-----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, DmKptAjaIZU5cISYk1HLrIwrWQJ2nIcccBpEqFGkPPRrzGkU8VR8oOTruCkzN9GT QDmp+21hX4UPaAWy2JlLew== 0001047469-08-012237.txt : 20081114 0001047469-08-012237.hdr.sgml : 20081114 20081114091522 ACCESSION NUMBER: 0001047469-08-012237 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HALE & DORR CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000922899 IRS NUMBER: 042988321 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03747 FILM NUMBER: 081187282 BUSINESS ADDRESS: STREET 1: 60 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6175265153 MAIL ADDRESS: STREET 1: 60 STATE ST CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: HALDOR INVESTMENT ADVISORS L P DATE OF NAME CHANGE: 19990305 13F-HR 1 a2189219z13f-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: September 30, 2008 ----------------------- 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: Hale and Dorr Capital Management LLC ------------------------------------ Address: 60 State Street ------------------------------------ Boston, MA 02109 ------------------------------------ Form 13F File Number: 28-03747 --------------------- 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: Kristin E. DiBarnaba ------------------------------- Title: Chief Compliance Officer ------------------------------- Phone: 617-526-5871 ------------------------------- Signature, Place, and Date of Signing: /s/ Kristin E. DiBarnaba Boston, Massachusetts November 14, 2008 ------------------------------- --------------------- ----------------- [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: None. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 152 -------------------- Form 13F Information Table Value Total: $489,042 -------------------- (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. None. FORM 13F INFORMATION TABLE
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- -------- ------ ------ 3M COMPANY COM 88579Y101 6179 90460 SH SOLE 90460 0 0 ABBOTT LABORATORIES COM 002824100 978 16987 SH SOLE 16987 0 0 ACCENTURE LTD CL A G1150G111 6604 173792 SH SOLE 169522 0 4270 ACE LIMITED ORD G0070K103 4234 78222 SH SOLE 74102 0 4120 AFLAC INC COM 001055102 10145 172673 SH SOLE 167213 0 5460 AIR PRODUCTS & CHEMICALS INC COM 009158106 613 8950 SH SOLE 8950 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 283 16237 SH SOLE 16237 0 0 ALCOA INC COM 013817101 203 9000 SH SOLE 9000 0 0 ALLSCRIPTS HEALTHCARE SOLUTION COM 01988P108 1456 117055 SH SOLE 117055 0 0 ALLSTATE CORP COM 020002101 1181 25611 SH SOLE 25611 0 0 ALTRIA GROUP INC COM 02209S103 320 16130 SH SOLE 16130 0 0 AMERICAN CAPITAL STRATEGIES COM 024937104 400 15675 SH SOLE 15675 0 0 AMERICAN EXPRESS COMPANY COM 025816109 4565 128859 SH SOLE 128859 0 0 AMGEN INC COM 031162100 7536 127150 SH SOLE 123335 0 3815 ANHEUSER BUSCH COMPS INC COM 035229103 1030 15870 SH SOLE 15870 0 0 APACHE CORP COM 037411105 2021 19378 SH SOLE 19378 0 0 APPLE INC COM 037833100 2938 25852 SH SOLE 24842 0 1010 AT&T INC COM 00206R102 963 34478 SH SOLE 34478 0 0 AUTOMATIC DATA PROCESS INC COM 053015103 1024 23947 SH SOLE 23947 0 0 AVERY DENNISON CORP COM 053611109 238 5350 SH SOLE 5350 0 0 BANK OF AMERICA CORP COM 060505104 8823 252082 SH SOLE 245492 6590 BAXTER INTERNATIONAL INC COM 071813109 1336 20355 SH SOLE 20355 0 0 BECTON DICKINSON & COMPANY COM 075887109 6800 84730 SH SOLE 82535 0 2195 BERKSHIRE HATHAWAY INC CL A 084670108 4571 35 SH SOLE 35 0 0 BERKSHIRE HATHAWAY INC CL B 084670207 712 162 SH SOLE 162 0 0 BEST BUY COMPANY INC COM 086516101 4091 109085 SH SOLE 104445 0 4640 BMC SOFTWARE COM 055921100 2963 103506 SH SOLE 99526 0 3980 BP PLC-SPONS ADR SPON 055622104 2166 43176 SH SOLE 43176 0 0 ADR BRISTOL MYERS SQUIBB COM 110122108 3546 170063 SH SOLE 163278 0 6785 CARNIVAL CORP COM 143658300 358 10132 SH SOLE 10132 0 0 CATERPILLAR INC COM 149123101 1298 21775 SH SOLE 21775 0 0 CHESAPEAKE ENERGY CORP COM 165167107 3783 105492 SH SOLE 100572 0 4920 CHEVRONTEXACO CORP COM 166764100 8514 103228 SH SOLE 100328 0 2900 CHUBB CORP COM 171232101 774 14100 SH SOLE 14100 0 0 CIGNA CORP COM 125509109 1049 30877 SH SOLE 30877 0 0 CISCO SYSTEMS INC COM 17275R102 10234 453618 SH SOLE 443863 0 9755 CITIGROUP INC COM 172967101 1740 84822 SH SOLE 84822 0 0 COCA COLA COMPANY COM 191216100 1148 21715 SH SOLE 21715 0 0 COLGATE-PALMOLIVE COMPANY COM 194162103 11360 150761 SH SOLE 146856 0 3905 CONOCOPHILLIPS COM 20825C104 1395 19050 SH SOLE 19050 0 0 CONSOLIDATED EDISON COM 209115104 948 22070.38 SH SOLE 22070.38 0 0 COVIDIEN LTD SPNS ADR G2552X108 1111 20672 SH SOLE 20672 0 0
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- -------- ------ ------ CSX CORP COM 126408103 833 15260 SH SOLE 15260 0 0 CVS CORP COM 126650100 5369 159515 SH SOLE 153895 0 5620 DELL INC COM 24702R101 595 36079 SH SOLE 36079 0 0 DISNEY, THE WALT COMPANY COM 254687106 696 22670 SH SOLE 22670 0 0 DOLLAR TREE STORES COM 256747106 323 8870 SH SOLE 8870 0 0 DOMINION RESOURCES INC/VA COM 25746U109 441 10312 SH SOLE 10312 0 0 DOW CHEMICAL COMPANY COM 260543103 563 17720 SH SOLE 17720 0 0 EATON CORP COM 278058102 3776 67211 SH SOLE 65126 0 2085 ELI LILLY & COMPANY COM 532457108 362 8215 SH SOLE 8215 0 0 EMERSON ELECTRIC COMPANY COM 291011104 248 6080 SH SOLE 6080 0 0 ENERGY SELECT SECTOR SPDR SBI INT- ETF ENERGY 81369Y506 360 5690 SH SOLE 5690 0 0 ENSCO INTL INC COM 26874Q100 2985 51799 SH SOLE 49509 0 2290 EXELON CORP COM 30161N101 909 14521 SH SOLE 14521 0 0 EXXON MOBIL CORP COM 30231G102 28603 368316 SH SOLE 364086 0 4230 FEDEX CORP COM 31428X106 28 350 SH SOLE 350 0 0 FORTUNE BRANDS INC COM 349631101 617 10761 SH SOLE 10761 0 0 FPL GROUP INC COM 302571104 1539 30600 SH SOLE 30600 0 0 FRANKLIN STREET PROPERTIES C COM 35471R106 1585 121960 SH SOLE 121960 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 789 13884 SH SOLE 13884 0 0 GENENTECH INC COM NEW 368710406 532 6000 SH SOLE 6000 0 0 GENERAL ELECTRIC COMPANY COM 369604103 20253 794221 SH SOLE 781491 0 12730 GENERAL MILLS INC COM 370334104 360 5240 SH SOLE 5240 0 0 GENZYME CORP COMP COM 372917104 2989 36950 SH SOLE 36950 0 0 GILEAD SCIENCES INC COM 375558103 1234 27040 SH SOLE 27040 0 0 GLAXOSMITHKLINE PLC- SPON SPONS ADR ADR 37733W105 680 15643 SH SOLE 15643 0 0 GOLDCORP INC COM 380956409 358 11317 SH SOLE 11317 0 0 GOLDMAN SACHS GROUP COM 38141G104 2241 17511 SH SOLE 17511 0 0 HEWLETT PACKARD COMPANY COM 428236103 455 9848 SH SOLE 9848 0 0 HOLOGIC INC COM 436440101 2611 135052 SH SOLE 129102 0 5950 HONEYWELL INTERNATIONAL INC COM 438516106 1302 31338 SH SOLE 31338 0 0 IBM CORP COM 459200101 21205 181298 SH SOLE 179328 0 1970 ILLINOIS TOOL WORKS INC COM 452308109 989 22260 SH SOLE 22260 0 0 INGERSOLL-RAND COMP CL A CL A G4776G101 758 24315 SH SOLE 24315 0 0 INTEL CORP COM 458140100 6797 362919 SH SOLE 357514 0 5405 ISHARES INC MSCI 464286848 332 31185 SH SOLE 31185 0 0 JAPAN ISHARES MSCI EAFE MSCI 464287465 7658 136018 SH SOLE 94548 0 41470 EAFE IDX ISHARES MSCI EMERGING MARKETS CLS END 464287234 2360 69074 SH SOLE 69074 0 0 ISHARES RUSSELL 2000 RUSSELL 464287655 545 8009 SH SOLE 8009 0 0 2000 ISHARES RUSSELL 3000 RUSSELL 464287689 348 5065 SH SOLE 5065 0 0 INDEX FUN 3000 ISHARES S&P 500/GROWTH S&P 500 464287309 508 8951 SH SOLE 8951 0 0 GRW ISHARES S&P 500/VALUE S&P 500 464287408 492 8227 SH SOLE 8227 0 0 VALUE
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- -------- ------ ------ ISHARES S&P MIDCAP 400 S&P 464287507 211 2917 SH SOLE 2917 0 0 MIDCAP 400 ISHARES S&P MIDCAP S&P 400 400/GROWTH GRW 464287606 272 3630 SH SOLE 3630 0 0 ISHARES S&P WORLD EX-U.S. PROP CLS END 464288422 353 11075 SH SOLE 10825 0 250 JOHNSON & JOHNSON COM 478160104 24625 355443 SH SOLE 351033 0 4410 JOHNSON CONTROLS INC COM 478366107 393 12970 SH SOLE 12970 0 0 JP MORGAN CHASE & COMPANY COM 46625H100 7729 165511 SH SOLE 160716 0 4795 KELLOGG CO COM 487836108 34 600 SH SOLE 600 0 0 KIMBERLY CLARK CORP COM 494368103 434 6701 SH SOLE 6701 0 0 KIMCO REALTY CORP COM 49446R109 2239 60600 SH SOLE 60600 0 0 KINROSS GOLD CORP COM NO 496902404 322 20000 SH SOLE 20000 0 0 PAR L-3 COMMUNICATIONS HLDGS INC COM 502424104 5555 56504 SH SOLE 55444 0 1060 LOCKHEED MARTIN CORP COM 539830109 1645 15000 SH SOLE 15000 0 0 MANULIFE FINANCIAL CORP COM 56501R106 4253 115921 SH SOLE 115921 0 0 MCDONALDS CORP COM 580135101 4002 64865 SH SOLE 62290 0 2575 MCGRAW-HILL COMPANIES INC COM 580645109 1942 61424 SH SOLE 61424 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 914 20304 SH SOLE 20304 0 0 MEDTRONIC INC COM 585055106 7007 139863 SH SOLE 135253 0 4610 MEMC ELECTRONIC MATERIALS COM 552715104 2192 77569 SH SOLE 75179 0 2390 MERCK & COMPANY INC COM 589331107 361 11436 SH SOLE 11436 0 0 MICROSOFT CORP COM 594918104 11839 443563 SH SOLE 433883 0 9680 MONSANTO CO NEW COM 61166W101 2769 27975 SH SOLE 27975 0 0 NETWORK APPLIANCE INC COM 64120L104 264 14500 SH SOLE 14500 0 0 NIKE INC CL B 654106103 9974 149088 SH SOLE 145318 0 3770 NOBLE CORP COM G65422100 224 5100 SH SOLE 5100 0 0 NORFOLK SOUTHERN CORP COM 655844108 1010 15260 SH SOLE 15260 0 0 OCCIDENTAL PETROLEUM CORP COM 674599105 3228 45818 SH SOLE 45818 0 0 ORACLE CORP COM 68389X105 2140 105362 SH SOLE 105362 0 0 PEPSICO INC COM 713448108 12690 178058 SH SOLE 173433 0 4625 PETROLEUM DEVELOPMENT CORP COM 716578109 253 5707 SH SOLE 5707 0 0 PFIZER INC COM 717081103 1749 94853 SH SOLE 94853 0 0 PHILIP MORRIS INTERNATIONAL COM 718172109 3547 73743 SH SOLE 70523 0 3220 PPL CORP COM 69351T106 1182 31935 SH SOLE 31935 0 0 PROCTER & GAMBLE COMPANY COM 742718109 27031 387872 SH SOLE 382422 0 5450 QUEST DIAGNOSTICS INC COM 74834L100 4894 94716 SH SOLE 90571 0 4145 QUESTAR CORP COM 748356102 1780 43505 SH SOLE 43505 0 0 ROCKWELL COLLINS INC COM 774341101 2506 52118 SH SOLE 50523 0 1595 ROYAL DUTCH SHELL PLC SPON 780259206 934 15832 SH SOLE 15832 0 0 ADR A SCHLUMBERGER LTD COM 806857108 7455 95467 SH SOLE 94427 0 1040 SELECT SECTOR SPDR TR SBI INT- 81369Y605 4764 239510 SH SOLE 225400 0 14110 FINL
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- -------- ------ ------ SHERWIN WILLIAMS CO COM 824348106 854 14944 SH SOLE 14944 0 0 SIMON PROPERTY GROUP INC COM 828806109 943 9725 SH SOLE 9725 0 0 SPDR INDEX SHS FDS DJWS 78463X863 8858 232115 SH SOLE 225775 0 6340 INTL REAL SPDR TR UNIT SER 78462F103 2248 19377 SH SOLE 19377 0 0 1 STANDEX INTERNATIONAL CORP COM 854231107 3247 117012 SH SOLE 117012 0 0 STATE STREET CORP COM 857477103 297 5218 SH SOLE 5218 0 0 STRYKER CORP COM 863667101 267 4279 SH SOLE 4279 0 0 SUNCOR ENERGY INC COM 867229106 253 6000 SH SOLE 6000 0 0 SYSCO CORP COM 871829107 484 15700 SH SOLE 15700 0 0 TARGET CORP COM 87612E106 2665 54329 SH SOLE 52144 0 2185 TEVA PHARMACEUTICAL- SPONS ADR ADR 881624209 6840 149370 SH SOLE 146195 0 3175 TEXAS INSTRUMENTS INC COM 882508104 449 20870 SH SOLE 20870 0 0 TRANSOCEAN INC COM G90073100 1981 18033 SH SOLE 17303 0 730 TYCO INTERNATIONAL LTD COM G9143X208 724 20672 SH SOLE 20672 0 0 UNION PACIFIC CORP COM 907818108 2799 39338 SH SOLE 39338 0 0 UNITED TECHNOLOGIES CORP COM 913017109 12532 208661 SH SOLE 205096 0 3565 UNITEDHEALTH GROUP INC COM 91324P102 1817 71570 SH SOLE 71570 0 0 US BANCORP COM 902973304 1302 36133 SH SOLE 36133 0 0 VALERO ENERGY CORP COM 91913Y100 228 7524 SH SOLE 7524 0 0 VANGUARD WORLD FDS ENERGY 92204A306 364 3900 SH SOLE 3900 0 0 ETF VARIAN MEDICAL SYSTEMS INC COM 92220P105 342 5985 SH SOLE 5985 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4871 151786 SH SOLE 146896 0 4890 WAL MART STORES INC COM 931142103 521 8695 SH SOLE 8695 0 0 WALGREEN COMPANY COM 931422109 1061 34285 SH SOLE 34285 0 0 WELLS FARGO & COMPANY COM 949746101 9486 252750 SH SOLE 245710 0 7040 WEYERHAEUSER COMPANY COM 962166104 516 8519 SH SOLE 8519 0 0 WHITE MOUNTAINS INSURANCE GROUP COM G9618E107 254 540 SH SOLE 540 0 0 WILEY JOHN & SONS INC CL A CL A 968223206 214 5300 SH SOLE 5300 0 0 WYETH COM 983024100 516 13981 SH SOLE 13981 0 0 YAMANA GOLD INC COM 98462Y100 130 15600 SH SOLE 15600 0 0
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