-----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, Q8OyOG1B9Ewm+YlDogwAnexFuoAde3ZsfJrRltjMpzcuOg8zhoGAyN6C9Lx3UDEN yqrc96eRPn5tnPe2+QUTOg== 0001085146-02-000042.txt : 20020414 0001085146-02-000042.hdr.sgml : 20020414 ACCESSION NUMBER: 0001085146-02-000042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADAMS HARKNESS & HILL INC CENTRAL INDEX KEY: 0001036591 IRS NUMBER: 042149932 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05469 FILM NUMBER: 02542430 BUSINESS ADDRESS: STREET 1: 60 STATE STREET STREET 2: STE 1200 CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6173713900 MAIL ADDRESS: STREET 1: 60 STATE STREET STREET 2: STE 1200 CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 ahh4q01.txt ADAMS HARKNESS & HILL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2001 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: Adams, Harkness & Hill, Inc. Address: Sixty State Street, Suite 1200 Boston, MA 02109 13F File Number: 28-05469 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: J. Eric Anderson Title: Director of Compliance Phone: (617) 371-3900 Signature, Place, and Date of Signing: /s/ J. Eric Anderson Boston, MA February 12, 2002 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 76 Form13F Information Table Value Total: $145,999 thousands List of Other Included Managers: List of Other Managers Reporting for this Manager: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE TITLE OF VALUE SHARES/ SH/PUT/INVSTMTOTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRNCALLDSCRETNMANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ AETHER SYSTEMS INC COM 00808V105 67 7261 SH SOLE 7261 0 0 ALEXION PHARMACEUTICALS COM 015351109 10 400 SH SOLE 400 0 0 ALLIED CAPITAL CORP COM 01903Q108 3318 127600 SH SOLE 127600 0 0 AMERICAN INT'L COM 026874107 22 281 SH SOLE 281 0 0 AOL TIME WARNER INC COM 00184a105 42 1300 SH SOLE 1300 0 0 ARIBA INC COM 04033v104 770 125000 SH SOLE 125000 0 0 ASCENT PEDIATRICS COM 04362X994 0 215969 SH SOLE 215969 0 0 ASTROPOWER INC COM COM 04644A101 4751 117500 SH SOLE 117500 0 0 ATHEROGENICS INC COM 047439104 9000 1487600 SH SOLE 1487600 0 0 AUGUST TECHNOLOGY CORP COM 05106U105 1270 115000 SH SOLE 115000 0 0 BALLARD POWER SYSTEMS INC COM 05858H104 89 3000 SH SOLE 3000 0 0 BORLAND SOFTWARE CORPORATION COM 099849101 2412 154000 SH SOLE 154000 0 0 BP AMOCO PLC COM G12793181 5 600 SH SOLE 600 0 0 BRISTOL-MYERS SQUIBB COM 110122108 320 6272 SH SOLE 6272 0 0 BROADCOM CORPORATION COM 111320107 204 5000 SH SOLE 5000 0 0 CALPINE CORP COM 131347106 2342 139500 SH SOLE 139500 0 0 CAPSTONE TURBINE CORP COM 14067d102 189 35000 SH SOLE 35000 0 0 COGNIZANT TECH SOLUTIONS COM 192446102 19 466 SH SOLE 466 0 0 COMVERSE TECHNOLOGY INC COM 205862402 4 160 SH SOLE 160 0 0 CONCEPTUS INC COM 206016107 6953 294600 SH SOLE 294600 0 0 CORNING COM 219350105 1379 154600 SH SOLE 154600 0 0 DIRECT FOCUS INC COM 254931108 3738 119800 SH SOLE 119800 0 0 DMC STRATEX NETWORKS INC COM 23322l106 1202 154500 SH SOLE 154500 0 0 EMC CORP COM 268648102 4 333 SH SOLE 333 0 0 ENTEGRIS INC COM 29362U104 548 50000 SH SOLE 50000 0 0 FIRST FINL FD INC COM COM 320228109 625 50000 SH SOLE 50000 0 0 FORRESTER RESEARCH INC COM 346563109 2487 123500 SH SOLE 123500 0 0 FREEMARKETS INC COM 356602102 1244 51900 SH SOLE 51900 0 0 FUELCELL ENERGY INC COM 35952H106 6924 381700 SH SOLE 381700 0 0 GAIAM INC COM 36268Q103 131 6000 SH SOLE 6000 0 0 HEWLETT-PACKARD COM 428236103 131 6400 SH SOLE 6400 0 0 IMMUNOGEN INC COM 45253H101 2404 145000 SH SOLE 145000 0 0 INTEL CORP COM 458140100 57 1800 SH SOLE 1800 0 0 IVILLAGE INC COM 46588H105 572 301000 SH SOLE 301000 0 0 J P MORGAN CHASE & CO COM 46625H100 79 2160 SH SOLE 2160 0 0 JONES APPAREL GROUP INC COM 480074103 33 1000 SH SOLE 1000 0 0 KANA COMMUNICATIONS INC COM 483600300 2839 145950 SH SOLE 145950 0 0 KOSAN BIOSCIENCES INC COM 50064W107 3584 448500 SH SOLE 448500 0 0 LIFEPOINT HOSPITAL INC COM 53219L109 25 733 SH SOLE 733 0 0 LTX CORP COM 502392103 1256 60000 SH SOLE 60000 0 0 MACROMEDIA INC COM 556100105 445 25000 SH SOLE 25000 0 0 MATRIXONE INC COM 57685P304 325 25000 SH SOLE 25000 0 0 MRO SOFTWARE INC COM 55347W105 11519 492700 SH SOLE 492700 0 0 NEG MICON COM 5705593 1778 67500 SH SOLE 67500 0 0 NEON COMMUNICATION INC COM 640506101 944 348500 SH SOLE 348500 0 0 NETSOLVE INC COM 64115J106 735 70000 SH SOLE 70000 0 0 NOVELLUS SYSTEMS INC COM 670008101 16 400 SH SOLE 400 0 0 NPS PHARMACEUTICALS COM 62936P103 8813 230100 SH SOLE 230100 0 0 OAK TECHNOLOGY INC COM 671802106 9683 704200 SH SOLE 704200 0 0 ONESOURCE INFORMATION SERVICESCOM 68272J106 1330 141500 SH SOLE 141500 0 0 OSI PHARMACEUTICALS INC COM 671040103 8229 179900 SH SOLE 179900 0 0 PHILLIPS PETROLEUM COM 718507106 6 100 SH SOLE 100 0 0 POLYMEDICA CORP COM 731738100 3396 204600 SH SOLE 204600 0 0 POWERWAVE TECHNOLOGIES INC COM 739363109 4222 244300 SH SOLE 244300 0 0 PROCTOR & GAMBLE CO COM 742718109 206 2608 SH SOLE 2608 0 0 RHEOMETRIC SCIENTIFIC INC COM 762073104 258 152000 SH SOLE 152000 0 0 SCHLUMBERGER LTD COM 806857108 44 800 SH SOLE 800 0 0 SEI INVESTMENTS COM 784117103 36 800 SH SOLE 800 0 0 SEMTECH CORP COM 816850101 26 732 SH SOLE 732 0 0 SIMPLEX SOLUTIONS INC COM 828854109 166 10000 SH SOLE 10000 0 0 SIPEX CORPORATION COM 829909100 386 30000 SH SOLE 30000 0 0 STAAR SURGICAL COMPANY COM 852312305 328 85300 SH SOLE 85300 0 0 STUDENT ADVANTAGE COM 86386Q105 126 100000 SH SOLE 100000 0 0 SURMODICS INC COM 868873100 8182 224400 SH SOLE 224400 0 0 TELLIUM INC COM 87967E107 3510 563400 SH SOLE 563400 0 0 THERMA-WAVE INC COM 88343A108 2328 156000 SH SOLE 156000 0 0 TRIKON TECHNOLOGIES COM 896187408 764 65000 SH SOLE 65000 0 0 UNITED NATURAL FOODS INC COM 911163103 1475 59000 SH SOLE 59000 0 0 UQM TECHNOLOGIES COM 903213106 540 99400 SH SOLE 99400 0 0 VARIAN SEMICONDUCTOR EQUIPMENTCOM 922207105 2248 65000 SH SOLE 65000 0 0 VESTAS WIND SYSTEMS A/S COM 5964651 2343 85800 SH SOLE 85800 0 0 WATCHGUARD TECHNOLOGIES INC COM 941105108 326 50000 SH SOLE 50000 0 0 WAVE SYSTEMS CORP CL A COM 943526103 4599 2053200 SH SOLE 2053200 0 0 WHOLE FOODS MKT INC COM COM 966837106 5205 119500 SH SOLE 119500 0 0 XOMA LTD COM G9825R107 394 40000 SH SOLE 40000 0 0 ZIMMER HOLDINGS INC COM 98956P102 19 627 SH SOLE 627 0 0
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