-----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, Dnkv4cfGGgf4VjNbXnQqGf3ojvtA3S33/R7ZEUpkhn03Cwk4aLmG8Ayu/9OWn/U7 vVgAqEK/Nm5pPl2HWRxXjQ== 0001047469-11-000870.txt : 20110214 0001047469-11-000870.hdr.sgml : 20110214 20110214111846 ACCESSION NUMBER: 0001047469-11-000870 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11603290 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 a2201219z13f-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, 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-_____ 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 2/14/11 - --------------------------------- ------------- -------- [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: 93 Form 13F Information Table Value Total: 567,814 (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 (SEC USE ONLY) 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 - ------------------------- -------------- --------- ----------- ---------- --- ---- ---------- ---------- -------- -------- -------- Acorda Therapeutics, Inc. Common 00484M106 4,209 154,400 SH Sole NA Sole Addus HomeCare Corporation Common 006739106 1,276 311,900 SH Sole NA Sole Adolor Corporation Common 00724X102 1,673 1,382,744 SH Sole NA Sole Aetna, Inc. Common 00817Y108 13,855 454,103 SH Sole NA Sole Affymax, Inc. Common 00826A109 2,342 352,127 SH Sole NA Sole Affymetrix, Inc. Common 00826T108 3,536 703,000 SH Sole NA Sole Akorn, Inc. Common 009728106 13,621 2,244,056 SH Sole NA Sole Alere, Inc. Common 01449J105 13,996 382,399 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351109 14,362 178,300 SH Sole NA Sole Align Technology, Inc. Common 016255101 12,876 658,932 SH Sole NA Sole Alkermes, Inc. Common 01642T108 6,019 490,175 SH Sole NA Sole Allergan, Inc. Common 018490102 2,825 41,141 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 1,231 124,858 SH Sole NA Sole Amarin Corporation plc Common 023111206 4,433 540,000 SH Sole NA Sole Amgen, Inc. Common 031162100 6,636 120,871 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 3,183 216,400 SH Sole NA Sole ARIAD Pharmaceuticals, Inc. Common 04033A100 2,482 486,750 SH Sole NA Sole Auxilium Pharmaceuticals, Inc. Common 05334D107 2,413 114,350 SH Sole NA Sole Baxter International, Inc. Common 071813109 5,993 118,400 SH Sole NA Sole BioMarin Pharmaceutical Inc. Common 09061G101 3,393 126,000 SH Sole NA Sole Boston Scientific Corporation Common 101137107 1,026 135,500 SH Sole NA Sole Bruker Corporation Common 116794108 3,528 212,500 SH Sole NA Sole Cadence Pharmaceutical, Inc. Common 12738T100 2,310 306,000 SH Sole NA Sole Celera Corporation Common 15100E106 4,360 692,000 SH Sole NA Sole Celgene Corporation Common 151020104 28,197 476,790 SH Sole NA Sole Cephalon, Inc. Common 156708109 8,302 134,503 SH Sole NA Sole Charles River Laboratories International, Inc. Common 159864107 6,206 174,633 SH Sole NA Sole The Cooper Companies, Inc. Common 216648402 1,042 18,488 SH Sole NA Sole Corcept Therapeutics Inc. Common 218352102 1,158 300,000 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 1,009 174,224 SH Sole NA Sole Covidien plc Common G2554F105 943 20,653 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 8,456 395,124 SH Sole NA Sole Curis, Inc. Common 231269101 778 393,000 SH Sole NA Sole CVS Caremark Corporation Common 126650100 7,359 211,650 SH Sole NA Sole Cynosure, Inc. Common 232577205 1,122 109,631 SH Sole NA Sole Danaher Corporation Common 235851102 992 21,024 SH Sole NA Sole Dendreon Corporation Common 24823Q107 4,100 117,400 SH Sole NA Sole DURECT Corporation Common 266605104 1,727 500,690 SH Sole NA Sole Elan Corporation plc ADR 284131208 8,973 1,566,000 SH Sole NA Sole Eurand N.V. Ordinary Shares N31010106 3,727 315,071 SH Sole NA Sole Exact Sciences Corporation Common 30063P105 2,610 436,400 SH Sole NA Sole Express Scripts, Inc. Common 302182100 942 17,433 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 9,361 292,726 SH Sole NA Sole Gen-Probe Inc. Common 36866T103 3,355 57,493 SH Sole NA Sole Genzyme Corporation Common 372917104 7,381 103,665 SH Sole NA Sole Geron Corporation Common 374163103 2,930 566,761 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 18,810 519,038 SH Sole NA Sole Hologic, Inc. Common 436440101 14,063 747,240 SH Sole NA Sole Human Genome Sciences, Inc. Common 444903108 5,678 237,676 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 13,024 188,150 SH Sole NA Sole Illumina, Inc. Common 452327109 19,644 310,136 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 3,919 194,894 SH Sole NA Sole InterMune, Inc. Common 45884X103 8,321 228,600 SH Sole NA Sole Ironwood Pharmaceuticals, Inc. Common 46333X108 4,797 463,500 SH Sole NA Sole Ishares Nasdaq Biotechnology Index Fund Common 464287556 17,147 183,552 SH Sole NA Sole Isis Pharmaceuticals, Inc. Common 464330109 3,647 360,400 SH Sole NA Sole Kinetic Concepts, Inc. Common 49460W208 5,931 141,628 SH Sole NA Sole Laboratory Corporation of America Holdings Common 50540R409 8,892 101,133 SH Sole NA Sole Life Technologies Corporation Common 53217V109 8,965 161,540 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 9,401 300,351 SH Sole NA Sole Masimo Corporation Common 574795100 2,392 82,290 SH Sole NA Sole McKesson Corporation Common 58155Q103 6,003 85,292 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 10,877 177,528 SH Sole NA Sole Medtronic, Inc. Common 585055106 959 25,869 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 60877T100 4,905 327,636 SH Sole NA Sole Mylan, Inc. Common 628530107 15,064 712,934 SH Sole NA Sole Nektar Therapeutics Common 640268108 1,997 155,425 SH Sole NA Sole Neurocrine Biosciences, Inc. Common 64125C109 9,092 1,190,095 SH Sole NA Sole NPS Pharmaceuticals, Inc. Common 62936P103 3,034 384,090 SH Sole NA Sole OncoGenex Pharmaceuticals, Inc. Common 68230A106 1,259 75,000 SH Sole NA Sole Onyx Pharmaceuticals, Inc. Common 683399109 1,720 46,650 SH Sole NA Sole Palomar Medical Technologies, Inc. Common 697529303 1,438 101,200 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 13,098 507,291 SH Sole NA Sole Perrigo Company Common 714290103 8,991 141,969 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 14,505 534,448 SH Sole NA Sole Pharmasset, Inc. Common 71715N106 3,107 71,580 SH Sole NA Sole Quest Diagnostics, Inc. Common 74834L100 1,943 36,000 SH Sole NA Sole St. Jude Medical, Inc. Common 790849103 1,006 23,524 SH Sole NA Sole Seattle Genetics, Inc. Common 812578102 3,903 261,100 SH Sole NA Sole Shire plc Sponsored ADR 82481R106 9,996 138,100 SH Sole NA Sole Somaxon Pharmaceuticals, Inc. Common 834453102 1,657 526,000 SH Sole NA Sole Telik, Inc. Common 87959M109 414 544,904 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 12,867 246,818 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 1,965 35,500 SH Sole NA Sole Thoratec Corporation Common 885175307 3,455 122,000 SH Sole NA Sole UnitedHealth Group, Inc. Common 91324P102 896 24,802 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 705 11,144 SH Sole NA Sole Vertex Pharmaceuticals, Inc. Common 92532F100 9,373 267,560 SH Sole NA Sole Warner Chilcott plc Ordinary Shares G94368100 10,062 446,017 SH Sole NA Sole Watson Pharmaceuticals, Inc. Common 942683103 2,195 42,500 SH Sole NA Sole WellPoint, Inc. Common 94973V107 15,630 274,891 SH Sole NA Sole XenoPort, Inc. Common 98411C100 7,857 922,132 SH Sole NA Sole Zimmer Holdings, Inc. Common 98956P102 962 17,925 SH Sole NA Sole COLUMN TOTALS 567,814
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