-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, D0qIU2nLv8S8W4S1uGi6UtxAYlBpZJzxiWhu6Mz4sDjGAfVMgcJB8F9Y8Oz90Uxu US7K0zW/38t1ka1qiSbhmQ== 0001172661-09-001368.txt : 20090814 0001172661-09-001368.hdr.sgml : 20090814 20090814093342 ACCESSION NUMBER: 0001172661-09-001368 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ballentine, Finn & Company, Inc. CENTRAL INDEX KEY: 0001374889 IRS NUMBER: 043350500 STATE OF INCORPORATION: NH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12011 FILM NUMBER: 091012576 BUSINESS ADDRESS: STREET 1: PO BOX 1860 STREET 2: 55 MILL ST. CITY: WOLFEBORO STATE: NH ZIP: 03894 BUSINESS PHONE: 603-569-1717 MAIL ADDRESS: STREET 1: PO BOX 1860 STREET 2: 55 MILL ST. CITY: WOLFEBORO STATE: NH ZIP: 03894 13F-HR 1 bal2q09.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Ballentine Finn & Co., Inc. Address: 55 Mill Street P.O. Box 1860 Wolfeboro, NH 03894 13F File Number: 28-12011 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 form. Person Signing this Report on Behalf of Reporting Manager: Name: Roy C. Ballentine Title: President Phone: 603-569-1717 Signature, Place, and Date of Signing: /s/ Roy C. Ballentine Wolfeboro, NH August 14, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form13F Information Table Entry Total: 153 Form13F Information Table Value Total: $549,700 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1 28-4558 Parametric Portfolio Associates 2 28-00399 SSgA - State Street Corp FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579y101 61 1023 SH Sole 0 0 1023 3M CO COM 88579y101 58 958 SH Defined 1 2 0 0 958 ADOBE SYS INC COM 00724f101 18 623 SH Defined 1 2 0 0 623 ADOBE SYS INC COM 00724f101 355 12546 SH Sole 0 0 12546 ANALOG DEVICES INC COM 032654105 300 12107 SH Sole 0 0 12107 ANALOG DEVICES INC COM 032654105 9 378 SH Defined 1 0 0 378 APACHE CORP COM 037411105 37 516 SH Sole 0 0 516 APACHE CORP COM 037411105 40 553 SH Defined 1 2 0 0 553 APPLE INC COM 037833100 114 801 SH Defined 1 2 0 0 801 APPLE INC COM 037833100 276 1939 SH Sole 0 0 1939 BANK OF AMERICA CORPORATION COM 060505104 243 18379 SH Sole 0 0 18379 BANK OF AMERICA CORPORATION COM 060505104 50 3810 SH Defined 1 2 0 0 3810 BAXTER INTL INC COM 071813109 34 633 SH Defined 1 2 0 0 633 BAXTER INTL INC COM 071813109 499 9424 SH Sole 0 0 9424 BECTON DICKINSON & CO COM 075887109 87 1225 SH Sole 0 0 1225 BECTON DICKINSON & CO COM 075887109 21 293 SH Defined 1 2 0 0 293 BERKSHIRE HATHAWAY INC DEL CL A 084670108 12690 141 SH Sole 0 0 141 BERKSHIRE HATHAWAY INC DEL CL B 084670207 762 263 SH Sole 0 0 263 BP PLC SPONSORED ADR 055622104 92 1925 SH Sole 0 0 1925 CEPHEID COM 15670r107 141 15000 SH Sole 0 0 15000 CHEVRON CORP NEW COM 166764100 62 939 SH Defined 1 2 0 0 939 CHEVRON CORP NEW COM 166764100 151 2276 SH Sole 0 0 2276 CHUBB CORP COM 171232101 26 653 SH Defined 1 2 0 0 653 CHUBB CORP COM 171232101 2306 57820 SH Sole 0 0 57820 CISCO SYS INC COM 17275r102 482 25828 SH Sole 0 0 25828 CISCO SYS INC COM 17275r102 154 8239 SH Defined 1 2 0 0 8239 COCA COLA CO COM 191216100 251 5237 SH Sole 0 0 5237 COCA COLA CO COM 191216100 56 1164 SH Defined 1 2 0 0 1164 COLGATE PALMOLIVE CO COM 194162103 55 777 SH Defined 1 2 0 0 777 COLGATE PALMOLIVE CO COM 194162103 56 790 SH Sole 0 0 790 CORNING INC COM 219350105 35 2151 SH Defined 1 2 0 0 2151 CORNING INC COM 219350105 185 11548 SH Sole 0 0 11548 CORTEX PHARMACEUTICALS INC COM NEW 220524300 5 20000 SH Sole 0 0 20000 DIAMONDS TR UNIT SER 1 252787106 1285 15173 SH Sole 0 0 15173 DISNEY WALT CO COM DISNEY 254687106 55 2363 SH Defined 1 2 0 0 2363 DISNEY WALT CO COM DISNEY 254687106 69 2967 SH Sole 0 0 2967 DRUGSTORE COM INC COM 262241102 37 20000 SH Sole 0 0 20000 E M C CORP MASS COM 268648102 37 2795 SH Defined 1 2 0 0 2795 E M C CORP MASS COM 268648102 24 1806 SH Sole 0 0 1806 EMERSON ELEC CO COM 291011104 27 830 SH Defined 1 2 0 0 830 EMERSON ELEC CO COM 291011104 100 3088 SH Sole 0 0 3088 EXXON MOBIL CORP COM 30231g102 402 5752 SH Sole 0 0 5752 EXXON MOBIL CORP COM 30231g102 219 3127 SH Defined 1 2 0 0 3127 FORRESTER RESH INC COM 346563109 3 135 SH Defined 1 0 0 135 FORRESTER RESH INC COM 346563109 194763 7933304 SH Sole 0 0 7933304 FPL GROUP INC COM 302571104 299 5263 SH Sole 0 0 5263 FPL GROUP INC COM 302571104 13 225 SH Defined 1 2 0 0 225 GENERAL ELECTRIC CO COM 369604103 511 43608 SH Sole 0 0 43608 GENERAL ELECTRIC CO COM 369604103 68 5826 SH Defined 1 2 0 0 5826 GOLDMAN SACHS GROUP INC COM 38141G104 44 300 SH Defined 1 2 0 0 300 GOLDMAN SACHS GROUP INC COM 38141G104 159 1075 SH Sole 0 0 1075 GOOGLE INC CL A 38259p508 130 308 SH Defined 1 2 0 0 308 GOOGLE INC CL A 38259p508 383 909 SH Sole 0 0 909 GRAINGER W W INC COM 384802104 45 550 SH Sole 0 0 550 GRAINGER W W INC COM 384802104 7 87 SH Defined 1 0 0 87 HEWLETT PACKARD CO COM 428236103 55 1415 SH Sole 0 0 1415 HEWLETT PACKARD CO COM 428236103 128 3321 SH Defined 1 2 0 0 3321 HOME DEPOT INC COM 437076102 48 2049 SH Defined 1 2 0 0 2049 HOME DEPOT INC COM 437076102 197 8336 SH Sole 0 0 8336 INTEL CORP COM 458140100 425 25706 SH Sole 0 0 25706 INTEL CORP COM 458140100 127 7689 SH Defined 1 2 0 0 7689 INTERNATIONAL BUSINESS MACHS COM 459200101 137 1314 SH Sole 0 0 1314 INTERNATIONAL BUSINESS MACHS COM 459200101 175 1676 SH Defined 1 2 0 0 1676 ISHARES INC MSCI PAC J IDX 464286665 375 11831 SH Sole 0 0 11831 ISHARES TR MSCI EAFE IDX 464287465 41894 914525 SH Sole 0 0 914525 ISHARES TR RUSSELL 2000 464287655 3570 69891 SH Sole 0 0 69891 ISHARES TR RUSL 2000 GROW 464287648 408 7198 SH Sole 0 0 7198 ISHARES TR RUSL 2000 VALU 464287630 941 20226 SH Sole 0 0 20226 ISHARES TR RUSSELL 1000 464287622 23051 455017 SH Sole 0 0 455017 ISHARES TR RUSSELL1000GRW 464287614 2498 60879 SH Sole 0 0 60879 ISHARES TR RUSSELL1000VAL 464287598 3464 72797 SH Sole 0 0 72797 ISHARES TR S&P MIDCAP 400 464287507 10767 186307 SH Sole 0 0 186307 ISHARES TR MSCI EAFE IDX 464287465 185 4030 SH Sole 0 0 4030 ISHARES TR MSCI EMERG MKT 464287234 6510 201998 SH Sole 0 0 201998 ISHARES TR S&P 500 INDEX 464287200 15832 171438 SH Sole 0 0 171438 ISHARES TR S&P 1500 INDEX 464287150 746 18085 SH Sole 0 0 18085 ISHARES TR DJ US FINL SEC 464287788 245 5740 SH Sole 0 0 5740 ISHARES TR RUSSELL MCP VL 464287473 379 13068 SH Sole 0 0 13068 ISHARES TR RUSSELL 3000 464287689 392 7275 SH Sole 0 0 7275 ISHARES TR S&P SMLCAP 600 464287804 14297 321785 SH Sole 0 0 321785 ISHARES TR S&P SMLCP VALU 464287879 4067 86392 SH Sole 0 0 86392 ISHARES TR KLD 400 IDX FD 464288570 2520 72958 SH Sole 0 0 72958 ISHARES TR S&P MIDCP VALU 464287705 276 5295 SH Sole 0 0 5295 JOHNSON & JOHNSON COM 478160104 202 3549 SH Defined 1 2 0 0 3549 JOHNSON & JOHNSON COM 478160104 824 14514 SH Sole 0 0 14514 JPMORGAN CHASE & CO COM 46625h100 75 2201 SH Sole 0 0 2201 JPMORGAN CHASE & CO COM 46625h100 177 5179 SH Defined 1 2 0 0 5179 LATIN AMER EQUITY FD INC NEW COM 51827Q106 232 8257 SH Sole 0 0 8257 MEDTRONIC INC COM 585055106 43 1229 SH Defined 1 2 0 0 1229 MEDTRONIC INC COM 585055106 70 2008 SH Sole 0 0 2008 METHANEX CORP COM 59151k108 184 15000 SH Sole 0 0 15000 MICROSOFT CORP COM 594918104 327 13744 SH Sole 0 0 13744 MICROSOFT CORP COM 594918104 244 10255 SH Defined 1 2 0 0 10255 MIDCAP SPDR TR UNIT SER 1 595635103 3327 31625 SH Sole 0 0 31625 NIKE INC CL B 654106103 56 1072 SH Sole 0 0 1072 NIKE INC CL B 654106103 23 443 SH Defined 1 2 0 0 443 NOVARTIS A G SPONSORED ADR 66987v109 239 5850 SH Sole 0 0 5850 OSIRIS THERAPEUTICS INC COM 68827R108 1206 90000 SH Sole 0 0 90000 PANERA BREAD CO CL A 69840w108 5101 102303 SH Sole 0 0 102303 PANERA BREAD CO CL A 69840w108 2 50 SH Defined 2 0 0 50 PAYCHEX INC COM 704326107 2821 111956 SH Sole 0 0 111956 PAYCHEX INC COM 704326107 12 459 SH Defined 1 2 0 0 459 PEPSICO INC COM 713448108 124 2260 SH Sole 0 0 2260 PEPSICO INC COM 713448108 123 2233 SH Defined 1 2 0 0 2233 PFIZER INC COM 717081103 3349 223280 SH Sole 0 0 223280 PFIZER INC COM 717081103 54 3627 SH Defined 1 2 0 0 3627 POWERSHARES QQQ TRUST UNIT SER 1 73935a104 474 13029 SH Sole 0 0 13029 POZEN INC COM 73941u102 77 10000 SH Sole 0 0 10000 PRICE T ROWE GROUP INC COM 74144T108 58 1397 SH Sole 0 0 1397 PRICE T ROWE GROUP INC COM 74144T108 7 164 SH Defined 1 0 0 164 PROCTER & GAMBLE CO COM 742718109 281 5508 SH Sole 0 0 5508 PROCTER & GAMBLE CO COM 742718109 211 4127 SH Defined 1 2 0 0 4127 SAPIENT CORP COM 803062108 1 174 SH Defined 1 0 0 174 SAPIENT CORP COM 803062108 63 10000 SH Sole 0 0 10000 SCIENTIFIC LEARNING CORP COM 808760102 56 28908 SH Sole 0 0 28908 SELECT SECTOR SPDR TR SBI INT-TECH 81369y803 290 15926 SH Sole 0 0 15926 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 3976 187476 SH Sole 0 0 187476 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 37 1765 SH Sole 0 0 1765 SPDR TR UNIT SER 1 78462f103 27003 293668 SH Sole 0 0 293668 STANLEY WKS COM 854616109 2 71 SH Defined 1 0 0 71 STANLEY WKS COM 854616109 565 16692 SH Sole 0 0 16692 STAPLES INC COM 855030102 15 757 SH Defined 1 2 0 0 757 STAPLES INC COM 855030102 206 10229 SH Sole 0 0 10229 TARGET CORP COM 87612E106 43 1078 SH Defined 1 2 0 0 1078 TARGET CORP COM 87612E106 65 1635 SH Sole 0 0 1635 UNITED PARCEL SERVICE INC CL B 911312106 4596 91937 SH Sole 0 0 91937 UNITED PARCEL SERVICE INC CL B 911312106 50 1001 SH Defined 1 2 0 0 1001 UNIVERSAL DISPLAY CORP COM 91347p105 98 10000 SH Sole 0 0 10000 VANGUARD INDEX FDS SM CP VAL ETF 922908611 12 286 SH Sole 0 0 286 VANGUARD INDEX FDS SMALL CP ETF 922908751 85 1859 SH Sole 0 0 1859 VANGUARD INDEX FDS SMALL CP ETF 922908751 5720 125031 SH Sole 0 0 125031 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 663 19240 SH Sole 0 0 19240 VANGUARD INDEX FDS LARGE CAP ETF 922908637 426 10215 SH Sole 0 0 10215 VANGUARD INDEX FDS LARGE CAP ETF 922908637 25527 611869 SH Sole 0 0 611869 VANGUARD INDEX FDS STK MRK ETF 922908769 24819 536404 SH Sole 0 0 536404 VANGUARD INDEX FDS MID CAP ETF 922908629 170 3638 SH Sole 0 0 3638 VANGUARD INDEX FDS MID CAP ETF 922908629 8325 177850 SH Sole 0 0 177850 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1063 24666 SH Sole 0 0 24666 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 13004 408660 SH Sole 0 0 408660 VANGUARD INTL EQUITY INDEX F EURPEAN ETF 922042874 22447 557262 SH Sole 0 0 557262 VANGUARD INTL EQUITY INDEX F EURPEAN ETF 922042874 62 1541 SH Sole 0 0 1541 VANGUARD INTL EQUITY INDEX F PACIFIC ETF 922042866 12104 261762 SH Sole 0 0 261762 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 68 2135 SH Sole 0 0 2135 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 10034 279419 SH Sole 0 0 279419 VANGUARD INTL EQUITY INDEX F PACIFIC ETF 922042866 32 700 SH Sole 0 0 700 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 14510 508043 SH Sole 0 0 508043 VANGUARD WORLD FD MEGA VALUE 300 921910840 362 12270 SH Sole 0 0 12270 VANGUARD WORLD FD MEGA GRWTH IND 921910816 398 11545 SH Sole 0 0 11545 VISA INC COM CL A 92826c839 223 3577 SH Sole 0 0 3577 WELLS FARGO & CO NEW COM 949746101 143 5882 SH Defined 1 2 0 0 5882 WELLS FARGO & CO NEW COM 949746101 332 13687 SH Sole 0 0 13687 XTO ENERGY INC COM 98385x106 29 766 SH Defined 1 2 0 0 766 XTO ENERGY INC COM 98385x106 53 1380 SH Sole 0 0 1380
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