0001047469-12-000610.txt : 20120203
0001047469-12-000610.hdr.sgml : 20120203
20120203144031
ACCESSION NUMBER: 0001047469-12-000610
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120203
DATE AS OF CHANGE: 20120203
EFFECTIVENESS DATE: 20120203
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: 12569348
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
a2206801z13f-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, 2011
-----------------------
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, 9 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 2/3/12
------------------------------- ----------------- -------------
[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: 71
--------------------
Form 13F Information Table Value Total: 475,415
--------------------
(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
------------------------ -------------- --------- ------------- ---------- --- ---- ---------- ---------- -------- -------- --------
Acorda Therapeutics,
Inc. Common 00484M106 2,012 84,375 SH Sole NA Sole
Addus HomeCare
Corporation Common 006739106 1,542 431,900 SH Sole NA Sole
Aegerion
Pharmaceuticals, Inc. Common 00767E102 778 46,500 SH Sole NA Sole
Aetna, Inc. Common 00817Y108 10,807 256,141 SH Sole NA Sole
Affymax, Inc. Common 00826A109 2,328 352,127 SH Sole NA Sole
Akorn, Inc. Common 009728106 16,293 1,465,158 SH Sole NA Sole
Alexion Pharmaceuticals,
Inc. Common 015351109 20,973 293,329 SH Sole NA Sole
Alkermes plc Shares G01767105 11,118 640,454 SH Sole NA Sole
Allergan, Inc. Common 018490102 8,535 97,278 SH Sole NA Sole
Amarin Corporation plc Sponsored
ADR 023111206 4,500 600,798 SH Sole NA Sole
Amgen, Inc. Common 031162100 5,901 91,909 SH Sole NA Sole
ARIAD Pharmaceuticals,
Inc. Common 04033A100 4,929 402,400 SH Sole NA Sole
Auxilium
Pharmaceuticals, Inc. Common 05334D107 2,000 100,362 SH Sole NA Sole
Baxter International,
Inc. Common 071813109 4,201 84,900 SH Sole NA Sole
Biogen Idec, Inc. Common 09062X103 10,990 99,866 SH Sole NA Sole
Bruker Corporation Common 116794108 2,857 230,000 SH Sole NA Sole
Celgene Corporation Common 151020104 15,059 222,765 SH Sole NA Sole
Cerner Corporation Common 156782104 6,159 100,550 SH Sole NA Sole
Community Health
Systems, Inc. Common 203668108 975 55,850 SH Sole NA Sole
Corcept Therapeutics
Inc. Common 218352102 855 250,000 SH Sole NA Sole
Cornerstone
Therapeutics, Inc. Common 21924P103 976 174,224 SH Sole NA Sole
Cubist Pharmaceuticals,
Inc. Common 229678107 7,866 198,524 SH Sole NA Sole
Curis, Inc. Common 231269101 874 186,840 SH Sole NA Sole
CVS Caremark Corporation Common 126650100 4,323 106,006 SH Sole NA Sole
Dendreon Corporation Common 24823Q107 5,586 735,036 SH Sole NA Sole
Elan Corporation plc ADR 284131208 6,048 440,184 SH Sole NA Sole
Express Scripts, Inc. Common 302182100 7,326 163,927 SH Sole NA Sole
Gen-Probe, Inc. Common 36866T103 10,687 180,772 SH Sole NA Sole
Gilead Sciences, Inc. Common 375558103 22,919 559,945 SH Sole NA Sole
HCA Holdings, Inc. Common 40412C101 1,310 59,450 SH Sole NA Sole
Health Management
Associates, Inc. Class A 421933102 1,015 137,675 SH Sole NA Sole
Human Genome Sciences,
Inc. Common 444903108 5,312 718,848 SH Sole NA Sole
IDEXX Laboratories, Inc. Common 45168D104 4,811 62,516 SH Sole NA Sole
Illumina, Inc. Common 452327109 1,759 57,700 SH Sole NA Sole
Impax Laboratories, Inc. Common 45256B101 5,933 294,153 SH Sole NA Sole
Inhibitex Inc. Common 45719T103 5,953 544,109 SH Sole NA Sole
IntelliPharmaCeutics
International, Inc. Common 458173101 4,274 1,560,000 SH Sole NA Sole
iShares Nasdaq
Biotechnology Index Fund Common 464287556 6,964 66,741 SH Sole NA Sole
Jazz Pharmaceuticals,
Inc. Common 472147107 1,520 39,350 SH Sole NA Sole
Keryx Pharmaceuticals
Inc. Common 492515101 2,055 812,176 SH Sole NA Sole
LifePoint Hospitals,
Inc. Common 53219L109 1,145 30,812 SH Sole NA Sole
McKesson Corporation Common 58155Q103 4,430 56,862 SH Sole NA Sole
Medco Health Solutions,
Inc. Common 58405U102 4,788 85,657 SH Sole NA Sole
Medivation, Inc. Common 58501N101 8,491 184,150 SH Sole NA Sole
Merck & Co. Inc. Common 58933Y105 10,809 286,700 SH Sole NA Sole
Momenta Pharmaceuticals,
Inc. Common 60877T100 3,106 178,600 SH Sole NA Sole
Mylan, Inc. Common 628530107 13,606 634,034 SH Sole NA Sole
Nektar Therapeutics Common 640268108 5,686 1,016,305 SH Sole NA Sole
Neurocrine Biosciences,
Inc. Common 64125C109 10,391 1,222,495 SH Sole NA Sole
NPS Pharmaceutical, Inc. Common 62936P103 2,058 312,230 SH Sole NA Sole
OncoGenex
Pharmaceuticals, Inc. Common 68230A106 1,093 93,100 SH Sole NA Sole
Onyx Pharmaceuticals,
Inc. Common 683399109 7,205 163,932 SH Sole NA Sole
Palomar Medical
Technologies, Inc. Common 697529303 1,047 112,550 SH Sole NA Sole
PAREXEL International
Corporation Common 699462107 6,288 303,165 SH Sole NA Sole
PerkinElmer, Inc. Common 714046109 8,561 428,032 SH Sole NA Sole
Perrigo Company Common 714290103 17,657 181,469 SH Sole NA Sole
Pharmasset, Inc. Common 71715N106 39,295 306,513 SH Sole NA Sole
Quest Diagnostics, Inc. Common 74834L100 5,202 89,600 SH Sole NA Sole
Regeneron
Pharmaceuticals, Inc. Common 75886F107 2,982 53,800 SH Sole NA Sole
Sanofi Aventis Right
12/31/2020 80105N113 124 103,665 SH Sole NA Sole
Santarus, Inc. Common 802817304 2,828 854,385 SH Sole NA Sole
Shire plc Sponsored
ADR 82481R106 12,552 120,804 SH Sole NA Sole
Teva Pharmaceutical
Industries, Ltd. ADR 881624209 19,192 475,518 SH Sole NA Sole
Thermo Fisher
Scientific, Inc. Common 883556102 3,206 71,288 SH Sole NA Sole
United Therapeutics
Corporation Common 91307C102 10,323 218,475 SH Sole NA Sole
UnitedHealth Group, Inc. Common 91324P102 5,457 107,672 SH Sole NA Sole
Vertex Pharmaceuticals,
Inc. Common 92532F100 11,001 331,253 SH Sole NA Sole
VIVUS, Inc. Common 928551100 2,919 299,400 SH Sole NA Sole
Warner Chilcott plc Shares A G94368100 7,272 480,621 SH Sole NA Sole
Zimmer Holdings, Inc. Common 98956P102 4,754 89,000 SH Sole NA Sole
Zogenix, Inc. Common 98978L105 1,624 725,000 SH Sole NA Sole
Common
COLUMN TOTALS $ 475,415