-----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, LAl7ZTxTmVHFw29auvfzUsw5MRUbtxwRHL17tgyvg3KS4ljPYh4gHh1ILKpbw95G WUafzOYdQSlCuEuCOXRJ6w== 0001047469-10-005307.txt : 20100514 0001047469-10-005307.hdr.sgml : 20100514 20100514122945 ACCESSION NUMBER: 0001047469-10-005307 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100514 DATE AS OF CHANGE: 20100514 EFFECTIVENESS DATE: 20100514 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: 10831731 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 a2197582z13f-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: March 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: Hambrecht & Quist Capital Management LLC Address: 2 Liberty Square, 9th Floor Boston, MA 02109 Form 13F File Number: 28-10950 ------ 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 5/14/2010 - --------------------------- [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: 66 Form 13F Information Table Value Total: $553,979 (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 Page 1 of 1
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------- -------------- --------- ----------- ------------------- ---------- ---------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------- -------------- --------- ----------- ---------- --- ---- ---------- ---------- -------- -------- -------- Abbott Laboratories Common 002824100 4,449 84,445 SH Sole NA Sole Acorda Therapeutics Inc. Common 00484M106 12,492 365,265 SH Sole NA Sole Addus HomeCare Corp. Common 006739106 1,888 312,500 SH Sole NA Sole Adolor Corporation Common 00724X102 756 419,744 SH Sole NA Sole Aetna Inc. Common 00817Y108 12,012 342,131 SH Sole NA Sole Affymax, Inc. Common 00826A109 5,349 228,283 SH Sole NA Sole Akorn, Inc. Common 009728106 4,305 2,813,984 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351109 2,419 44,500 SH Sole NA Sole Align Technology, Inc. Common 016255101 15,722 812,932 SH Sole NA Sole Alkermes, Inc. Common 01642T108 3,434 264,752 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 3,264 191,758 SH Sole NA Sole AMAG Pharmaceuticals, Inc. Common 00163U106 5,752 164,764 SH Sole NA Sole Amgen Inc. Common 031162100 25,187 421,471 SH Sole NA Sole ARIAD Pharmaceuticals, Inc. Common 04033A100 676 198,750 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 5,591 71,016 SH Sole NA Sole BioMarin Pharmaceutical Inc. Common 09061G101 3,061 131,000 SH Sole NA Sole CardioNet, Inc. Common 14159L103 1,591 208,000 SH Sole NA Sole Celgene Corporation Common 151020104 31,937 515,440 SH Sole NA Sole Cephalon, Inc. Common 156708109 13,963 206,003 SH Sole NA Sole Charles River Laboratories International, Inc. Common 159864107 4,577 116,446 SH Sole NA Sole Clinical Data, Inc. Common 18725U109 370 19,068 SH Sole NA Sole Cornerstone Therapeutics Inc. Common 21924P103 1,106 174,224 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 10,134 449,602 SH Sole NA Sole CVS Caremark Corporation Common 126650100 13,279 363,200 SH Sole NA Sole DepoMed Inc. Common 249908104 923 260,000 SH Sole NA Sole DURECT Corporation Common 266605104 3,003 997,671 SH Sole NA Sole Eurand N.V. Shares A N31010106 2,420 214,521 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 15,013 478,732 SH Sole NA Sole Gen-Probe Inc. Common 36866T103 4,290 85,809 SH Sole NA Sole Genzyme Corporation Common 372917104 9,558 184,417 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 26,406 580,614 SH Sole NA Sole Hologic, Inc. Common 436440101 13,854 747,240 SH Sole NA Sole Human Genome Sciences, Inc. Common 444903108 1,299 43,000 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 15,036 261,277 SH Sole NA Sole Illumina, Inc. Common 452327109 13,399 344,436 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 8,420 470,937 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 9,351 26,860 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 14,862 381,573 SH Sole NA Sole iShares Nasdaq Biotechnology Index Fund Index 464287556 6,748 74,200 SH Sole NA Sole Isis Pharmaceuticals, Inc. Common 464330109 3,936 360,400 SH Sole NA Sole Johnson & Johnson Common 478160104 3,857 59,155 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 12,855 169,799 SH Sole NA Sole Life Technologies Corporation Common 53217V109 10,025 191,794 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 8,634 383,551 SH Sole NA Sole Masimo Corporation Common 574795100 2,913 109,720 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 3,649 56,514 SH Sole NA Sole Medivation, Inc. Common 58501N101 4,721 450,000 SH Put Sole NA Sole Mylan Inc. Common 628530107 6,494 285,934 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 6,427 267,228 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 2,256 654,039 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 11,338 474,391 SH Sole NA Sole Perrigo Company Common 714290103 14,490 246,761 SH Sole NA Sole Pfizer Inc. Common 717081103 9,639 562,063 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 11,311 476,240 SH Sole NA Sole Regeneron Pharmaceuticals, Inc. Common 75886F107 2,996 113,086 SH Sole NA Sole Shire plc Sponsored ADR 82481R106 7,790 118,100 SH Sole NA Sole Somaxon Pharmaceuticals, Inc. Common 834453102 649 75,000 SH Sole NA Sole Stryker Corporation Common 863667101 15,405 269,223 SH Sole NA Sole Telik, Inc. Common 87959M109 444 535,098 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 33,495 531,000 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 15,285 276,251 SH Sole NA Sole VCA Antech Inc. Common 918194101 3,482 124,217 SH Sole NA Sole Vertex Pharmaceuticals Inc. Common 92532F100 5,725 140,088 SH Sole NA Sole Warner Chilcott plc Shares A G94368100 9,761 382,017 SH Sole NA Sole WellPoint, Inc. Common 94973V107 13,765 213,809 SH Sole NA Sole XenoPort, Inc. Common 98411C100 4,741 512,001 SH Sole NA Sole COLUMN TOTALS $553,979
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