-----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, Tc+i1aEHYJ2GPKRHw1/V+AwxSUvQqZWQDm830hLiauhCmey0hcdyQm+cjg6r9Jju ENVpjqWhk8KFzXlpInpxWg== 0001172661-09-001534.txt : 20091116 0001172661-09-001534.hdr.sgml : 20091116 20091116095448 ACCESSION NUMBER: 0001172661-09-001534 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 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: 091184088 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 bal3q09.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: September 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 November 16, 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: 122 Form13F Information Table Value Total: $633,757 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADOBE SYS INC COM 00724f101 14 409 SH Defined 1 2 0 0 409 ADOBE SYS INC COM 00724f101 415 12546 SH Sole 0 0 12546 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364w105 205 4680 SH Sole 0 0 4680 ANALOG DEVICES INC COM 032654105 334 12107 SH Sole 0 0 12107 ANALOG DEVICES INC COM 032654105 10 378 SH Defined 1 0 0 378 APPLE INC COM 037833100 148 801 SH Defined 1 2 0 0 801 APPLE INC COM 037833100 335 1808 SH Sole 0 0 1808 BANK OF AMERICA CORPORATION COM 060505104 143 8479 SH Sole 0 0 8479 BANK OF AMERICA CORPORATION COM 060505104 86 5112 SH Defined 1 2 0 0 5112 BAXTER INTL INC COM 071813109 34 598 SH Defined 1 2 0 0 598 BAXTER INTL INC COM 071813109 524 9190 SH Sole 0 0 9190 BERKSHIRE HATHAWAY INC DEL CL A 084670108 13736 136 SH Sole 0 0 136 BERKSHIRE HATHAWAY INC DEL CL B 084670207 901 271 SH Sole 0 0 271 CEPHEID COM 15670r107 198 15000 SH Sole 0 0 15000 CHUBB CORP COM 171232101 2400 47614 SH Sole 0 0 47614 CHUBB CORP COM 171232101 33 653 SH Defined 1 2 0 0 653 CISCO SYS INC COM 17275r102 195 8300 SH Defined 1 2 0 0 8300 CISCO SYS INC COM 17275r102 549 23328 SH Sole 0 0 23328 COCA COLA CO COM 191216100 63 1164 SH Defined 1 2 0 0 1164 COCA COLA CO COM 191216100 267 4967 SH Sole 0 0 4967 CORNING INC COM 219350105 177 11548 SH Sole 0 0 11548 CORNING INC COM 219350105 33 2151 SH Defined 1 2 0 0 2151 CORTEX PHARMACEUTICALS INC COM NEW 220524300 4 20000 SH Sole 0 0 20000 DIAMONDS TR UNIT SER 1 252787106 391 4028 SH Sole 0 0 4028 DRUGSTORE COM INC COM 262241102 49 20000 SH Sole 0 0 20000 EXXON MOBIL CORP COM 30231g102 387 5634 SH Sole 0 0 5634 EXXON MOBIL CORP COM 30231g102 199 2899 SH Defined 1 2 0 0 2899 FORRESTER RESH INC COM 346563109 211343 7933304 SH Sole 0 0 7933304 FORRESTER RESH INC COM 346563109 4 135 SH Defined 1 0 0 135 FPL GROUP INC COM 302571104 12 225 SH Defined 1 2 0 0 225 FPL GROUP INC COM 302571104 291 5263 SH Sole 0 0 5263 GENERAL ELECTRIC CO COM 369604103 725 44133 SH Sole 0 0 44133 GENERAL ELECTRIC CO COM 369604103 69 4226 SH Defined 1 2 0 0 4226 GOLDMAN SACHS GROUP INC COM 38141G104 196 1065 SH Sole 0 0 1065 GOLDMAN SACHS GROUP INC COM 38141G104 55 300 SH Defined 1 2 0 0 300 GOOGLE INC CL A 38259p508 153 309 SH Defined 1 2 0 0 309 GOOGLE INC CL A 38259p508 194 392 SH Sole 0 0 392 HEWLETT PACKARD CO COM 428236103 67 1415 SH Sole 0 0 1415 HEWLETT PACKARD CO COM 428236103 160 3390 SH Defined 1 2 0 0 3390 HOME DEPOT INC COM 437076102 42 1581 SH Defined 1 0 0 1581 HOME DEPOT INC COM 437076102 222 8336 SH Sole 0 0 8336 INTEL CORP COM 458140100 418 21351 SH Sole 0 0 21351 INTEL CORP COM 458140100 150 7644 SH Defined 1 2 0 0 7644 INTERNATIONAL BUSINESS MACHS COM 459200101 200 1676 SH Defined 1 2 0 0 1676 INTERNATIONAL BUSINESS MACHS COM 459200101 157 1315 SH Sole 0 0 1315 INTERSTATE HOTELS & RESRTS I COM 46088s106 116 75100 SH Sole 0 0 75100 INVESTMENT TECHNOLOGY GRP NE COM 46145f105 216 7738 SH Sole 0 0 7738 INVESTMENT TECHNOLOGY GRP NE COM 46145f105 0 10 SH Defined 2 0 0 10 ISHARES INC MSCI PAC J IDX 464286665 421 10391 SH Sole 0 0 10391 ISHARES TR FTSE KLD400 SOC 464288570 3201 80118 SH Sole 0 0 80118 ISHARES TR INDEX MSCI EAFE IDX 464287465 52301 956495 SH Sole 0 0 956495 ISHARES TR INDEX RUSSELL 1000 464287622 26625 458264 SH Sole 0 0 458264 ISHARES TR INDEX RUSSELL1000GRW 464287614 2280 49239 SH Sole 0 0 49239 ISHARES TR INDEX RUSSELL1000VAL 464287598 3739 67373 SH Sole 0 0 67373 ISHARES TR INDEX S&P MIDCAP 400 464287507 14222 206258 SH Sole 0 0 206258 ISHARES TR INDEX RUSSELL MCP VL 464287473 446 12588 SH Sole 0 0 12588 ISHARES TR INDEX MSCI EMERG MKT 464287234 7300 187612 SH Sole 0 0 187612 ISHARES TR INDEX S&P 500 INDEX 464287200 18674 176151 SH Sole 0 0 176151 ISHARES TR INDEX S&P 1500 INDEX 464287150 860 18085 SH Sole 0 0 18085 ISHARES TR INDEX RUSSELL 2000 464287655 3810 63241 SH Sole 0 0 63241 ISHARES TR INDEX RUSSELL MIDCAP 464287499 318 4070 SH Sole 0 0 4070 ISHARES TR INDEX RUSL 2000 VALU 464287630 1046 18541 SH Sole 0 0 18541 ISHARES TR INDEX RUSSELL 3000 464287689 442 7125 SH Sole 0 0 7125 ISHARES TR INDEX S&P MIDCP VALU 464287705 373 5930 SH Sole 0 0 5930 ISHARES TR INDEX S&P SMLCAP 600 464287804 17642 337068 SH Sole 0 0 337068 ISHARES TR INDEX S&P SMLCP VALU 464287879 4844 86281 SH Sole 0 0 86281 ISHARES TR INDEX RUSL 2000 GROW 464287648 352 5377 SH Sole 0 0 5377 JOHNSON & JOHNSON COM 478160104 1142 18749 SH Sole 0 0 18749 JOHNSON & JOHNSON COM 478160104 233 3822 SH Defined 1 2 0 0 3822 JPMORGAN CHASE & CO COM 46625h100 98 2237 SH Defined 1 2 0 0 2237 JPMORGAN CHASE & CO COM 46625h100 173 3952 SH Sole 0 0 3952 LATIN AMER EQUITY FD INC NEW COM 51827Q106 291 8257 SH Sole 0 0 8257 MICROSOFT CORP COM 594918104 339 13177 SH Sole 0 0 13177 MICROSOFT CORP COM 594918104 285 11079 SH Defined 1 2 0 0 11079 MIDCAP SPDR TR UNIT SER 1 595635103 3791 30262 SH Sole 0 0 30262 NOVARTIS A G SPONSORED ADR 66987v109 254 5050 SH Sole 0 0 5050 OSIRIS THERAPEUTICS INC COM 68827R108 566 85000 SH Sole 0 0 85000 PANERA BREAD CO CL A 69840w108 5627 102303 SH Sole 0 0 102303 PANERA BREAD CO CL A 69840w108 3 50 SH Defined 2 0 0 50 PAYCHEX INC COM 704326107 1783 61368 SH Sole 0 0 61368 PAYCHEX INC COM 704326107 11 393 SH Defined 1 2 0 0 393 PEPSICO INC COM 713448108 124 2110 SH Sole 0 0 2110 PEPSICO INC COM 713448108 135 2308 SH Defined 1 2 0 0 2308 PFIZER INC COM 717081103 991 59882 SH Sole 0 0 59882 PFIZER INC COM 717081103 51 3067 SH Defined 1 2 0 0 3067 POWERSHARES QQQ TRUST UNIT SER 1 73935a104 524 12403 SH Sole 0 0 12403 POZEN INC COM 73941u102 74 10000 SH Sole 0 0 10000 PROCTER & GAMBLE CO COM 742718109 243 4192 SH Defined 1 2 0 0 4192 PROCTER & GAMBLE CO COM 742718109 306 5276 SH Sole 0 0 5276 SAPIENT CORP COM 803062108 80 10000 SH Sole 0 0 10000 SAPIENT CORP COM 803062108 1 174 SH Defined 1 0 0 174 SCIENTIFIC LEARNING CORP COM 808760102 35 10108 SH Sole 0 0 10108 SELECT SECTOR SPDR TR SBI INT-TECH 81369y803 332 15926 SH Sole 0 0 15926 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 4775 186537 SH Sole 0 0 186537 SPDR TR UNIT SER 1 78462f103 31947 302561 SH Sole 0 0 302561 STANLEY WKS COM 854616109 713 16692 SH Sole 0 0 16692 STANLEY WKS COM 854616109 4 99 SH Defined 1 0 0 99 STAPLES INC COM 855030102 18 757 SH Defined 1 2 0 0 757 STAPLES INC COM 855030102 238 10229 SH Sole 0 0 10229 TEXAS INSTRS INC COM 882508104 184 7769 SH Sole 0 0 7769 TEXAS INSTRS INC COM 882508104 30 1263 SH Defined 1 2 0 0 1263 UNITED PARCEL SERVICE INC CL B 911312106 69 1218 SH Defined 1 2 0 0 1218 UNITED PARCEL SERVICE INC CL B 911312106 5192 91937 SH Sole 0 0 91937 UNIVERSAL DISPLAY CORP COM 91347p105 119 10000 SH Sole 0 0 10000 VANGUARD INDEX FDS LARGE CAP ETF 922908637 29660 617014 SH Sole 0 0 617014 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 798 19240 SH Sole 0 0 19240 VANGUARD INDEX FDS STK MRK ETF 922908769 31172 581676 SH Sole 0 0 581676 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 276 6476 SH Sole 0 0 6476 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1206 22581 SH Sole 0 0 22581 VANGUARD INDEX FDS MID CAP ETF 922908629 10330 181545 SH Sole 0 0 181545 VANGUARD INDEX FDS SMALL CP ETF 922908751 7074 127341 SH Sole 0 0 127341 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 13103 303319 SH Sole 0 0 303319 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 22891 594114 SH Sole 0 0 594114 VANGUARD INTL EQUITY INDEX F PACIFIC ETF 922042866 13792 263917 SH Sole 0 0 263917 VANGUARD INTL EQUITY INDEX F EURPEAN ETF 922042874 27303 550582 SH Sole 0 0 550582 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 18379 535818 SH Sole 0 0 535818 VANGUARD WORLD FD MEGA GRWTH IND 921910816 419 10770 SH Sole 0 0 10770 VANGUARD WORLD FD MEGA VALUE 300 921910840 418 12270 SH Sole 0 0 12270 WELLS FARGO & CO NEW COM 949746101 228 8101 SH Sole 0 0 8101 WELLS FARGO & CO NEW COM 949746101 178 6305 SH Defined 1 2 0 0 6305 ZIMMER HLDGS INC COM 98956p102 223 4163 SH Sole 0 0 4163 ZIMMER HLDGS INC COM 98956p102 10 191 SH Defined 1 0 0 191
-----END PRIVACY-ENHANCED MESSAGE-----