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