0001172661-11-000492.txt : 20110809 0001172661-11-000492.hdr.sgml : 20110809 20110809133319 ACCESSION NUMBER: 0001172661-11-000492 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110809 DATE AS OF CHANGE: 20110809 EFFECTIVENESS DATE: 20110809 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: 111019963 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 hol2q11.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: June 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 August 09, 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: 56 Form 13F Information Table Value Total: $187,902 (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 231 4948 SH SOLE 0 0 4948 AMTECH SYS INC COM PAR $0.01N 032332504 7627 369501 SH SOLE 0 0 369501 ANADARKO PETE CORP COM 032511107 368 4799 SH SOLE 0 0 4799 ANNALY CAP MGMT INC COM 035710409 1402 77742 SH SOLE 0 0 77742 ANWORTH MORTGAGE ASSET CP COM 037347101 12421 1653994 SH SOLE 0 0 1653994 APACHE CORP COM 037411105 377 3054 SH SOLE 0 0 3054 ARGAN INC COM 04010E109 17201 1696333 SH SOLE 0 0 1696333 BARRICK GOLD CORP COM 067901108 4976 109867 SH SOLE 0 0 109867 CENOVUS ENERGY INC COM 15135u109 4734 125709 SH SOLE 0 0 125709 CHESAPEAKE MIDSTREAM PARTNER UNIT 16524k108 7162 249546 SH SOLE 0 0 249546 CHEVRON CORP NEW COM 166764100 257 2500 SH SOLE 0 0 2500 CHIMERA INVT CORP COM 16934Q109 40 11700 SH SOLE 0 0 11700 CLOROX CO DEL COM 189054109 292 4325 SH SOLE 0 0 4325 COCA COLA CO COM 191216100 424 6300 SH SOLE 0 0 6300 COLGATE PALMOLIVE CO COM 194162103 350 4000 SH SOLE 0 0 4000 CORE LABORATORIES N V COM N22717107 4995 44780 SH SOLE 0 0 44780 COURIER CORP COM 222660102 143 12971 SH SOLE 0 0 12971 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 14031 312068 SH SOLE 0 0 312068 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273r109 293 6000 SH SOLE 0 0 6000 ENTERPRISE PRODS PARTNERS L COM 293792107 5397 124906 SH SOLE 0 0 124906 ENVESTNET INC COM 29404k106 5968 401863 SH SOLE 0 0 401863 EOG RES INC COM 26875p101 6863 65645 SH SOLE 0 0 65645 EXXON MOBIL CORP COM 30231G102 1341 16476 SH SOLE 0 0 16476 FMC TECHNOLOGIES INC COM 30249U101 3198 71400 SH SOLE 0 0 71400 GENERAL ELECTRIC CO COM 369604103 260 13809 SH SOLE 0 0 13809 GOLDCORP INC NEW COM 380956409 3586 74290 SH SOLE 0 0 74290 HATTERAS FINL CORP COM 41902r103 6452 228552 SH SOLE 0 0 228552 HSBC HLDGS PLC SPON ADR NEW 404280406 253 5100 SH SOLE 0 0 5100 INERGY L P UNIT LTD PTNR 456615103 3515 99398 SH SOLE 0 0 99398 INTERNATIONAL BUSINESS MACHS COM 459200101 438 2552 SH SOLE 0 0 2552 JOHNSON & JOHNSON COM 478160104 526 7907 SH SOLE 0 0 7907 KEY TECHNOLOGY INC COM 493143101 3610 224892 SH SOLE 0 0 224892 MAGNUM HUNTER RES CORP DEL COM 55973b102 89 13217 SH SOLE 0 0 13217 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 2403 44682 SH SOLE 0 0 44682 MEDCO HEALTH SOLUTIONS INC COM 58405U102 205 3625 SH SOLE 0 0 3625 MERCK & CO INC NEW COM 58933y105 559 15851 SH SOLE 0 0 15851 MFA FINANCIAL INC COM 55272x102 10221 1271314 SH SOLE 0 0 1271314 MICROSOFT CORP COM 594918104 399 15355 SH SOLE 0 0 15355 MOSAIC CO NEW COM 61945c103 2591 38252 SH SOLE 0 0 38252 NEWMONT MINING CORP COM 651639106 7691 142500 SH SOLE 0 0 142500 NORTH AMERN ENERGY PARTNERS COM 656844107 3579 467246 SH SOLE 0 0 467246 PENN VA RESOURCES PARTNERS L COM 707884102 5695 211407 SH SOLE 0 0 211407 PEPSICO INC COM 713448108 611 8675 SH SOLE 0 0 8675 PETROQUEST ENERGY INC COM 716748108 2683 382175 SH SOLE 0 0 382175 PFIZER INC COM 717081103 463 22489 SH SOLE 0 0 22489 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 7953 124264 SH SOLE 0 0 124264 PROCTER & GAMBLE CO COM 742718109 257 4046 SH SOLE 0 0 4046 QUEPASA CORP COM NEW 74833w206 3625 500000 SH SOLE 0 0 500000 REAVES UTIL INCOME FD COM SH BEN INT 756158101 239 9536 SH SOLE 0 0 9536 REPUBLIC SVCS INC COM 760759100 5198 168496 SH SOLE 0 0 168496 SANDRIDGE MISSISSIPPIAN TR I UNIT BEN INT 80007t101 3824 144557 SH SOLE 0 0 144557 SCHLUMBERGER LTD COM 806857108 3314 38361 SH SOLE 0 0 38361 TRANSATLANTIC PETROLEUM LTD SHS g89982105 2161 1271026 SH SOLE 0 0 1271026 URANIUM RES INC COM PAR $0.001 916901507 222 133000 SH SOLE 0 0 133000 WIRELESS TELECOM GROUP INC COM 976524108 1642 1978204 SH SOLE 0 0 1978204 XFONE INC COM 98414y109 3547 2533757 SH SOLE 0 0 2533757