0001172661-11-000646.txt : 20111107 0001172661-11-000646.hdr.sgml : 20111107 20111107171227 ACCESSION NUMBER: 0001172661-11-000646 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111107 DATE AS OF CHANGE: 20111107 EFFECTIVENESS DATE: 20111107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hollow Brook Associates LLC CENTRAL INDEX KEY: 0001455251 IRS NUMBER: 680665285 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13354 FILM NUMBER: 111185430 BUSINESS ADDRESS: STREET 1: 551 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-364-1846 MAIL ADDRESS: STREET 1: 551 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 hol3q11.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, 2011 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: Hollow Brook Associates LLC Address: 551 Madison, 8th Floor New York, NY 10022 13F File Number: 028-13354 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: Philip E. Richter Title: President & Chief Operating Officer Phone: (212) 364-1848 Signature, Place, and Date of Signing: /s/ Philip E. Richter New York, NY November 07, 2011 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: 0 Form 13F Information Table Entry Total: 58 Form 13F Information Table Value Total: $170,770 (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. NONE 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AG MTG INVT TR INC COM 001228105 220 11752 SH SOLE 0 0 11752 AGNICO EAGLE MINES LTD COM 008474108 4241 71246 SH SOLE 0 0 71246 AMTECH SYS INC COM PAR $0.01N 032332504 2956 369501 SH SOLE 0 0 369501 ANADARKO PETE CORP COM 032511107 303 4799 SH SOLE 0 0 4799 ANNALY CAP MGMT INC COM 035710409 1293 77742 SH SOLE 0 0 77742 ANWORTH MORTGAGE ASSET CP COM 037347101 8435 1240473 SH SOLE 0 0 1240473 APACHE CORP COM 037411105 245 3054 SH SOLE 0 0 3054 ARGAN INC COM 04010E109 17269 1696333 SH SOLE 0 0 1696333 BARRICK GOLD CORP COM 067901108 5260 112746 SH SOLE 0 0 112746 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2376 33445 SH SOLE 0 0 33445 CHESAPEAKE MIDSTREAM PARTNER UNIT 16524k108 6798 253271 SH SOLE 0 0 253271 CHEVRON CORP NEW COM 166764100 231 2500 SH SOLE 0 0 2500 CHIMERA INVT CORP COM 16934Q109 32 11700 SH SOLE 0 0 11700 CLOROX CO DEL COM 189054109 283 4263 SH SOLE 0 0 4263 COCA COLA CO COM 191216100 426 6300 SH SOLE 0 0 6300 COLGATE PALMOLIVE CO COM 194162103 355 4000 SH SOLE 0 0 4000 CORE LABORATORIES N V COM N22717107 2170 24152 SH SOLE 0 0 24152 CYS INVTS INC COM 12673a108 1153 95347 SH SOLE 0 0 95347 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 11147 320513 SH SOLE 0 0 320513 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273r109 246 6000 SH SOLE 0 0 6000 ENTERPRISE PRODS PARTNERS L COM 293792107 5237 130435 SH SOLE 0 0 130435 ENVESTNET INC COM 29404k106 3265 326526 SH SOLE 0 0 326526 EOG RES INC COM 26875p101 5162 72696 SH SOLE 0 0 72696 EXXON MOBIL CORP COM 30231G102 1197 16476 SH SOLE 0 0 16476 FMC TECHNOLOGIES INC COM 30249U101 2686 71438 SH SOLE 0 0 71438 GENERAL ELECTRIC CO COM 369604103 210 13809 SH SOLE 0 0 13809 GOLDCORP INC NEW COM 380956409 3456 75724 SH SOLE 0 0 75724 HATTERAS FINL CORP COM 41902r103 8080 321133 SH SOLE 0 0 321133 INERGY L P UNIT LTD PTNR 456615103 2969 118671 SH SOLE 0 0 118671 INTERNATIONAL BUSINESS MACHS COM 459200101 446 2552 SH SOLE 0 0 2552 JOHNSON & JOHNSON COM 478160104 2487 39052 SH SOLE 0 0 39052 KEY TECHNOLOGY INC COM 493143101 2611 224892 SH SOLE 0 0 224892 MAGNUM HUNTER RES CORP DEL COM 55973b102 44 13217 SH SOLE 0 0 13217 MARKET VECTORS ETF TR JR GOLD MINERS E 57060u589 1640 58247 SH SOLE 0 0 58247 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 1899 43938 SH SOLE 0 0 43938 MERCK & CO INC NEW COM 58933y105 518 15851 SH SOLE 0 0 15851 MFA FINANCIAL INC COM 55272x102 11294 1608887 SH SOLE 0 0 1608887 MICROSOFT CORP COM 594918104 382 15355 SH SOLE 0 0 15355 MOSAIC CO NEW COM 61945c103 6449 131703 SH SOLE 0 0 131703 NEWMONT MINING CORP COM 651639106 9303 147909 SH SOLE 0 0 147909 NORTH AMERN ENERGY PARTNERS COM 656844107 2730 469018 SH SOLE 0 0 469018 PENN VA RESOURCES PARTNERS L COM 707884102 5055 216138 SH SOLE 0 0 216138 PEPSICO INC COM 713448108 537 8675 SH SOLE 0 0 8675 PETROQUEST ENERGY INC COM 716748108 2102 382175 SH SOLE 0 0 382175 PFIZER INC COM 717081103 3278 185406 SH SOLE 0 0 185406 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 7580 128647 SH SOLE 0 0 128647 PROCTER & GAMBLE CO COM 742718109 249 3942 SH SOLE 0 0 3942 PROSHARES TR PSHS ULSHT SP500 74347r883 1991 78111 SH SOLE 0 0 78111 PROSHARES TR PSHS ULSHRUS2000 74348a202 2558 43825 SH SOLE 0 0 43825 QUEPASA CORP COM NEW 74833w206 1187 345000 SH SOLE 0 0 345000 REAVES UTIL INCOME FD COM SH BEN INT 756158101 233 9536 SH SOLE 0 0 9536 SCHLUMBERGER LTD COM 806857108 2458 41147 SH SOLE 0 0 41147 TIME WARNER CABLE INC COM 88732j207 1932 30827 SH SOLE 0 0 30827 TORTOISE ENERGY INFRSTRCTR C COM 89147l100 247 7267 SH SOLE 0 0 7267 TRANSATLANTIC PETROLEUM LTD SHS g89982105 1096 1337145 SH SOLE 0 0 1337145 URANIUM RES INC COM PAR $0.001 916901507 90 133000 SH SOLE 0 0 133000 WIRELESS TELECOM GROUP INC COM 976524108 1583 1978204 SH SOLE 0 0 1978204 XFONE INC COM 98414y109 1090 2533757 SH SOLE 0 0 2533757