-----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, F5hRxqqLdiPTACTxQsL4K/UqzhThy3JvmKkJQ6lkKw4uALrTOzoFQ0GpyE7nqq2A isPto4kwcDNp+1LeRnxMoA== 0001047469-09-001216.txt : 20090213 0001047469-09-001216.hdr.sgml : 20090213 20090213153345 ACCESSION NUMBER: 0001047469-09-001216 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090213 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: 09602865 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 a2189611z13f-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: 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: 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 2/13/09 - --------------------------- [City, State] [Date] [Signature] 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: 56 Form 13F Information Table Value Total: $426,262 (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 6 COLUMN 8 INVESTMENT DISCRETION VOTING AUTHORITY COLUMN 5 -------------------------------- (SHARES) COLUMN 2 COLUMN 3 COLUMN 4 ------------------ (b) SHARED- COLUMN 7 ---------------- COLUMN 1 TITLE OF 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 MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ ACADIA Pharmaceuticals, Inc. Common 004225108 947 1,052,468 SH Sole NA Sole Aetna Inc. Common 00817Y108 3,278 115,000 SH Sole NA Sole Affymax Inc. Common 00826A109 1,350 135,182 SH Sole NA Sole Akorn, Inc. Common 009728106 3,814 1,658,289 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351109 10,050 277,700 SH Sole NA Sole Align Technology, Inc. Common 016255101 6,398 731,220 SH Sole NA Sole Alkermes, Inc. Common 01642T108 5,911 555,000 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 1,303 52,700 SH Sole NA Sole Amgen, Inc. Common 031162100 25,872 448,000 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 1,465 135,000 SH Sole NA Sole Athersys, Inc. Common 04744L106 360 800,000 SH Sole NA Sole Avalon Pharmaceuticals, Inc. Common 05346P106 118 405,721 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 17,828 374,300 SH Sole NA Sole CardioNet, Inc. Common 14159L103 21,398 868,088 SH Sole NA Sole Catalyst Health Solutions, Inc. Common 14888B103 5,562 228,400 SH Sole NA Sole Celgene Corp. Common 151020104 27,695 501,000 SH Sole NA Sole Cephalon, Inc. Common 156708109 5,054 65,600 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 200 75,627 SH Sole NA Sole Cougar Biotechnology, Inc. Common 222083107 4,386 168,682 SH Sole NA Sole CVS Caremark Corporation Common 126650100 9,024 314,000 SH Sole NA Sole deCODE Genetics, Inc. Note 243586AB0 74 700,000 SH Sole NA Sole Electro-Optical Sciences, Inc. Common 285192100 1,474 440,141 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 5,518 1,099,230 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 5,502 216,000 SH Sole NA Sole Genentech, Inc. Common 368710406 18,083 218,100 SH Sole NA Sole Genzyme Corporation Common 372917104 23,453 353,375 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 38,560 754,000 SH Sole NA Sole Hologic, Inc. Common 436440101 5,827 445,798 SH Sole NA Sole ICON Plc Sponsored ADR 45103T107 4,607 233,968 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 9,588 265,746 SH Sole NA Sole Illumina, Inc. Common 452327109 6,380 244,900 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 2,743 21,600 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 7,201 380,800 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 7,890 122,500 SH Sole NA Sole Lexicon Pharmaceuticals, Inc. Common 528872104 1,084 774,191 SH Sole NA Sole Life Technologies Corporation Common 53217V109 7,137 306,175 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 12,733 420,092 SH Sole NA Sole Masimo Corporation Common 574795100 4,757 159,480 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 8,726 208,200 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 60877T100 2,062 177,766 SH Sole NA Sole Mylan Inc. Common 628530107 5,917 598,250 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 10,370 156,500 SH Sole NA Sole NitroMed, Inc. Common 654798503 251 696,600 SH Sole NA Sole OSI Pharmaceuticals, Inc. Common 671040103 7,498 192,000 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 1,528 973,239 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 2,952 212,200 SH Sole NA Sole Perrigo Company Common 714290103 6,788 210,088 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 3,560 122,700 SH Sole NA Sole Phase Forward, Inc. Common 71721R406 707 56,500 SH Sole NA Sole Stryker Corporation Common 863667101 7,211 180,500 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 22,701 533,264 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 7,712 123,300 SH Sole NA Sole Vertex Pharmaceuticals Inc. Common 92532F100 11,666 384,000 SH Sole NA Sole WellPoint, Inc. Common 94973V107 4,188 99,400 SH Sole NA Sole Xenoport, Inc. Common 98411C100 6,272 250,060 SH Sole NA Sole Zix Corp. Common 98974P100 1,529 1,285,000 SH Sole NA Sole COLUMN TOTALS $426,262
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