13F-HR 1 test.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: June 30, 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: 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, areconsidered 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. 7/17/01 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: 153 Form 13F Information Table Value Total: $280,157,208 FORM 13F INFORMATION TABLE COMPANY TITLE OF CLASS CUSIP VALUE SHARES SH/PRN ABIOMED COMMON STOCK 003654100 $8,724,600 370,000 SH ACCENT COLOR SCIENCES COMMON STOCK 004305108 $1,200 80,000 SH ACCESS WORLDWIDE COMMON STOCK 004319109 $175,000 250,000 SH ADAPTIVE BROADBAND COMMON STOCK 00650M104 $26,320 75,200 SH ADVANCED DIGITAL INFO COMMON STOCK 007525108 $11,591,000 670,000 SH ALLIANCE PHARMACEUTICAL COMMON STOCK 018773101 $157,500 70,000 SH AMERICA SERVICE GROUP COMMON STOCK 02364L109 $5,120,000 200,000 SH AMERICAN COIN MERCH INC COMMON STOCK 02516B108 $1,532,720 273,700 SH ANIKA THERAPEUTICS INC COMMON STOCK 035255108 $132,000 100,000 SH ANSWERTHINK INC COMMON STOCK 036916104 $842,657 84,350 SH ANTIGENICS INC COMMON STOCK 037032109 $1,509,196 76,415 SH ARRYTHMEA RESEARCH COMMON STOCK 042698308 $327,900 109,300 SH ASANTE TECHNOLOGIES COMMON STOCK 043412105 $238,500 450,000 SH AUSPEX COMMON STOCK 052116100 $1,535,100 215,000 SH AVIATION SALES COMPANY COMMON STOCK 053672101 $187,850 110,500 SH AVOCENT COMMON STOCK 053893103 $7,621,250 335,000 SH BIOJECT INC COMMON STOCK 09059T206 $3,141,460 266,000 SH BLUE WAVE SYSTEMS COMMON STOCK 096081104 $4,012,650 555,000 SH CALYPTE BIOMEDICAL COMMON STOCK 131722100 $322,770 768,500 SH CARDIAC SCIENCES INC COMMON STOCK 141410209 $169,595 62,813 SH CASTLE DENTAL COMMON STOCK 14844P105 $94,374 449,400 SH CENTRAL EUROPEAN DISTRIB COMMON STOCK 153435102 $776,770 173,000 SH CHICOS COMMON STOCK 168615102 $3,570,000 120,000 SH COLLECTORS UNIVERSE COMMON STOCK 19421R101 $1,377,500 725,000 SH COLORADO MEDTECH COMMON STOCK 19652U104 $1,478,200 380,000 SH CORIXA CORP COMMON STOCK 21887F100 $1,266,970 74,222 SH CRITICAL PATH COMMON STOCK 22674V100 $163,200 160,000 SH DIGIMARC COMMON STOCK 253807101 $1,666,350 69,000 SH DIGITAL LAVA WARRANTS Z WARRANTS 253928105 $2,760 27,600 SH DIGITAL LAVA COMMON STOCK 253928105 $113,000 226,000 SH DOT HILL COMMON STOCK 25848T109 $129,500 70,000 SH DOUBLECLICK COMMON STOCK 258609304 $1,224,278 87,699 SH DYNAMEX COMMON STOCK 26784F103 $600,000 300,000 SH EA ENGR SCIENCE & TECH COMMON STOCK 267911105 $265,013 238,750 SH DYNAMIC HEALTHCARE TECH COMMON STOCK 267927606 $238,000 140,000 SH ECCS COMMON STOCK 26825H100 $118,000 200,000 SH EON COMMUNICATIONS COMMON STOCK 268763109 $506,300 506,300 SH EPL TECHNOLOGIES COMMON STOCK 268920204 $180,000 450,000 SH EATERIES INC COMMON STOCK 277851101 $510,000 170,000 SH ECO SOIL SYSTEMS COMMON STOCK 278858105 $36,100 190,000 SH EDGAR ONLINE COMMON STOCK 279765101 $2,982,980 819,500 SH ENDOCARE COMMON STOCK 29264P104 $5,767,593 360,700 SH ENOCARDIAL SOLUTIONS COMMON STOCK 292962107 $700,229 121,779 SH EPOCH BIOSCIENCES COMMON STOCK 294273107 $2,451,200 640,000 SH EVANS & SUTHERLAND COMPUTER COMMON STOCK 299096107 $3,252,000 400,000 SH FASHIONMALL.COM COMMON STOCK 31186K106 $600,000 300,000 SH FASTNET CORP COMMON STOCK 311877104 $332,500 350,000 SH FLANDERS CORP COMMON STOCK 338494107 $507,952 239,600 SH GSE SYSTEMS COMMON STOCK 36227K106 $799,920 404,000 SH GSI LUMONICS COMMON STOCK 36229U102 $1,942,500 210,000 SH GAIAM COMMON STOCK 36268Q103 $915,900 64,500 SH GENELABS TECHNOLOGIES COMMON STOCK 368706107 $1,387,204 673,400 SH GENOME THERAPEUTICS COMMON STOCK 372430108 $3,264,800 220,000 SH GENSTAR PHARMACEUTICALS COMMON STOCK 37248D105 $2,775,000 375,000 SH GERALD STEVENS INC COMMON STOCK 37369G200 $13,800 92,000 SH GREEN MOUNTAIN COFFEE COMMON STOCK 393122106 $2,533,824 84,800 SH HARRIS INTERACTIVE COMMON STOCK 414549105 $687,500 275,000 SH HORIZON HEALTH CORP COMMON STOCK 44041Y104 $2,733,927 215,950 SH HOTELWORKS.COM COMMON STOCK 441473105 $280,000 800,000 SH ICN PHARMACEUTICALS INC COMMON STOCK 448924100 $10,879,960 343,000 SH ICU MEDICAL COMMON STOCK 44930G107 $3,715,200 90,000 SH INFINIUM SOFTWARE COMMON STOCK 45662Y109 $367,250 325,000 SH INFONAUTICS COMMON STOCK 456662105 $90,540 120,720 SH INTEGRAMED COMMON STOCK 45810N302 $1,050,000 175,000 SH INTERLEUKEN GENETICS COMMON STOCK 458738101 $4,716,000 1,800,000 SH INTERLOGIX INC COMMON STOCK 458763109 $1,168,949 32,026 SH INTERNATIONAL ISOTOPES COMMON STOCK 45972C102 $20,200 202,000 SH INVESTMENT TECH GROUP COMMON STOCK 46145F105 $10,259,160 204,000 SH INVIVO COMMON STOCK 461858102 $2,874,000 300,000 SH KENDLE INTERNATIONAL COMMON STOCK 48880L107 $1,863,720 93,000 SH KENSEY NASH COMMON STOCK 490057106 $5,022,000 300,000 SH KOALA CORP COMMON STOCK 499866101 $1,000,000 250,000 SH KOS PHARMACEUTICALS COMMON STOCK 500648100 $5,040,600 135,500 SH LMI AEROSPACE COMMON STOCK 502079106 $638,400 160,000 SH LANDMARK SYSTEMS CORP COMMON STOCK 51506S100 $738,000 200,000 SH LEVEL 8 SYSTEMS COMMON STOCK 52729M102 $236,500 50,000 SH LIVE PERSON.COM COMMON STOCK 538146101 $100,000 400,000 SH LODGENET ENTERTAINMENT COMMON STOCK 540211109 $5,393,500 308,200 SH LOG ON AMERICA COMMON STOCK 540473105 $27,678 65,900 SH MACKIE DESIGNS COMMON STOCK 554541102 $469,650 93,000 SH MADE2MANAGE SYSTEMS INC COMMON STOCK 556466100 $587,100 190,000 SH MCK COMMUNICATIONS COMMON STOCK 581243102 $259,600 118,000 SH MEDAREX COMMON STOCK 583916101 $2,115,000 90,000 SH MED DESIGN COMMON STOCK 583926100 $18,084,000 600,000 SH MEDSTONE INTERNATIONAL COMMON STOCK 58505C101 $2,375,000 500,000 SH MERIDIAN MEDICAL TECH COMMON STOCK 589658103 $4,558,000 344,000 SH METROCALL COMMON STOCK 591647102 $15,500 310,000 SH METROLOGIC COMMON STOCK 591676101 $714,000 70,000 SH MICROLOG COMMON STOCK 595079104 $205,150 373,000 SH MIKHON GAMING CORP COMMON STOCK 59862K108 $4,043,900 530,000 SH MOBILITY ELECTRONICS COMMON STOCK 60741U101 $2,181,600 808,000 SH MUSICMAKER.COM COMMON STOCK 62757C207 $109,500 50,000 SH NMT MEDICAL COMMON STOCK 629294109 $629,850 285,000 SH NX NETWORKS COMMON STOCK 629478108 $33,000 60,000 SH NEOPROBE COMMON STOCK 640518106 $467,600 668,000 SH NEORX COMMON STOCK 640520300 $1,131,760 376,000 SH NETGATEWAY COMMON STOCK 641111109 $184,000 400,000 SH NETRADIO.COM COMMON STOCK 64114E207 $14,233 13,555 SH NEUROBIOLOGICAL TECH COMMON STOCK 64124W106 $582,750 185,000 SH NEXTHEALTH INC COMMON STOCK 65333G105 $1,214,400 253,000 SH NEXIQ COMMON STOCK 65334M101 $651,385 352,100 SH NOVEN PHARMACEUTICAL COMMON STOCK 670009109 $3,747,520 95,600 SH OSI SYSTEMS COMMON STOCK 671044105 $483,600 130,000 SH ON TECHNOLOGY COMMON STOCK 68219P108 $1,343,000 1,580,000 SH ONSITE ENERGY COMMON STOCK 68284P108 $6,000 40,000 SH OPTIMAL ROBOTICS COMMON STOCK 68388R208 $1,026,000 27,000 SH OPTIKA IMAGING SYSTEMS COMMON STOCK 683973101 $359,400 299,500 SH ORGANOGENESIS COMMON STOCK 685906109 $4,144,000 560,000 SH PARTSBASE.COM COMMON STOCK 70214P109 $123,500 123,500 SH PHYSIOMETRIX INC COMMON STOCK 718928104 $930,000 310,000 SH PHOTOELECTRON COMMON STOCK 719320103 $376,640 88,000 SH PLAY BY PLAY TOYS COMMON STOCK 72811K103 $10,800 80,000 SH PROGRAMMER'S PARADISE COMMON STOCK 743205106 $763,800 190,000 SH QUADRAMED COMMON STOCK 74730W101 $1,733,750 365,000 SH QUEPASA.COM COMMON STOCK 74833W107 $32,760 260,000 SH QUICKSILVER INC COMMON STOCK 74838C106 $6,285,000 251,400 SH RADIANT SYSTEMS COMMON STOCK 75025N102 $3,046,680 189,000 SH RAINBOW RENTALS COMMON STOCK 750857104 $3,500,000 500,000 SH RAYTEL MEDICAL COMMON STOCK 755107208 $488,000 244,000 SH RIDELL SPORTS INC COMMON STOCK 765670104 $197,625 127,500 SH ROCKY SHOES & BOOTS INC COMMON STOCK 774830103 $457,000 100,000 SH SCB COMPUTER SYSTEMS INC COMMON STOCK 78388N107 $272,500 545,000 SH SEEC INC COMMON STOCK 784110108 $894,450 335,000 SH SOS STAFFING SERVICES COMMON STOCK 78462X104 $786,000 600,000 SH SAFENET COMMON STOCK 78645R107 $705,000 70,500 SH SAFETY COMPONENTS Wrnts WARRANTS 786474114 $0 8,917 SH SAFETY COMPONENTS INT'L COMMON STOCK 786474205 $10,410 2,082 SH SATCON TECHNOLOGY COMMON STOCK 803893106 $1,013,650 97,000 SH SECURE COMPUTING INC COMMON STOCK 813705100 $1,592,994 101,400 SH SEMX CORP COMMON STOCK 816854103 $359,100 90,000 SH SIGA TECHNOLOGIES COMMON STOCK 826917106 $1,080,000 270,000 SH STRATESEC COMMON STOCK 862792108 $132,880 120,800 SH SURMODICS COMMON STOCK 868873100 $10,231,200 174,000 SH SYNBIOTICS CORP COMMON STOCK 871566105 $109,200 260,000 SH SYSTEMS & COMPUTER TECHN COMMON STOCK 871873105 $12,090,800 1,336,000 SH TELYNX COMMON STOCK 87972E209 $2,876 110,625 SH TIDEL TECHNOLOGIES COMMON STOCK 886368109 $867,300 735,000 SH TRANSACT TECHNOLOGIES COMMON STOCK 892918103 $1,350,000 150,000 SH TREX COMPANY COMMON STOCK 89531P105 $1,155,000 60,000 SH TRIMERIS COMMON STOCK 896263100 $901,260 18,000 SH TRIPATH IMAGING COMMON STOCK 896942109 $2,485,924 250,850 SH TRUE TIME COMMON STOCK 897868105 $195,930 93,300 SH UNIVERSAL ELECTRONICS COMMON STOCK 913483103 $8,820,000 490,000 SH VIISAGE COMMON STOCK 92675K106 $1,028,500 425,000 SH VISION TWENTY-ONE INC COMMON STOCK 92831N101 $12,000 300,000 SH WATERLINK COMMON STOCK 94155N105 $75,630 504,200 SH WEST COAST ENTERTAINMENT COMMON STOCK 952182103 $9,328 717,500 SH WILLIAMS CONTROLS COMMON STOCK 969465103 $761,946 504,600 SH WOMEN'S FIRST HEALTHCARE COMMON STOCK 978150100 $4,734,800 532,000 SH WORLDQUEST NETWORKS COMMON STOCK 98156W105 $761,250 262,500 SH XCARE.NET COMMON STOCK 98388Y101 $3,780,000 280,000 SH ZEBRA TECHNOLOGIES COMMON STOCK 989207105 $3,340,160 68,000 SH ZYMETX COMMON STOCK 989859103 $99,000 220,000 SH REPORT TOTALS 153 ITEMS $280,157,208