-----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, IlVvg7wBao4M7JP5h5TjSjkkQ6IH7h2XSSfXt5BOLnAx/7yWt2K0XnBLJjCpuENR ccecTY1KRHkcWREWvqZ8Aw== 0001038661-09-000001.txt : 20090109 0001038661-09-000001.hdr.sgml : 20090109 20090109113059 ACCESSION NUMBER: 0001038661-09-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090109 DATE AS OF CHANGE: 20090109 EFFECTIVENESS DATE: 20090109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ABNER HERRMAN & BROCK LLC CENTRAL INDEX KEY: 0001038661 IRS NUMBER: 205472473 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06312 FILM NUMBER: 09517550 BUSINESS ADDRESS: STREET 1: HARBORSIDE FINANCIAL CENTER STREET 2: PLAZA 5 - SUITE 1640 CITY: JERSEY CITY STATE: NJ ZIP: 07311 BUSINESS PHONE: 2014842000 MAIL ADDRESS: STREET 1: HARBORSIDE FINANCIAL CENTER STREET 2: PLAZA 5 - SUITE 1640 CITY: JERSEY CITY STATE: NJ ZIP: 07311 FORMER COMPANY: FORMER CONFORMED NAME: ABNER HERRMAN & BROCK INC DATE OF NAME CHANGE: 19990317 13F-HR 1 ahbi13f.txt 13F FILING 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, 2008 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: Abner, Herrman & BrocK LLC Address: Harborside Financial Center, Plaza 5, Suite 1640 Jersey City, NJ 07311 13F File Number: 28-6312 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. Signing of Person Duly Authorized to Submit this Report: Name: Howard J. Abner Title: Chairman Phone: 201-484-2000 Signature, Place, and Date of Signing: Howard J. Abner Jersey City, NJ January 9, 2009 Report Type (Check only one.); [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 73 Form 13F Information Table Value Total: 106612 List of Other Included Managers: No. 13F File Number Name 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 COMPANY COM 88579y101 293 5100 SH SOLE 5100 ABB LTD SPONSORED ADR COM 000375204 2531 168590 SH SOLE 168590 ABBOTT LABORATORIES COM 002824100 3644 68270 SH SOLE 68270 AIR PRODUCTS & CHEMICALS INC COM 009158106 2019 40165 SH SOLE 40165 AMERICAN EXPRESS COMPANY COM 025816109 838 45175 SH SOLE 45175 ANESIVA INC COM 03460l100 10 27200 SH SOLE 27200 AON CORP COM 037389103 3912 85647 SH SOLE 85647 APPLE INC COM 037833100 2354 27575 SH SOLE 27575 AT&T INC COM 00206r102 3775 132445 SH SOLE 132445 AUTOMATIC DATA PROCESSING INC COM 053015103 340 8630 SH SOLE 8630 AXSYS TECHNOLOGIES INC COM 054615109 1125 20513 SH SOLE 20513 BAKER HUGHES INC COM 057224107 712 22190 SH SOLE 22190 BALLY TECHNOLOGIES INC COM 05874b107 907 37750 SH SOLE 37750 BANK OF AMERICA CORP COM 060505104 995 70678 SH SOLE 70678 BAXTER INTERNATIONAL INC COM 071813109 2329 43460 SH SOLE 43460 BIOMIMETIC THERAPEUTICS INC COM 09064x101 92 10000 SH SOLE 10000 BLOUNT INTL INC-NEW COM 095180105 142 15000 SH SOLE 15000 BOARDWALK PIPELINE PARTNERS LP COM 096627104 438 24650 SH SOLE 24650 BOEING CO COM 097023105 885 20750 SH SOLE 20750 CAROLCO PICTURES INC COM 143763100 0 10000 SH SOLE 10000 CHEVRON CORPORATION COM 166764100 2215 29943 SH SOLE 29943 CISCO SYSTEMS INC COM COM 17275r102 179 10975 SH SOLE 10975 CITIGROUP INC COM 172967101 169 25127 SH SOLE 25127 CONOCOPHILLIPS COM 20825c104 2444 47181 SH SOLE 47181 CONSOLIDATED EDISON INC COM 209115104 2332 59905 SH SOLE 59905 CTI GROUP HOLDINGS INC COM 126431105 1 10000 SH SOLE 10000 CVS CAREMARK CORPORATION COM 126650100 3169 110257 SH SOLE 110257 DTE ENERGY CO COM 233331107 2432 68190 SH SOLE 68190 E M C CORPORATION MASS COM 268648102 119 11400 SH SOLE 11400 EL PASO CORPORATION COM 28336l109 1844 235545 SH SOLE 235545 EMERSON ELECTRIC CO COM 291011104 3831 104630 SH SOLE 104630 EXELON CORP COM 30161n101 4208 75677 SH SOLE 75677 EXXON MOBIL CORP COM 30231g102 1205 15089 SH SOLE 15089 FPL GROUP INC COM 302571104 4108 81615 SH SOLE 81615 GENERAL ELECTRIC CO COM 369604103 228 14069 SH SOLE 14069 GILEAD SCIENCES INC COM 375558103 470 9200 SH SOLE 9200 GRAFTECH INTERNATIONAL LTD COM COM 384313102 998 120000 SH SOLE 120000 GSI GROUP INC COM 36229u102 6 10000 SH SOLE 10000 H J HEINZ CO COM 423074103 2933 77995 SH SOLE 77995 HARRIS CORP-DEL COM 413875105 3394 89205 SH SOLE 89205 HEWLETT PACKARD CO DEL COM 428236103 3806 104865 SH SOLE 104865 INTERNATIONAL BUSINESS MACHINE COM 459200101 3375 40103 SH SOLE 40103 JP MORGAN CHASE CO COM 46625h100 203 6427 SH SOLE 6427 LEHMAN BROTHERS HOLDINGS INC COM 524908100 0 10000 SH SOLE 10000 LOCKHEED MARTIN CORP COM 539830109 1396 16599 SH SOLE 16599 LOWES COMPANIES INC COM 548661107 708 32900 SH SOLE 32900 MARATHON OIL CORP COM 565849106 638 23310 SH SOLE 23310 MARSH & MCLENNAN COMPANIES INC COM 571748102 441 18175 SH SOLE 18175 MCDONALDS CORP COM 580135101 3517 56556 SH SOLE 56556 METLIFE INC COM 59156r108 1271 36459 SH SOLE 36459 MORGAN STANLEY COM 617446448 1101 68640 SH SOLE 68640 NATIONAL-OILWELL VARCO INC COM 637071101 978 40000 SH SOLE 40000 NORTHPOINT COMMUNICATIONS GROU COM 666610100 0 58000 SH SOLE 58000 NYVATEX OIL CORP COM 670794106 0 20000 SH SOLE 20000 OILSANDS QUEST INC COM 678046103 9 12000 SH SOLE 12000 PEPSICO INC COM 713448108 2417 44139 SH SOLE 44139 PFIZER INC COM 717081103 243 13747 SH SOLE 13747 PROCTER & GAMBLE CO COM 742718109 906 14653 SH SOLE 14653 SCHLUMBERGER LTD COM 806857108 1763 41653 SH SOLE 41653 TARGET CORP COM 87612e106 2212 64062 SH SOLE 64062 THERMO FISHER SCIENTIFIC INC COM 883556102 3673 107795 SH SOLE 107795 THORN APPLE VALLEY INC COM 885184101 0 16138 SH SOLE 16138 TYCO INTERNATIONAL LTD COM g9143x208 841 38950 SH SOLE 38950 UNITED TECHNOLOGIES CORP COM 913017109 3201 59715 SH SOLE 59715 VERIZON COMMUNICATIONS COM 92343v104 4271 126000 SH SOLE 126000 WAL-MART STORES INC COM 931142103 3047 54345 SH SOLE 54345 WEATHERFORD INTL LTD BERMUD COM g95089101 328 30300 SH SOLE 30300 WELLS FARGO & CO COM 949746101 2096 71103 SH SOLE 71103 WORLDGATE COMMUNICATIONS INC COM 98156l307 6 16000 SH SOLE 16000 FRANKLIN TEMPLETON FUNDS INCOM MUT 353496300 60 36026.201SH SOLE 36026.201 GATEWAY FUND CL A MUT 367829207 336 13885.263SH SOLE 13885.263 OPPENHEIMER INTERNATIONAL FUND MUT 68380t103 80 13578.275SH SOLE 13578.275 PRINCIPAL INVS FD INC HIGH YIE MUT 74254v661 64 10700.389SH SOLE 10700.389
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