-----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, P4OVU07G6+wms1epui4WTT0v+Gzem0jaDCPOiqD+X6QcptaZngpHspcq9ma0pfQt kRruLZ9juDfxv3oC3d45pQ== 0001047469-09-010080.txt : 20091113 0001047469-09-010080.hdr.sgml : 20091113 20091113103202 ACCESSION NUMBER: 0001047469-09-010080 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 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: 091179593 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 a2194895z13f-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: September 30, 2009 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: Laura Woodward Title: Chief Compliance Officer Phone: 617-772-8500 Signature, Place, and Date of Signing: /s/ Laura Woodward Boston, MA 11/13/09 - --------------------------------- ------------- ------- [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: 67 Form 13F Information Table Value Total: 495,965 (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 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ------------------------------- -------- --------- --------- ------------------ -------------------------- -------- ---------------- Voting Authority Investment Discretion (Shares) -------------------------- ---------------- Shares (b) Shared- (c) Title Value or SH/ PUT/ (a) As Defined Shared- Other (a) (b) (c) Name of Issuer of Class CUSIP (x$1000) Prn Amt PRN CALL Sole in instr. V other Managers Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ Abbott Laboratories Common 002824100 3,272 66,145 SH Sole NA Sole Acorda Therapeutics Inc. Common 00484M106 7,423 318,875 SH Sole NA Sole Aetna Inc. Common 00817Y108 7,760 278,831 SH Sole NA Sole Affymax Inc. Common 00826A109 3,229 135,182 SH Sole NA Sole Akorn, Inc. Common 009728106 2,939 2,145,147 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351AF6 891 20,000 SH Sole NA Sole Align Technology, Inc. Common 016255101 9,603 675,332 SH Sole NA Sole Alkermes, Inc. Common 01642T108 1,907 207,552 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 3,754 165,506 SH Sole NA Sole AMAG Pharmaceuticals, Inc. Common 00163U106 2,446 56,000 SH Sole NA Sole Amgen, Inc. Common 031162100 23,610 392,000 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 4,770 348,459 SH Sole NA Sole Athersys, Inc. Common 04744L106 976 800,000 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 8,398 120,400 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 21,021 416,100 SH Sole NA Sole BioMarin Pharmaceutical Inc. Common 09061G101 2,368 131,000 SH Sole NA Sole CardioNet, Inc. Common 14159L103 2,317 344,780 SH Sole NA Sole Celgene Corporation Common 151020104 29,582 529,200 SH Sole NA Sole Cephalon, Inc. Common 156708109 12,720 218,403 SH Sole NA Sole Charles River Laboratories International, Inc. Common 159864107 3,654 98,823 SH Sole NA Sole Clinical Data, Inc. Common 18725U109 318 19,068 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 1,141 174,224 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 7,365 364,602 SH Sole NA Sole CVS Caremark Corporation Common 126650100 10,418 291,500 SH Sole NA Sole deCODE Genetics, Inc. Note 243586AB0 103 700,000 SH Sole NA Sole Dendreon Corporation Common 24823Q107 1,435 51,257 SH Sole NA Sole DURECT Corporation Common 266605104 2,664 997,671 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 12,272 416,832 SH Sole NA Sole Gen-Probe Inc. Common 36866T103 3,849 92,881 SH Sole NA Sole Genzyme Corporation Common 372917104 16,602 292,648 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 13,275 285,000 SH Sole NA Sole Hologic, Inc. Common 436440101 11,695 715,740 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 11,888 237,752 SH Sole NA Sole Illumina, Inc. Common 452327109 15,752 370,636 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 5,145 588,637 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 7,044 26,860 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 13,881 358,400 SH Sole NA Sole Isis Pharmaceuticals, Inc. Common 464330109 2,229 153,000 SH Sole NA Sole Johnson & Johnson Common 478160104 4,095 67,255 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 11,517 175,299 SH Sole NA Sole Life Technologies Corporation Common 53217V109 12,437 267,175 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 5,278 233,651 SH Sole NA Sole Masimo Corporation Common 574795100 2,442 93,220 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 4,733 85,564 SH Sole NA Sole Medicines Company Common 584688105 1,463 132,850 SH Sole NA Sole Mylan Inc. Common 628530107 5,268 329,050 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 7,970 290,865 SH Sole NA Sole Onyx Pharmaceuticals, Inc. Common 683399109 5,527 184,402 SH Sole NA Sole OSI Pharmaceuticals, Inc. Common 671040103 4,158 117,800 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 2,013 963,239 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 8,244 428,491 SH Sole NA Sole Perrigo Company Common 714290103 12,137 357,088 SH Sole NA Sole Pfizer Common 717081103 4,305 260,127 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 7,349 334,940 SH Sole NA Sole Regeneron Pharmaceuticals, Inc. Common 75886F107 2,874 148,886 SH Sole NA Sole Sequenom, Inc. Common 817337405 3,306 1,023,639 SH Sole NA Sole Shire plc Sponsored ADR 82481R106 3,624 69,300 SH Sole NA Sole Stryker Corporation Common 863667101 10,450 230,023 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 26,658 527,263 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 12,201 249,055 SH Sole NA Sole VCA Antech Inc. Common 918194101 3,934 146,300 SH Sole NA Sole Vertex Pharmaceuticals Inc. Common 92532F100 10,284 271,347 SH Sole NA Sole Warner Chilcott plc Shares A G94368100 10,860 502,301 SH Sole NA Sole WellPoint, Inc. Common 94973V107 7,566 159,749 SH Sole NA Sole Wyeth Common 983024100 6,216 127,956 SH Sole NA Sole Xenoport, Inc. Common 98411C100 6,794 320,001 SH Sole NA Sole Zix Corp. Common 98974P100 2,546 1,157,112 SH Sole NA Sole COLUMN TOTALS $495,965
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