0001038661-12-000001.txt : 20120106 0001038661-12-000001.hdr.sgml : 20120106 20120106130622 ACCESSION NUMBER: 0001038661-12-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120106 DATE AS OF CHANGE: 20120106 EFFECTIVENESS DATE: 20120106 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: 12513838 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 cover13fnew.txt 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, 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: 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 6, 2012 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: 81 Form 13F Information Table Value Total: 147902 List of Other Included Managers: No. 13F File Number Name Abner, Herrman & Brock Asset Management FORM 13F Master List December 31, 2011 Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M COMPANY COM 88579y101 494 6050 SH Sole 6050 ABBOTT LABORATORIES COM 002824100 2966 52752 SH Sole 52752 AIR PRODUCTS & CHEMICALS INC COM 009158106 1890 22190 SH Sole 22190 ALLSTATE CORP COM 020002101 393 14350 SH Sole 14350 AMERICAN EXPRESS COMPANY COM 025816109 4309 91344 SH Sole 91344 ANHEUSER-BUSCH INBEV SA SPONSO COM 03524a108 1752 28725 SH Sole 28725 AON CORP COM 037389103 1903 40671 SH Sole 40671 APPLE INC COM 037833100 9556 23595 SH Sole 23595 AT&T INC COM 00206r102 281 9284 SH Sole 9284 AUTOMATIC DATA PROCESSING INC COM 053015103 2960 54808 SH Sole 54808 BAKER HUGHES INC COM 057224107 569 11695 SH Sole 11695 BAXTER INTERNATIONAL INC COM 071813109 1109 22420 SH Sole 22420 BOEING CO COM 097023105 7507 102345 SH Sole 102345 BRISTOL MYERS SQUIBB CO COM 110122108 3973 112739 SH Sole 112739 CARNIVAL CORP COMMON PAIRED ST COM 143658300 1445 44268 SH Sole 44268 CATERPILLAR INC COM 149123101 515 5680 SH Sole 5680 CBS CORP NEW CLASS B COM 124857202 204 7500 SH Sole 7500 CELGENE CORP COM 151020104 2501 36990 SH Sole 36990 CHEVRON CORPORATION COM 166764100 2569 24148 SH Sole 24148 COCA COLA CO COM 191216100 209 2985 SH Sole 2985 COLGATE PALMOLIVE CO COM 194162103 1208 13080 SH Sole 13080 CONOCOPHILLIPS COM 20825c104 1585 21755 SH Sole 21755 CORNING INC COM 219350105 350 26978 SH Sole 26978 CSX CORP COM 126408103 471 22380 SH Sole 22380 DEERE & CO COM 244199105 1090 14096 SH Sole 14096 DELL INC COM 24702r101 1481 101212 SH Sole 101212 DICKS SPORTING GOODS INC COM 253393102 2674 72510 SH Sole 72510 DIRECTV CLASS A NEW COM 25490a101 3277 76632 SH Sole 76632 DOW CHEMICAL CO. COM 260543103 1156 40180 SH Sole 40180 E M C CORPORATION MASS COM 268648102 4973 230893 SH Sole 230893 EMERSON ELECTRIC CO COM 291011104 1335 28656 SH Sole 28656 EXELON CORP COM 30161n101 855 19720 SH Sole 19720 EXXON MOBIL CORP COM 30231g102 3473 40974 SH Sole 40974 FEDEX CORP COM 31428x106 1249 14960 SH Sole 14960 FOREST LABORATORIES INC COM 345838106 858 28340 SH Sole 28340 GENERAL ELECTRIC CO COM 369604103 2113 117980 SH Sole 117980 GENERAL MOTORS COMPANY COM 37045v100 1970 97177 SH Sole 97177 GILEAD SCIENCES INC COM 375558103 277 6764 SH Sole 6764 H J HEINZ CO COM 423074103 2206 40830 SH Sole 40830 HELMERICH & PAYNE INC COM 423452101 206 3534 SH Sole 3534 HEWLETT PACKARD CO COM 428236103 2142 83139 SH Sole 83139 HOME DEPOT INC COM 437076102 2079 49454 SH Sole 49454 INTEL CORP COM 458140100 985 40628 SH Sole 40628 INTERNATIONAL BUSINESS MACHINE COM 459200101 347 1888 SH Sole 1888 JOHNSON & JOHNSON COM 478160104 268 4084 SH Sole 4084 JPMORGAN CHASE & CO COM 46625h100 3796 114167 SH Sole 114167 LAS VEGAS SANDS CORP COM 517834107 3849 90080 SH Sole 90080 MARRIOT INTERNATIONAL INC NEW COM fhb903208 0 450363 SH Sole 450363 MARRIOTT INTERNATIONAL INC NEW COM 571903202 1481 50770 SH Sole 50770 MCDONALDS CORP COM 580135101 2411 24031 SH Sole 24031 MERCK & CO INC NEW COM 58933y105 291 7710 SH Sole 7710 METLIFE INC COM 59156r108 2328 74672 SH Sole 74672 MICROSOFT CORP COM 594918104 531 20445 SH Sole 20445 NATIONAL-OILWELL VARCO INC COM 637071101 2131 31347 SH Sole 31347 NEXTERA ENERGY INC COM 65339f101 3431 56363 SH Sole 56363 NYVATEX OIL CORP COM 670794106 0 20000 SH Sole 20000 OILSANDS QUEST INC COM 678046103 2 12000 SH Sole 12000 ORACLE CORP COM 68389x105 232 9034 SH Sole 9034 PEPSICO INC COM 713448108 3762 56703 SH Sole 56703 PETSMART INC COM 716768106 2195 42804 SH Sole 42804 PFIZER INC COM 717081103 341 15775 SH Sole 15775 PROCTER & GAMBLE CO COM 742718109 877 13149 SH Sole 13149 QUALCOMM INC COM 747525103 5781 105680 SH Sole 105680 SCHLUMBERGER LTD COM 806857108 1952 28582 SH Sole 28582 SL GREEN REALTY CORP COM 78440x101 400 6000 SH Sole 6000 TARGET CORP COM 87612e106 3265 63741 SH Sole 63741 TIME WARNER INC NEW COM 887317303 5031 139221 SH Sole 139221 TRANSCEPT PHARMACEUTICALS INC COM 89354m106 235 30000 SH Sole 30000 TYCO INTERNATIONAL LTD COM h89128104 1143 24467 SH Sole 24467 UNITED CONTINENTAL HLDGS INC COM 910047109 216 11465 SH Sole 11465 UNITED TECHNOLOGIES CORP COM 913017109 3151 43108 SH Sole 43108 UNITEDHEALTH GROUP INC COM 91324p102 3457 68206 SH Sole 68206 VERIZON COMMUNICATIONS COM 92343v104 1134 28275 SH Sole 28275 VIACOM INC NEW CLASS B COM 92553p201 341 7500 SH Sole 7500 WAL-MART STORES INC COM 931142103 975 16320 SH Sole 16320 WALT DISNEY CO COM 254687106 4609 122895 SH Sole 122895 WEATHERFORD INTERNATIONAL LTD COM h27013103 232 15850 SH Sole 15850 WELLPOINT INC COM 94973v107 635 9580 SH Sole 9580 WELLS FARGO & CO COM 949746101 1611 58459 SH Sole 58459 WORLDGATE COMMUNICATIONS INC COM 98156l307 1 16000 SH Sole 16000 GATEWAY FUND CL A MUT 367829207 339 12838.400SH Sole 12838.400 REPORT SUMMARY 81 DATA RECORDS 147902 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED