-----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, TI1eSJtxaXLvjFdtILqy5zT/l15S82/xzR+yEnYOfdACfc/vTaHrCeVVfO6jGwSw OS7LBFGcS9lAksk9uSSddw== 0001047469-08-012252.txt : 20081114 0001047469-08-012252.hdr.sgml : 20081114 20081114104643 ACCESSION NUMBER: 0001047469-08-012252 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hambrecht & Quist Capital Management LLC CENTRAL INDEX KEY: 0001300336 IRS NUMBER: 010628853 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10950 FILM NUMBER: 081187845 BUSINESS ADDRESS: STREET 1: 2 LIBERTY SQUARE STREET 2: 9TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 772-8500 MAIL ADDRESS: STREET 1: 2 LIBERTY SQUARE STREET 2: 9TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 a2189193z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/08 ----------------------- 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: Hambrecht & Quist Capital Management LLC -------------------------------------------- Address: 2 Liberty Square, 9th Floor -------------------------------------------- Boston, MA 02109 -------------------------------------------- -------------------------------------------- Form 13F File Number: 28- --------------------- 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: Carolyn P. Haley ------------------------------- Title: Chief Compliance Officer ------------------------------- Phone: 617-772-8500 ------------------------------- Signature, Place, and Date of Signing: /s/ Carolyn P. Haley Boston, MA 11/14/08 ------------------------------- ----------------- ------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- --------------- ------------------------------------ [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 64 -------------------- Form 13F Information Table Value Total: $558,785 -------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28- ------ ----------------- --------------------------------- [Repeat as necessary.] FORM 13F Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC (SEC USE ONLY) Page 1 of 1
COLUMN 8 COLUMN 6 VOTING AUTHORITY INVESTMENT DISCRETION (SHARES) COLUMN 2 COLUMN 4 COLUMN 5 (B) SHARED- COLUMN 7 ---------------- COLUMN 1 TITLE OF COLUMN 3 VALUE SHARES OR SH/ PUT/ AS DEFINED (C) SHARED- OTHER (A) (B) (C) NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL (A) SOLE IN INSTR. V OTHER MANGERS SOLE SHARED NONE - ------------------------ ---------- --------- -------- --------- --- ---- -------- ----------- ----------- -------- ---- ------ ---- ACADIA Pharmaceuticals, Inc. Common 004225108 2,821 1,052,468 SH Sole NA Sole Aetna Inc. Common 00817Y108 4,153 115,000 SH Sole NA Sole Affymax Inc. Common 00826A109 2,683 135,182 SH Sole NA Sole Akorn, Inc. Common 009728106 8,507 1,658,289 SH Sole NA Sole Align Technology, Inc. Common 016255101 7,919 731,220 SH Sole NA Sole Alkermes, Inc. Common 01642T108 7,382 555,000 SH Sole NA Sole Allergan, Inc. Common 018490102 6,530 126,800 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 1,526 52,700 SH Sole NA Sole Amgen, Inc. Common 031162100 22,451 378,800 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 2,730 135,000 SH Sole NA Sole Applied Biosystems Inc. Common 038149100 5,480 160,000 SH Sole NA Sole Athersys, Inc. Common 04744L106 1,392 800,000 SH Sole NA Sole Avalon Pharmaceuticals, Inc. Common 05346P106 130 405,721 SH Sole NA Sole Barr Pharmaceuticals, Inc. Common 068306109 7,098 108,700 SH Sole NA Sole Baxter International Inc. Common 071813109 18,915 288,200 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 15,201 189,400 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 13,744 273,300 SH Sole NA Sole BioMarin Pharmaceuticals, Inc. Common 09061G101 9,727 367,200 SH Sole NA Sole CardioNet, Inc. Common 14159L103 19,501 868,088 SH Sole NA Sole Celgene Corp. Common 151020104 26,261 415,000 SH Sole NA Sole Cougar Biotechnology, Inc. Common 222083107 5,632 168,682 SH Sole NA Sole Critical Therapeutics, Inc. Common 22674T105 144 756,272 SH Sole NA Sole CVS Caremark Corporation Common 126650100 9,559 284,000 SH Sole NA Sole deCODE Genetics, Inc. Note 243586AB0 140 700,000 SH Sole NA Sole Dentsply International, Inc. Common 249030107 4,906 130,700 SH Sole NA Sole Electro-Optical Sciences, Inc. Common 285192100 2,298 440,141 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 11,122 1,829,230 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 6,108 216,000 SH Sole NA Sole Genentech, Inc. Common 368710406 14,783 166,700 SH Sole NA Sole Genzyme Corporation Common 372917104 28,585 353,375 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 30,220 663,000 SH Sole NA Sole HealthExtras, Inc. Common 422211102 5,966 228,400 SH Sole NA Sole Hologic, Inc. Common 436440101 6,607 341,798 SH Sole NA Sole ICON Plc Sponsored ADR 45103T107 12,392 323,968 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 14,563 265,746 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 5,205 21,600 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 7,317 243,900 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 8,514 122,500 SH Sole NA Sole Lexicon Pharmaceuticals, Inc. Common 528872104 1,378 774,191 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 13,199 420,092 SH Sole NA Sole Masimo Corporation Common 574795100 15,512 416,980 SH Sole NA Sole Medarex, Inc. Common 583916101 2,931 453,000 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 9,369 208,200 SH Sole NA Sole Medicines Company Common 584688105 4,119 177,400 SH Sole NA Sole Merck & Co., Inc. Common 589331107 2,436 77,200 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 60877T100 6,414 489,250 SH Sole NA Sole Mylan Inc. Common 628530107 5,199 455,250 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 15,149 233,500 SH Sole NA Sole
COLUMN 8 COLUMN 6 VOTING AUTHORITY INVESTMENT DISCRETION (SHARES) COLUMN 2 COLUMN 4 COLUMN 5 (B) SHARED- COLUMN 7 ---------------- COLUMN 1 TITLE OF COLUMN 3 VALUE SHARES OR SH/ PUT/ AS DEFINED (C) SHARED- OTHER (A) (B) (C) NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL (A) SOLE IN INSTR. V OTHER MANGERS SOLE SHARED NONE - ------------------------ ---------- --------- -------- --------- --- ---- -------- ----------- ----------- -------- ---- ------ ---- NitroMed, Inc. Common 654798503 320 696,600 SH Sole NA Sole Omrix Biopharmaceuticals, Inc. Common 681989109 6,132 341,800 SH Sole NA Sole OSI Pharmaceuticals, Inc. Common 671040103 9,464 192,000 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 2,005 973,239 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 5,299 212,200 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 5,074 122,700 SH Sole NA Sole Phase Forward, Inc. Common 71721R406 2,352 112,500 SH Sole NA Sole Sangamo BioSciences, Inc. Common 800677106 1,971 256,000 SH Sole NA Sole Stryker Corporation Common 863667101 11,245 180,500 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 20,041 437,677 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 14,850 270,000 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 15,902 151,200 SH Sole NA Sole Vertex Pharmaceuticals Inc. Common 92532F100 12,764 384,000 SH Sole NA Sole WellPoint, Inc. Common 94973V107 4,649 99,400 SH Sole NA Sole Xenoport, Inc. Common 98411C100 9,895 204,060 SH Sole NA Sole Zix Corp. Common 98974P100 2,904 1,285,000 SH Sole NA Sole COLUMN TOTALS $558,785
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