-----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, K6/BbhcvGVvVEbSgkIBIkI0w5mJB2oVC9myvYmuXfdi10jcLTWKAoFjCXg/ZqkAW oKv1kN6HjJH+E0J1tx/L3A== 0001172661-11-000069.txt : 20110211 0001172661-11-000069.hdr.sgml : 20110211 20110211093159 ACCESSION NUMBER: 0001172661-11-000069 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110211 EFFECTIVENESS DATE: 20110211 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: 11595257 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 hol4q10.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: December 31, 2010 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: 28-13354 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 February 11, 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 Form13F Information Table Entry Total: 59 Form13F Information Table Value Total: $197,260 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AFLAC INC COM 001055102 279 4948 SH Sole 0 0 4948 AMTECH SYS INC COM PAR $0.01N 032332504 13098 520814 SH Sole 0 0 520814 ANADARKO PETE CORP COM 032511107 365 4799 SH Sole 0 0 4799 ANNALY CAP MGMT INC COM 035710409 1393 77742 SH Sole 0 0 77742 ANWORTH MORTGAGE ASSET CP COM 037347101 11322 1617398 SH Sole 0 0 1617398 APACHE CORP COM 037411105 364 3054 SH Sole 0 0 3054 ARGAN INC COM 04010E109 3461 373333 SH Sole 0 0 373333 ARGAN INC COM 04010E109 12264 1323000 SH Sole 0 0 1323000 BARRICK GOLD CORP COM 067901108 3564 67027 SH Sole 0 0 67027 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 4104 131849 SH Sole 0 0 131849 CHESAPEAKE MIDSTREAM PARTNER UNIT 99/99/9999 16524k108 2441 84854 SH Sole 0 0 84854 CHIMERA INVT CORP COM 16934Q109 6327 1539369 SH Sole 0 0 1539369 CINEMARK HOLDINGS INC COM 17243v102 3939 228460 SH Sole 0 0 228460 CLOROX CO DEL COM 189054109 293 4625 SH Sole 0 0 4625 COCA COLA CO COM 191216100 414 6300 SH Sole 0 0 6300 COLGATE PALMOLIVE CO COM 194162103 321 4000 SH Sole 0 0 4000 CORE LABORATORIES N V COM N22717107 4955 55644 SH Sole 0 0 55644 COURIER CORP COM 222660102 201 12971 SH Sole 0 0 12971 DESTINATION MATERNITY CORP COM 25065d100 448 11818 SH Sole 0 0 11818 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 11286 288857 SH Sole 0 0 288857 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273r109 2801 54047 SH Sole 0 0 54047 ENTERPRISE PRODS PARTNERS L COM 293792107 3791 91115 SH Sole 0 0 91115 EOG RES INC COM 26875p101 6122 66971 SH Sole 0 0 66971 EXXON MOBIL CORP COM 30231G102 987 13499 SH Sole 0 0 13499 FMC TECHNOLOGIES INC COM 30249U101 3992 44900 SH Sole 0 0 44900 GENERAL ELECTRIC CO COM 369604103 258 14083 SH Sole 0 0 14083 GOLDCORP INC NEW COM 380956409 3081 66999 SH Sole 0 0 66999 HATTERAS FINL CORP COM 41902r103 2572 84970 SH Sole 0 0 84970 INERGY L P UNIT LTD PTNR 456615103 4059 103439 SH Sole 0 0 103439 ISHARES TR BARCLYS TIPS BD 464287176 215 2000 SH Sole 0 0 2000 JOHNSON & JOHNSON COM 478160104 489 7907 SH Sole 0 0 7907 KEY TECHNOLOGY INC COM 493143101 4141 243442 SH Sole 0 0 243442 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 4252 69177 SH Sole 0 0 69177 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 2213 41335 SH Sole 0 0 41335 MEDCO HEALTH SOLUTIONS INC COM 58405U102 234 3825 SH Sole 0 0 3825 MERCK & CO INC NEW COM 58933y105 511 14176 SH Sole 0 0 14176 MFA FINANCIAL INC COM 55272x102 9491 1163099 SH Sole 0 0 1163099 MICROSOFT CORP COM 594918104 460 16469 SH Sole 0 0 16469 NEWMONT MINING CORP COM 651639106 4051 65945 SH Sole 0 0 65945 ONEOK INC NEW COM 682680103 7494 135097 SH Sole 0 0 135097 PENN VA GP HLDGS L P COM UNIT R LIM 70788P105 4868 184967 SH Sole 0 0 184967 PEPSICO INC COM 713448108 532 8150 SH Sole 0 0 8150 PETROQUEST ENERGY INC COM 716748108 2859 379675 SH Sole 0 0 302544 PFIZER INC COM 717081103 394 22489 SH Sole 0 0 22489 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 6789 108118 SH Sole 0 0 108118 PLANAR SYS INC COM 726900103 949 465379 SH Sole 0 0 465379 PROCTER & GAMBLE CO COM 742718109 212 3296 SH Sole 0 0 3296 REAVES UTIL INCOME FD COM SH BEN INT 756158101 9265 413600 SH Sole 0 0 413600 REPUBLIC SVCS INC COM 760759100 5192 173878 SH Sole 0 0 173878 SCHLUMBERGER LTD COM 806857108 3135 37547 SH Sole 0 0 37547 SOUTHWESTERN ENERGY CO COM 845467109 3823 102126 SH Sole 0 0 102126 SPDR GOLD TRUST GOLD SHS 78463v107 3155 22745 SH Sole 0 0 22745 TANDY BRANDS ACCESSORIES INC COM 875378101 114 39995 SH Sole 0 0 39995 TRANSATLANTIC PETROLEUM LTD SHS g89982105 3461 1039222 SH Sole 0 0 1039222 ULTRA PETROLEUM CORP COM 903914109 5070 106128 SH Sole 0 0 106128 URANIUM RES INC COM PAR $0.001 916901507 126 37000 SH Sole 0 0 37000 URANIUM RES INC COM PAR $0.001 916901507 425 125100 SH Sole 0 0 125100 WIRELESS TELECOM GROUP INC COM 976524108 1721 1978204 SH Sole 0 0 1978204 XFONE INC COM 98414y109 3117 2533757 SH Sole 0 0 2533757
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