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