-----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, WR4XLiNJfg0tAtJ1t0702w4N8/V34rUyXD1EBNKwWDilTI0uWP/fAc+6mu8CpaXN wlw+ECk3DC3syBDvNgKWZQ== 0000352012-01-000014.txt : 20010123 0000352012-01-000014.hdr.sgml : 20010123 ACCESSION NUMBER: 0000352012-01-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HATHAWAY & ASSOCIATES LTD CENTRAL INDEX KEY: 0000352012 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 061039378 STATE OF INCORPORATION: CT FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-01228 FILM NUMBER: 1509257 BUSINESS ADDRESS: STREET 1: 119 ROWAYTON AVENUE CITY: ROWAYTON STATE: CT ZIP: 06853 BUSINESS PHONE: 2038385309 MAIL ADDRESS: STREET 1: 119 ROWAYTON AVE CITY: ROWAYTON STATE: CT ZIP: 06853 13F-HR 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Dec 29, 2000 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: Hathaway & Associates, Ltd. Address: 119 Rowayton Avenue Rowayton, CT 06853 13 File Number: 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, list, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Carl E. Hathaway Title: President Phone: 203 838-5309 Signature, Place and Date of Signing: Carl E. Hathaway, Rowayton, Ct. 1/16/01 Report Type (Check only one): (x) 13F HOLDINGS REPORT ( ) 13F NOTICE ( ) 13F COMBINATION REPORT I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 157 Form 13F Information Table Value Total: $266,762,026 FORM 13F INFORMATION TABLE COMPANY TITLE OF CLASS CUSIP Mkt Value SHARES SH/PRN ABIOMED COMMON STOCK 003654100 $8,972,500 370,000 SH ACCENT COLOR SCIENCES COMMON STOCK 004305108 $3,360 80,000 SH ACCESS WORLDWIDE COMMON STOCK 004319109 $156,250 250,000 SH ADAPTIVE BROADBAND COMMON STOCK 00650M104 $460,600 75,200 SH ADVANCED DIGITAL INFO COMMON STOCK 007525108 $16,100,000 700,000 SH ALLIANCE PHARMACEUTICAL COMMON STOCK 018773101 $603,750 70,000 SH AMERICA SERVICE GROUP COMMON STOCK 02364L109 $5,200,000 200,000 SH AMERICAN COIN MERCH INC COMMON STOCK 02516B108 $684,250 273,700 SH ANIKA THERAPEUTICS INC COMMON STOCK 035255108 $78,125 100,000 SH ANSWERTHINK INC COMMON STOCK 036916104 $305,769 84,350 SH ANTIGENICS INC COMMON STOCK 037032109 $845,341 76,415 SH APPLIED SCI & TECH COMMON STOCK 038236105 $506,400 42,200 SH ARRYTHMEA RESEARCH COMMON STOCK 042698308 $177,613 109,300 SH ASANTE TECHNOLOGIES COMMON STOCK 043412105 $243,000 450,000 SH @PLAN COMMON STOCK 04962Q100 $2,363,750 310,000 SH AUSPEX COMMON STOCK 052116100 $1,505,000 215,000 SH AVIATION SALES COMPANY COMMON STOCK 053672101 $276,250 110,500 SH AVOCENT COMMON STOCK 053893103 $9,045,000 335,000 SH BIOJECT INC COMMON STOCK 09059T107 $1,629,250 266,000 SH BLUE WAVE SYSTEMS COMMON STOCK 096081104 $2,393,438 555,000 SH CALYPTE BIOMEDICAL COMMON STOCK 131722100 $804,523 768,500 SH CARDIAC SCIENCES INC COMMON STOCK 141410209 $266,955 62,813 SH CASTLE DENTAL COMMON STOCK 14844P105 $133,416 449,400 SH CENTRAL EUROPEAN DISTRIB COMMON STOCK 153435102 $346,000 173,000 SH CHICOS COMMON STOCK 168615102 $3,152,125 151,000 SH COLLECTORS UNIVERSE COMMON STOCK 19421R101 $1,110,156 725,000 SH COLORADO MEDTECH COMMON STOCK 19652U104 $1,211,250 380,000 SH CORIXA CORP COMMON STOCK 21887F100 $2,068,938 74,222 SH CRITICAL PATH COMMON STOCK 22674V100 $3,690,000 120,000 SH DIGIMARC COMMON STOCK 253807101 $1,138,500 69,000 SH DIGITAL LAVA COMMON STOCK 253928105 $776,875 226,000 SH DIGITAL LAVA WARRANTS WARRANTS 253928113 $20,700 27,600 SH DOT HILL COMMON STOCK 25848T109 $271,250 70,000 SH DYNAMEX COMMON STOCK 26784F103 $487,500 300,000 SH EA ENGR SCIENCE & TECH COMMON STOCK 267911105 $268,594 238,750 SH DYNAMIC HEALTHCARE TECH COMMON STOCK 267927101 $191,250 340,000 SH ECCS COMMON STOCK 26825H100 $62,500 200,000 SH EON COMMUNICATIONS COMMON STOCK 268763109 $217,194 182,900 SH EPL TECHNOLOGIES COMMON STOCK 268920204 $225,000 450,000 SH EATERIES INC COMMON STOCK 277851101 $425,000 170,000 SH ECO SOIL SYSTEMS COMMON STOCK 278858105 $154,375 190,000 SH EDGAR ONLINE COMMON STOCK 279765101 $1,056,656 663,000 SH ENDOCARE COMMON STOCK 29264P104 $4,598,925 360,700 SH ENOCARDIAL SOLUTIONS COMMON STOCK 292962107 $328,236 107,179 SH EPOCH BIOSCIENCES COMMON STOCK 294273107 $4,200,000 640,000 SH EVANS & SUTHERLAND COMP COMMON STOCK 299096107 $3,100,000 400,000 SH FASHIONMALL.COM COMMON STOCK 31186K106 $1,237,500 300,000 SH FASTNET CORP COMMON STOCK 311877104 $175,000 350,000 SH FLANDERS CORP COMMON STOCK 338494107 $494,175 239,600 SH FOURTH SHIFT CORP COMMON STOCK 351128103 $868,750 695,000 SH GSE SYSTEMS COMMON STOCK 36227K106 $504,075 366,600 SH GSI LUMONICS COMMON STOCK 36229U102 $1,680,000 210,000 SH GAIAM COMMON STOCK 36268Q103 $995,719 64,500 SH GENELABS TECHNOLOGIES COMMON STOCK 368706107 $2,756,731 673,400 SH GENOME THERAPEUTICS COMMON STOCK 372430108 $1,533,125 220,000 SH GENSTAR PHARMACEUTICALS COMMON STOCK 37248D105 $3,656,250 375,000 SH GERALD STEVENS INC COMMON STOCK 37369G200 $77,648 92,000 SH GREEN MOUNTAIN COFFEE COMMON STOCK 393122106 $2,750,000 55,000 SH HARRIS INTERACTIVE COMMON STOCK 414549105 $1,014,063 275,000 SH HORIZON HEALTH CORP COMMON STOCK 44041Y104 $1,322,694 215,950 SH HOTELWORKS.COM COMMON STOCK 441473105 $300,000 800,000 SH ICN PHARMACEUTICALS INC COMMON STOCK 448924100 $10,525,813 343,000 SH ICU MEDICAL COMMON STOCK 44930G107 $2,711,250 90,000 SH INFINIUM SOFTWARE COMMON STOCK 45662Y109 $507,813 325,000 SH INFONAUTICS COMMON STOCK 456662105 $86,768 120,720 SH INTEGRAMED COMMON STOCK 45810N104 $328,125 175,000 SH INTERLEUKEN GENETICS COMMON STOCK 458738101 $4,911,938 1,541,000 SH INTERLOGIX INC COMMON STOCK 458763109 $604,491 32,026 SH INTERNATIONAL ISOTOPES COMMON STOCK 45972C102 $31,563 202,000 SH INVESTMENT TECH GROUP COMMON STOCK 46145F105 $8,517,000 204,000 SH INVIVO COMMON STOCK 461858102 $2,831,250 300,000 SH KENDLE INTERNATIONAL COMMON STOCK 48880L107 $1,440,938 145,000 SH KENSEY NASH COMMON STOCK 490057106 $3,037,500 300,000 SH KOALA CORP COMMON STOCK 499866101 $2,125,000 250,000 SH KOS PHARMACEUTICALS COMMON STOCK 500648100 $2,996,250 170,000 SH LMI AEROSPACE COMMON STOCK 502079106 $350,000 160,000 SH LANDMARK SYSTEMS CORP COMMON STOCK 51506S100 $512,500 200,000 SH LEVEL 8 SYSTEMS COMMON STOCK 52729M102 $304,688 50,000 SH LIVE PERSON.COM COMMON STOCK 538146101 $425,000 400,000 SH LODGENET ENTERTAINMENT COMMON STOCK 540211109 $5,569,500 316,000 SH LOG ON AMERICA COMMON STOCK 540473105 $20,594 65,900 SH MACKIE DESIGNS COMMON STOCK 554541102 $488,250 93,000 SH MADE2MANAGE SYSTEMS INC COMMON STOCK 556466100 $368,125 190,000 SH MCK COMMUNICATIONS COMMON STOCK 581243102 $995,625 118,000 SH MEDAREX COMMON STOCK 583916101 $3,667,500 90,000 SH MED DESIGN COMMON STOCK 583926100 $9,498,013 598,300 SH MEDSTONE INTERNATIONAL COMMON STOCK 58505C101 $2,937,500 500,000 SH MERIDIAN MEDICAL TECH COMMON STOCK 589658103 $2,325,400 211,400 SH METROCALL COMMON STOCK 591647102 $145,313 310,000 SH METROLOGIC COMMON STOCK 591676101 $420,000 70,000 SH MICROLOG COMMON STOCK 595079104 $209,813 373,000 SH MIKHON GAMING CORP COMMON STOCK 59862K108 $1,590,000 530,000 SH MOBILITY ELECTRONICS COMMON STOCK 60741U101 $1,897,350 778,400 SH MUSICMAKER.COM COMMON STOCK 62757C207 $156,250 50,000 SH NMT MEDICAL COMMON STOCK 629294109 $269,984 233,500 SH NX NETWORKS COMMON STOCK 629478108 $37,500 60,000 SH NEOPROBE COMMON STOCK 640518106 $280,560 668,000 SH NEORX COMMON STOCK 640520300 $1,974,000 376,000 SH NETGATEWAY COMMON STOCK 641111109 $62,500 400,000 SH NETRADIO.COM COMMON STOCK 64114E108 $11,438 61,000 SH NETZEE COMMON STOCK 64122W108 $10,125 27,000 SH NEUROBIOLOGICAL TECH COMMON STOCK 64124W106 $740,000 185,000 SH NEXTHEALTH INC COMMON STOCK 65333G105 $675,000 200,000 SH NEXIQ COMMON STOCK 65334M101 $429,210 352,100 SH NOVEN PHARMACEUTICAL COMMON STOCK 670009109 $3,573,050 95,600 SH OSI SYSTEMS COMMON STOCK 671044105 $796,250 130,000 SH ON TECHNOLOGY COMMON STOCK 68219P108 $656,250 1,400,000 SH ONSITE ENERGY COMMON STOCK 68284P108 $2,800 40,000 SH OPTIMAL ROBOTICS COMMON STOCK 68388R208 $7,215,938 215,000 SH OPTIKA IMAGING SYSTEMS COMMON STOCK 683973101 $233,984 299,500 SH ORGANOGENESIS COMMON STOCK 685906109 $4,060,783 451,700 SH PARTSBASE.COM COMMON STOCK 70214P109 $400,000 200,000 SH PHYSIOMETRIX INC COMMON STOCK 718928104 $4,940,625 310,000 SH PHOTOELECTRON COMMON STOCK 719320103 $308,000 88,000 SH PLAY BY PLAY TOYS COMMON STOCK 72811K103 $20,000 80,000 SH PROGRAMMER'S PARADISE COMMON STOCK 743205106 $486,875 190,000 SH QUADRAMED COMMON STOCK 74730W101 $152,344 187,500 SH QUEPASA.COM COMMON STOCK 74833W107 $24,375 260,000 SH QUICKSILVER INC COMMON STOCK 74838C106 $6,289,125 324,600 SH RADIANT SYSTEMS COMMON STOCK 75025N102 $3,874,500 189,000 SH RAINBOW RENTALS COMMON STOCK 750857104 $2,625,000 500,000 SH RAYTEL MEDICAL COMMON STOCK 755107109 $594,750 732,000 SH RIDELL SPORTS INC COMMON STOCK 765670104 $382,500 127,500 SH ROCKY SHOES & BOOTS INC COMMON STOCK 774830103 $387,500 100,000 SH SCB COMPUTER SYSTEMS INC COMMON STOCK 78388N107 $90,000 300,000 SH SEEC INC COMMON STOCK 784110108 $816,563 335,000 SH SOS STAFFING SERVICES COMMON STOCK 78462X104 $1,050,000 600,000 SH SAFENET COMMON STOCK 78645R107 $3,313,500 70,500 SH SAFETY COMPONENTS INT'L COMMON STOCK 786474205 $260 2,082 SH SAFETY COMPONENTS Wrnts WARRANTS 786474114 $0 8,917 SH SATCON TECHNOLOGY COMMON STOCK 803893106 $957,875 97,000 SH SECURE COMPUTING INC COMMON STOCK 813705100 $1,001,325 101,400 SH SEMX CORP COMMON STOCK 816854103 $405,000 90,000 SH SIGA TECHNOLOGIES COMMON STOCK 826917106 $852,188 270,000 SH STRATESEC COMMON STOCK 862792108 $271,800 120,800 SH SURMODICS COMMON STOCK 868873100 $7,362,500 200,000 SH SYNBIOTICS CORP COMMON STOCK 871566105 $113,750 260,000 SH SYSTEMS & COMPUTER TECHN COMMON STOCK 871873105 $16,449,500 1,336,000 SH TAKE-TWO INTERACTIVE COMMON STOCK 874054109 $1,578,950 137,300 SH TELYNX COMMON STOCK 87972E100 $6,416 221,250 SH TIDEL TECHNOLOGIES COMMON STOCK 886368109 $1,628,400 283,200 SH TRANSACT TECHNOLOGIES COMMON STOCK 892918103 $787,500 150,000 SH TREX COMPANY COMMON STOCK 89531P105 $1,763,125 70,000 SH TRIMERIS COMMON STOCK 896263100 $2,085,250 38,000 SH TRUE TIME COMMON STOCK 897868105 $209,925 93,300 SH UNIVERSAL ELECTRONICS COMMON STOCK 913483103 $4,291,625 278,000 SH UNIVERSAL STD HEALTHCARE COMMON STOCK 913839106 $4,000 400,000 SH VIISAGE COMMON STOCK 92675K106 $77,438 88,500 SH VISION TWENTY-ONE INC COMMON STOCK 92831N101 $3,000 300,000 SH WATERLINK COMMON STOCK 94155N105 $196,638 504,200 SH WEST COAST ENTERTAINMENT COMMON STOCK 952182103 $789 717,500 SH WILLIAMS CONTROLS COMMON STOCK 969465103 $457,294 504,600 SH WOMEN'S FIRST HEALTHCARE COMMON STOCK 978150100 $922,669 314,100 SH WORLDQUEST NETWORKS COMMON STOCK 98156W105 $705,469 262,500 SH XCARE.NET COMMON STOCK 98388Y101 $615,000 120,000 SH ZEBRA TECHNOLOGIES COMMON STOCK 989207105 $3,182,156 78,000 SH ZYMETX COMMON STOCK 989859103 $288,750 220,000 SH REPORT TOTALS 157 ITEMS $266,762,026 <1 table>
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