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: September 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. 10/25/01 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: 154 Form 13F Information Table Value Total: $214,953,369 FORM 13F INFORMATION TABLE COMPANY TITLE OF CLASS CUSIP VALUE SHARES SH/PRN ABIOMED COMMON STOCK 003654100 $6,463,900 370,000 SH ACACIA RESEARCH 003881109 $2,536,440 276,000 SH ACCENT COLOR SCIENCES COMMON STOCK 004305108 $400 80,000 SH ACCESS WORLDWIDE COMMON STOCK 004319109 $222,500 250,000 SH ADAPTIVE BROADBAND COMMON STOCK 00650M104 $1,128 75,200 SH ADVANCED DIGITAL INFO COMMON STOCK 007525108 $6,907,700 670,000 SH ALLIANCE PHARMACEUTICAL COMMON STOCK 018773101 $63,700 70,000 SH AMERICA SERVICE GROUP COMMON STOCK 02364L109 $1,120,000 200,000 SH AMERICAN COIN MERCH INC COMMON STOCK 02516B108 $2,071,909 273,700 SH ANIKA THERAPEUTICS INC COMMON STOCK 035255108 $90,000 100,000 SH ANSWERTHINK INC COMMON STOCK 036916104 $396,445 84,350 SH ANTIGENICS INC COMMON STOCK 037032109 $974,291 76,415 SH ARRYTHMEA RESEARCH COMMON STOCK 042698308 $289,645 109,300 SH ASANTE TECHNOLOGIES COMMON STOCK 043412105 $90,000 450,000 SH AUSPEX COMMON STOCK 052116100 $505,250 215,000 SH AVIATION SALES COMPANY COMMON STOCK 053672101 $36,465 110,500 SH AVOCENT COMMON STOCK 053893103 $4,984,800 335,000 SH BIOJECT INC COMMON STOCK 09059T206 $2,723,840 266,000 SH CALYPTE BIOMEDICAL COMMON STOCK 131722100 $115,275 768,500 SH CARDIAC SCIENCES INC COMMON STOCK 141410209 $157,190 62,813 SH CASTLE DENTAL COMMON STOCK 14844P105 $89,880 449,400 SH CENTRAL EUROPEAN DISTRIB COMMON STOCK 153435102 $1,089,900 173,000 SH CHICOS COMMON STOCK 168615102 $2,355,000 100,000 SH COLLECTORS UNIVERSE COMMON STOCK 19421R101 $572,750 725,000 SH COLORADO MEDTECH COMMON STOCK 19652U104 $798,000 380,000 SH CORIXA CORP COMMON STOCK 21887F100 $779,264 74,222 SH CRITICAL PATH COMMON STOCK 22674V100 $92,800 160,000 SH DIGIMARC COMMON STOCK 253807101 $691,254 50,200 SH DIGITAL LAVA COMMON STOCK 253928105 $11,300 226,000 SH DOT HILL COMMON STOCK 25848T109 $94,500 70,000 SH DOUBLECLICK COMMON STOCK 258609304 $499,884 87,699 SH DYNAMEX COMMON STOCK 26784F103 $555,000 300,000 SH DYNAMIC HEALTHCARE TECH COMMON STOCK 267927606 $329,000 140,000 SH EON COMMUNICATIONS COMMON STOCK 268763109 $354,410 506,300 SH EPL TECHNOLOGIES COMMON STOCK 268920204 $198,000 450,000 SH EATERIES INC COMMON STOCK 277851101 $408,000 170,000 SH ECO SOIL SYSTEMS COMMON STOCK 278858105 $19,000 190,000 SH EDGAR ONLINE COMMON STOCK 279765101 $942,425 819,500 SH ENDOCARE COMMON STOCK 29264P104 $6,330,285 360,700 SH ENOCARDIAL SOLUTIONS COMMON STOCK 292962107 $515,125 121,779 SH ENTREMED COMMON STOCK 29382F103 $1,634,000 190,000 SH EPOCH BIOSCIENCES COMMON STOCK 294273107 $1,440,000 640,000 SH EVANS & SUTHERLAND COMPUTER COMMON STOCK 299096107 $2,460,000 400,000 SH FASHIONMALL.COM COMMON STOCK 31186K106 $636,000 300,000 SH FASTNET CORP COMMON STOCK 311877104 $378,000 350,000 SH FLANDERS CORP COMMON STOCK 338494107 $426,488 239,600 SH GSE SYSTEMS COMMON STOCK 36227K106 $686,800 404,000 SH GSI LUMONICS COMMON STOCK 36229U102 $1,428,000 210,000 SH GAIAM COMMON STOCK 36268Q103 $941,252 59,800 SH GENELABS TECHNOLOGIES COMMON STOCK 368706107 $1,245,790 673,400 SH GENOME THERAPEUTICS COMMON STOCK 372430108 $1,276,000 220,000 SH GENSTAR PHARMACEUTICALS COMMON STOCK 37248D105 $1,053,750 375,000 SH GERALD STEVENS INC COMMON STOCK 37369G200 $1,840 92,000 SH GREEN MOUNTAIN COFFEE COMMON STOCK 393122106 $1,198,600 52,000 SH HARRIS INTERACTIVE COMMON STOCK 414549105 $605,000 275,000 SH HORIZON HEALTH CORP COMMON STOCK 44041Y104 $2,852,700 215,950 SH HOTELWORKS.COM COMMON STOCK 441473105 $280,000 800,000 SH ICN PHARMACEUTICALS INC COMMON STOCK 448924100 $9,038,050 343,000 SH ICU MEDICAL COMMON STOCK 44930G107 $3,600,000 90,000 SH INFINIUM SOFTWARE COMMON STOCK 45662Y109 $243,750 325,000 SH INTEGRAMED COMMON STOCK 45810N302 $577,500 175,000 SH INTERLEUKEN GENETICS COMMON STOCK 458738101 $4,176,790 1,873,000 SH INTERLOGIX INC COMMON STOCK 458763109 $525,769 21,726 SH INTERNATIONAL ISOTOPES COMMON STOCK 45972C102 $8,080 202,000 SH INVESTMENT TECH GROUP COMMON STOCK 46145F105 $11,098,000 200,000 SH INVIVO COMMON STOCK 461858102 $3,435,000 300,000 SH KENDLE INTERNATIONAL COMMON STOCK 48880L107 $1,835,820 93,000 SH KENSEY NASH COMMON STOCK 490057106 $5,700,740 298,000 SH KOALA CORP COMMON STOCK 499866101 $257,500 250,000 SH KOS PHARMACEUTICALS COMMON STOCK 500648100 $3,773,675 135,500 SH LMI AEROSPACE COMMON STOCK 502079106 $518,400 160,000 SH LANDMARK SYSTEMS CORP COMMON STOCK 51506S100 $400,000 200,000 SH LEVEL 8 SYSTEMS COMMON STOCK 52729M102 $85,000 50,000 SH LIBERATE TECHNOLOGIES COMMON STOCK 530129105 $2,490,000 250,000 SH LIVE PERSON.COM COMMON STOCK 538146101 $56,000 400,000 SH LODGENET ENTERTAINMENT COMMON STOCK 540211109 $3,222,268 293,200 SH LOG ON AMERICA COMMON STOCK 540473105 $19,770 65,900 SH MACKIE DESIGNS COMMON STOCK 554541102 $465,000 93,000 SH MACROCHEM COMMON STOCK 555903103 $1,568,000 640,000 SH MADE2MANAGE SYSTEMS INC COMMON STOCK 556466100 $465,500 190,000 SH MCK COMMUNICATIONS COMMON STOCK 581243102 $146,320 118,000 SH MEDAREX COMMON STOCK 583916101 $1,359,000 90,000 SH MED DESIGN COMMON STOCK 583926100 $10,425,600 724,000 SH MEDSTONE INTERNATIONAL COMMON STOCK 58505C101 $1,980,000 500,000 SH MERIDIAN MEDICAL TECH COMMON STOCK 589658103 $6,450,000 344,000 SH METROCALL COMMON STOCK 591647102 $27,900 310,000 SH METROLOGIC COMMON STOCK 591676101 $565,600 70,000 SH MICROLOG COMMON STOCK 595079104 $111,900 373,000 SH MIKHON GAMING CORP COMMON STOCK 59862K108 $2,252,500 530,000 SH MOBILITY ELECTRONICS COMMON STOCK 60741U101 $767,600 808,000 SH MUSICMAKER.COM COMMON STOCK 62757C207 $67,500 50,000 SH NMT MEDICAL COMMON STOCK 629294109 $1,017,450 285,000 SH NX NETWORKS COMMON STOCK 629478108 $10,800 60,000 SH NEOPROBE COMMON STOCK 640518106 $247,160 668,000 SH NEORX COMMON STOCK 640520300 $936,240 376,000 SH NETGATEWAY COMMON STOCK 641111109 $148,000 400,000 SH NETRADIO.COM COMMON STOCK 64114E207 $4,338 13,555 SH NETWOLVES 64120V102 $271,250 108,500 SH NEUROBIOLOGICAL TECH COMMON STOCK 64124W106 $555,000 185,000 SH NEXTHEALTH INC COMMON STOCK 65333G105 $1,012,000 253,000 SH NEXIQ COMMON STOCK 65334M101 $355,621 352,100 SH OSI SYSTEMS COMMON STOCK 671044105 $988,750 125,000 SH ON TECHNOLOGY COMMON STOCK 68219P108 $1,232,400 1,580,000 SH ONSITE ENERGY COMMON STOCK 68284P108 $7,000 40,000 SH OPTIMAL ROBOTICS COMMON STOCK 68388R208 $416,500 17,000 SH OPTIKA IMAGING SYSTEMS COMMON STOCK 683973101 $251,580 299,500 SH ORGANOGENESIS COMMON STOCK 685906109 $3,627,000 620,000 SH PARTSBASE.COM COMMON STOCK 70214P109 $49,400 123,500 SH PHYSIOMETRIX INC COMMON STOCK 718928104 $328,600 310,000 SH PHOTOELECTRON COMMON STOCK 719320103 $337,920 88,000 SH PLAY BY PLAY TOYS COMMON STOCK 72811K103 $4,800 80,000 SH PROGRAMMER'S PARADISE COMMON STOCK 743205106 $741,000 190,000 SH QUADRAMED COMMON STOCK 74730W101 $1,715,500 365,000 SH QUEPASA.COM COMMON STOCK 74833W107 $49,400 260,000 SH QUICKSILVER INC COMMON STOCK 74838C106 $3,104,790 251,400 SH RADIANT SYSTEMS COMMON STOCK 75025N102 $1,927,800 189,000 SH RAINBOW RENTALS COMMON STOCK 750857104 $3,445,000 500,000 SH RAYTEL MEDICAL COMMON STOCK 755107208 $1,244,400 244,000 SH ROCKY SHOES & BOOTS INC COMMON STOCK 774830103 $512,000 100,000 SH SCB COMPUTER SYSTEMS INC COMMON STOCK 78388N107 $397,850 545,000 SH SEEC INC COMMON STOCK 784110108 $436,003 335,000 SH SOS STAFFING SERVICES COMMON STOCK 78462X104 $433,575 600,000 SH SAFENET COMMON STOCK 78645R107 $433,575 70,500 SH SAFETY COMPONENTS Wrnts WARRANTS 786474114 $89 8,917 SH SAFETY COMPONENTS INT'L COMMON STOCK 786474205 $16,656 2,082 SH SATCON TECHNOLOGY COMMON STOCK 803893106 $522,830 97,000 SH SECURE COMPUTING INC COMMON STOCK 813705100 $987,636 101,400 SH SEMX CORP COMMON STOCK 816854103 $135,000 90,000 SH SIGA TECHNOLOGIES COMMON STOCK 826917106 $696,600 270,000 SH STORAGE ENGINES COMMON STOCK 86210N104 $70,999 33,333 SH STRATESEC COMMON STOCK 862792108 $80,936 120,800 SH SURMODICS COMMON STOCK 868873100 $5,992,500 150,000 SH SYNBIOTICS CORP COMMON STOCK 871566105 $46,800 260,000 SH SYSTEMS & COMPUTER TECHN COMMON STOCK 871873105 $12,024,000 1,336,000 SH TELYNX COMMON STOCK 87972E209 $918 110,625 SH TIDEL TECHNOLOGIES COMMON STOCK 886368109 $514,500 735,000 SH TRANSACT TECHNOLOGIES COMMON STOCK 892918103 $750,000 150,000 SH TREX COMPANY COMMON STOCK 89531P105 $1,047,000 60,000 SH TRIMERIS COMMON STOCK 896263100 $631,800 18,000 SH TRIPATH IMAGING COMMON STOCK 896942109 $1,720,000 400,000 SH TRUE TIME COMMON STOCK 897868105 $172,605 93,300 SH TUCOWS INC COMMON STOCK 898697107 $41,045 120,720 SH UNIVERSAL ELECTRONICS COMMON STOCK 913483103 $7,389,200 490,000 SH VARSITY BRANDS COMMON STOCK 92227P108 $240,975 127,500 SH VIISAGE COMMON STOCK 92675K106 $2,175,000 300,000 SH VISION TWENTY-ONE INC COMMON STOCK 92831N101 $4,500 300,000 SH WATERLINK COMMON STOCK 94155N105 $70,588 504,200 SH WEST COAST ENTERTAINMENT COMMON STOCK 952182103 $2,153 717,500 SH WILLIAMS CONTROLS COMMON STOCK 969465103 $433,956 504,600 SH WOMEN'S FIRST HEALTHCARE COMMON STOCK 978150100 $4,389,000 532,000 SH WORLDQUEST NETWORKS COMMON STOCK 98156W105 $498,750 262,500 SH XCARE.NET COMMON STOCK 98388Y101 $3,486,000 280,000 SH ZEBRA TECHNOLOGIES COMMON STOCK 989207105 $1,498,400 40,000 SH ZYMETX COMMON STOCK 989859103 $48,400 220,000 SH REPORT TOTALS 154 ITEMS $214,953,369