0001047469-12-005555.txt : 20120508
0001047469-12-005555.hdr.sgml : 20120508
20120508155645
ACCESSION NUMBER: 0001047469-12-005555
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120508
DATE AS OF CHANGE: 20120508
EFFECTIVENESS DATE: 20120508
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: 12821365
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
a2209168z13f-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, 2012
-----------------------
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 5/8/12
------------------------------- ----------------- -------------
[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: 73
--------------------
Form 13F Information Table Value Total: 569,471
--------------------
(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
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
------------------------ -------------- --------- ------------- ---------- --- ---- ---------- ---------- -------- -------- --------
Accuray, Inc. Common 004397105 2,578 365,113 SH Sole NA Sole
Acorda Therapeutics,
Inc. Common 00484M106 1,680 63,281 SH Sole NA Sole
Addus HomeCare
Corporation Common 006739106 1,593 321,791 SH Sole NA Sole
Aegerion
Pharmaceuticals, Inc. Common 00767E102 1,122 81,100 SH Sole NA Sole
Aetna, Inc. Common 00817Y108 12,848 256,141 SH Sole NA Sole
Akorn, Inc. Common 009728106 17,142 1,465,158 SH Sole NA Sole
Alere, Inc. Common 01449J105 10,979 422,100 SH Sole NA Sole
Alexion
Pharmaceuticals, Inc. Common 015351109 27,239 293,329 SH Sole NA Sole
Alkermes plc Shares G01767105 6,415 345,847 SH Sole NA Sole
Allergan, Inc. Common 018490102 11,764 123,278 SH Sole NA Sole
Amarin Corporation
plc Sponsored ADR 023111206 11,329 1,000,798 SH Sole NA Sole
Amgen, Inc. Common 031162100 6,249 91,909 SH Sole NA Sole
ARIAD
Pharmaceuticals, Inc. Common 04033A100 5,135 321,920 SH Sole NA Sole
Baxter International,
Inc. Common 071813109 6,292 105,260 SH Sole NA Sole
Biogen Idec, Inc. Common 09062X103 12,580 99,866 SH Sole NA Sole
Bruker Corporation Common 116794108 4,849 316,710 SH Sole NA Sole
Celgene Corporation Common 151020104 23,098 297,965 SH Sole NA Sole
Ceres, Inc. Common 156773103 6,152 427,481 SH Sole NA Sole
Community Health
Systems, Inc. Common 203668108 1,242 55,850 SH Sole NA Sole
Cornerstone
Therapeutics, Inc. Common 21924P103 1,038 174,224 SH Sole NA Sole
Covance, Inc. Common 222816100 6,668 140,000 SH Sole NA Sole
Cubist
Pharmaceuticals, Inc. Common 229678107 8,586 198,524 SH Sole NA Sole
Curis, Inc. Common 231269101 450 93,420 SH Sole NA Sole
CVS Caremark
Corporation Common 126650100 4,749 106,006 SH Sole NA Sole
Dendreon Corporation Common 24823Q107 5,392 506,073 SH Sole NA Sole
Elan Corporation plc ADR 284131208 5,354 356,666 SH Sole NA Sole
Endo Pharmaceutical
Holdings, Inc. Common 29264F205 3,447 89,000 SH Sole NA Sole
Express Scripts, Inc. Common 302182100 10,803 199,388 SH Sole NA Sole
Gen-Probe, Inc. Common 36866T103 9,003 135,572 SH Sole NA Sole
Gilead Sciences, Inc. Common 375558103 28,721 587,951 SH Sole NA Sole
HCA Holdings, Inc. Common 40412C101 1,471 59,450 SH Sole NA Sole
Health Management
Associates, Inc. Class A 421933102 925 137,675 SH Sole NA Sole
Human Genome
Sciences, Inc. Common 444903108 5,923 718,848 SH Sole NA Sole
iCAD, Inc. Common 44934S107 43 86,734 SH Sole NA Sole
IDEXX Laboratories,
Inc. Common 45168D104 4,920 56,265 SH Sole NA Sole
Illumina, Inc. Common 452327109 5,298 100,700 SH Sole NA Sole
Impax Laboratories,
Inc. Common 45256B101 12,884 524,153 SH Sole NA Sole
IntelliPharmaCeutics
International, Inc. Common 458173101 4,893 1,735,000 SH Sole NA Sole
iShares Nasdaq
Biotechnology Index
Fund Common 464287556 7,965 64,601 SH Sole NA Sole
Jazz Pharmaceuticals,
Inc. Common G50871105 1,907 39,350 SH Sole NA Sole
Keryx Pharmaceuticals
Inc. Common 492515101 1,355 272,079 SH Sole NA Sole
Life Technologies
Corp. Common 53217V109 6,737 138,000 SH Sole NA Sole
LifePoint Hospitals,
Inc. Common 53219L109 1,215 30,812 SH Sole NA Sole
McKesson Corporation Common 58155Q103 4,991 56,862 SH Sole NA Sole
Medivation, Inc. Common 58501N101 12,384 165,735 SH Sole NA Sole
Merck & Co. Inc. Common 58933Y105 9,908 258,030 SH Sole NA Sole
Momenta
Pharmaceuticals, Inc. Common 60877T100 1,368 89,300 SH Sole NA Sole
Mylan, Inc. Common 628530107 18,311 780,834 SH Sole NA Sole
Nektar Therapeutics Common 640268108 8,049 1,016,305 SH Sole NA Sole
Neurocrine
Biosciences, Inc. Common 64125C109 6,477 812,649 SH Sole NA Sole
NPS Pharmaceutical,
Inc. Common 62936P103 2,136 312,230 SH Sole NA Sole
OncoGenex
Pharmaceuticals, Inc. Common 68230A106 1,503 113,100 SH Sole NA Sole
Onyx Pharmaceuticals,
Inc. Common 683399109 6,177 163,932 SH Sole NA Sole
Palomar Medical
Technologies, Inc. Common 697529303 1,051 112,550 SH Sole NA Sole
PAREXEL International
Corporation Common 699462107 8,176 303,165 SH Sole NA Sole
PerkinElmer, Inc. Common 714046109 9,557 345,532 SH Sole NA Sole
Perrigo Company Common 714290103 18,748 181,469 SH Sole NA Sole
Quest Diagnostics,
Inc. Common 74834L100 9,045 147,917 SH Sole NA Sole
Regeneron
Pharmaceuticals, Inc. Common 75886F107 16,096 138,020 SH Sole NA Sole
Sanofi Right
12/31/2020 80105N113 140 103,665 SH Sole NA Sole
Santarus, Inc. Common 802817304 2,621 447,983 SH Sole NA Sole
Shire plc Sponsored ADR 82481R106 11,446 120,804 SH Sole NA Sole
Targacept, Inc. Common 87611R306 998 195,000 SH Sole NA Sole
Teva Pharmaceutical
Industries, Ltd. ADR 881624209 27,555 611,518 SH Sole NA Sole
Thermo Fisher
Scientific, Inc. Common 883556102 8,830 156,621 SH Sole NA Sole
United Therapeutics
Corporation Common 91307C102 10,297 218,475 SH Sole NA Sole
UnitedHealth Group,
Inc. Common 91324P102 5,553 94,213 SH Sole NA Sole
Verastem, Inc. Common 92337C104 8,705 884,920 SH Sole NA Sole
Vertex
Pharmaceuticals, Inc. Common 92532F100 20,454 498,753 SH Sole NA Sole
VIVUS, Inc. Common 928551100 8,074 361,100 SH Sole NA Sole
Warner Chilcott plc Shares A G94368100 11,357 675,621 SH Sole NA Sole
Watson
Pharmaceuticals, Inc. Common 942683103 8,181 122,000 SH Sole NA Sole
Zogenix, Inc. Common 98978L105 1,250 625,000 SH Sole NA Sole
COLUMN TOTALS $569,471