 14003 SOLE 13242 761
AT&T COM 00206R102 276 7524 SOLE 7454 70
Badger Meter COM 056525108 214 4000 SOLE 4000 0
Barrick Gold COM 067901108 2447 83230 SOLE 79295 3935
Capitol Federal Financial COM 14057J101 2576 213455 SOLE 195577 17878
Chart Industries COM PAR $0.01 16115Q308 5892 73645 SOLE 68850 4795
ChevronTexaco COM 166764100 945 7955 SOLE 7955 0
Cisco Systems COM 17275R102 5852 280064 SOLE 261214 18850
Coca-Cola COM 191216100 366 9046 SOLE 7980 1066
Colgate Palmolive COM 194162103 207 1750 SOLE 1750 0
Corning COM 219350105 6427 482115 SOLE 455690 26425
Covidien SHS G2554F113 4918 72498 SOLE 68008 4490
Devon Energy COM 25179M103 3530 62558 SOLE 59711 2847
Echelon COM 27874N105 1501 615206 SOLE 591766 23440
Eldorado Gold COM 284902103 114 12000 SOLE 12000 0
Emerson Electric COM 291011104 405 7248 SOLE 7248 0
Esco Technologies COM 296315104 5256 128630 SOLE 121240 7390
Exxon Mobil COM 30231G102 1714 19018 SOLE 15924 3094
General Electric COM 369604103 615 26595 SOLE 21478 5117
General Mill COM 370334104 426 8640 SOLE 8640 0
General Motors COM 37045V100 1542 55443 SOLE 51145 4298
Gentherm COM 37253A103 3017 184165 SOLE 178415 5750
GM Mandatory Preferred JR PFD CNV SRB 37045V209 4599 107095 SOLE 100925 6170
Goldcorp COM 380956409 202 6000 SOLE 6000 0
Green Mountain Coffee COM 393122106 18306 322510 SOLE 305690 16820
Hugoton Royalty Trust UNIT BEN INT 444717102 2943 315472 SOLE 301942 13530
International Business Machine COM 459200101 674 3161 SOLE 2895 266
J. M. Smucker COM 832696405 201 2023 SOLE 1960 63
Johnson & Johnson COM 478160104 499 6124 SOLE 5524 600
Kinross Gold COM NO PAR 496902404 2250 283735 SOLE 272525 11210
Ladenburg Thalmann Financial S COM 50575Q102 42 25000 SOLE 25000 0
Layne Christensen COM 521050104 7283 340630 SOLE 322015 18615
LSB Industries COM 502160104 5775 166042 SOLE 155897 10145
M.S. Emerging Markets Debt Fun COM 61744H105 147 12440 SOLE 12440 0
Market Vectors Gold Miners ETF GOLD MINER ETF 57060U100 2290 60505 SOLE 57005 3500
Maxwell Technologies COM 577767106 2267 420540 SOLE 409080 11460
MFS Charter Income Trust SH BEN INT 552727109 111 10900 SOLE 8900 2000
Microsoft COM 594918104 7237 252984 SOLE 239142 13842
Monmouth Real Estate Investmen CL A 609720107 3267 292995 SOLE 265110 27885
National Oilwell Varco COM 637071101 6267 88578 SOLE 83483 5095
Newmont Mining COM 651639106 2138 51027 SOLE 48512 2515
NTT Docomo SPONS ADR 62942M201 3234 217499 SOLE 204399 13100
Old Republic International COM 680223104 3161 248705 SOLE 227500 21205
Overhill Farms COM 690212105 2187 553779 SOLE 533779 20000
Penn West Petroleum Ltd COM 707887105 512 47585 SOLE 44485 3100
People's United Financial COM 712704105 1742 129814 SOLE 119964 9850
Pepsico COM 713448108 312 3938 SOLE 3688 250
Pfizer COM 717081103 350 12125 SOLE 12125 0
Platinum Group Metals COM NEW 72765Q205 35 24300 SOLE 24300 0
Procter & Gamble COM 742718109 1580 20509 SOLE 18390 2119
Pzena Investment Management CLASS A 74731Q103 3144 483753 SOLE 468078 15675
Reed Elsevier SPONS ADR NEW 758204200 4586 134931 SOLE 130506 4425
Resolute Forest Products COM 76117W109 308 19062 SOLE 18373 689
San Juan Basin Royalty Trust UNIT BEN INT 798241105 348 23025 SOLE 22025 1000
Streetracks Gold Trust GOLD SHS 78463V107 482 3120 SOLE 3120 0
Stryker COM 863667101 5514 84525 SOLE 79290 5235
SunOpta COM 8676EP108 5474 760285 SOLE 718830 41455
Templeton Global Income COM 880198106 1165 124171 SOLE 115871 8301
TJX Companies COM 872540109 4316 92319 SOLE 86639 5680
Vanguard Short-Term Bond SHORT TRM BOND 921937827 1623 20040 SOLE 19290 750
Veolia Environnement SPONSORED ADR 92334N103 257 20200 SOLE 20200 0
Vodafone Plc ADR SPONS ADR NEW 92857W209 5855 206163 SOLE 194517 11646
W. P. Carey COM 92936U109 8801 130582 SOLE 122830 7752
Whole Foods Market COM 966837106 221 2550 SOLE 2300 250