-----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, Oh8Mr1hBYgbKCZIyItvF1oGM52LrwlVKvAc+91grPeiWCNSMzAyKnlKa/1fkLCdN YoTroEUc/JzxkrqF3XolFg== 0001047469-08-009055.txt : 20080808 0001047469-08-009055.hdr.sgml : 20080808 20080808162809 ACCESSION NUMBER: 0001047469-08-009055 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080808 DATE AS OF CHANGE: 20080808 EFFECTIVENESS DATE: 20080808 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: 081002885 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 a2187208z13f-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: 6/30/08 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, 9th 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: Carolyn P.Haley Title: Chief Compliance Officer Phone: 617-772-8500 Signature, Place, and Date of Signing: /s/ Carolyn P.Haley Boston, MA 8/8/08 - ---------------------------- [City, State] [Date] [Signature] 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.] 9 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 65 Form 13F Information Table Value Total: $545,800 (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.] 10 FORM 13F (SEC USE ONLY) Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC Page 1 of 1
COLUMN 8 COLUMN 6 VOTING COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 INVESTMENT DISCRETION AUTHORITY (SHARES) ------------------------ ------------------- (b) SHARED- (c) COLUMN 7 VALUE SHARES OR SH/ PUT/ (a) AS DEFINED SHARED- OTHER (a) (b) (c) NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL SOLE IN INSTR. V OTHER MANGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- --------- --- ---- ---- ----------- ------- -------- ---- ------ ------- ACADIA Pharmaceuticals, Inc. Common 004225108 4,390 1,189,768 SH Sole NA Sole Aetna Inc. Common 00817Y108 4,661 115,000 SH Sole NA Sole Affymax Inc. Common 00826A109 2,151 135,182 SH Sole NA Sole Akorn, Inc. Common 009728106 5,489 1,658,289 SH Sole NA Sole Align Technology, Inc. Common 016255101 8,378 798,700 SH Sole NA Sole Alkermes, Inc. Common 01642T108 6,860 555,000 SH Sole NA Sole Allergan, Inc. Common 018490102 6,600 126,800 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 1,409 52,700 SH Sole NA Sole Amgen, Inc. Common 031162100 11,026 233,800 SH Sole NA Sole Applera Corporation - Applied Biosystems Common 038020103 3,348 100,000 SH Sole NA Sole Athersys, Inc. Common 04744L106 1,568 800,000 SH Sole NA Sole Avalon Pharmaceuticals, Inc. Common 05346P106 483 405,721 SH Sole NA Sole Baxter International Inc. Common 071813109 18,428 288,200 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 15,398 189,400 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 9,457 169,200 SH Sole NA Sole BioMarin Pharmaceuti- cals, Inc. Common 09061G101 3,999 138,000 SH Sole NA Sole CardioNet, Inc. Common 14159L103 34,676 1,446,813 SH Sole NA Sole Celgene Corp. Common 151020104 19,525 305,700 SH Sole NA Sole Cougar Biotechnology, Inc. Common 222083107 5,669 237,914 SH Sole NA Sole Critical Therapeutics, Inc. Common 22674T105 280 756,272 SH Sole NA Sole CVS Caremark Corporation Common 126650100 11,238 284,000 SH Sole NA Sole deCODE Genetics, Inc. Note 243586AB0 224 700,000 SH Sole NA Sole Dentsply International, Inc. Common 249030107 4,810 130,700 SH Sole NA Sole Eclipsys Corporation Common 278856109 5,368 292,400 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 9,146 1,829,230 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 7,504 216,000 SH Sole NA Sole Genentech, Inc. Common 368710406 8,326 109,700 SH Sole NA Sole Genzyme Corporation Common 372917104 22,173 307,875 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 31,955 603,500 SH Sole NA Sole HealthExtras, Inc. Common 422211102 8,813 292,400 SH Sole NA Sole Hologic, Inc. Common 436440101 7,451 341,798 SH Sole NA Sole ICON Plc Sponsored ADR 41503T107 12,233 161,984 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 11,539 236,746 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 5,819 21,600 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 8,090 243,900 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 9,470 136,000 SH Sole NA Sole Lexicon Pharmaceuticals, Inc. Common 528872104 1,271 794,191 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 10,790 320,092 SH Sole NA Sole
Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC Page 1 of 1
COLUMN 8 COLUMN 6 VOTING COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 INVESTMENT DISCRETION AUTHORITY (SHARES) ------------------------ ------------------- (B) SHARED- (C) COLUMN 7 VALUE SHARES OR SH/ PUT/ (A) AS DEFINED SHARED- OTHER (A) (B) (C) NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL SOLE IN INSTR. V OTHER MANGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- --------- --- ---- ---- ----------- ------- -------- ---- ------ ------- Masimo Corporation Common 574795100 15,801 460,000 SH Sole NA Sole Medarex, Inc. Common 583916101 5,969 903,000 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 9,827 208,200 SH Sole NA Sole Medicines Company Common 584688105 11,238 567,000 SH Sole NA Sole Merck & Co., Inc. Common 589331107 2,910 77,200 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 60877T100 10,199 829,200 SH Sole NA Sole Mylan Inc. Common 628530107 5,495 455,250 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 10,629 233,500 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 10,606 233,000 PUT Sole NA Sole NitroMed, Inc. Common 654798503 697 696,600 SH Sole NA Sole Omrix Biopharmaceuti- cals, Inc. Common 681989109 5,380 341,800 SH Sole NA Sole OSI Pharmaceuticals, Inc. Common 671040103 7,933 192,000 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 2,628 973,239 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 5,910 212,200 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 4,054 94,500 SH Sole NA Sole Phase Forward, Inc. Common 71721R406 2,022 112,500 SH Sole NA Sole Regeneron Pharmaceuti- cals, Inc. Common 75886F107 1,444 100,000 SH Sole NA Sole Sangamo BioSciences, Inc. Common 800677106 2,547 256,000 SH Sole NA Sole Stryker Corporation Common 863667101 11,350 180,500 SH Sole NA Sole Synta Pharmaceuticals Corp. Common 87162T206 2,239 367,105 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 22,908 500,177 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 15,047 270,000 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 14,780 151,200 SH Sole NA Sole Vertex Pharmaceuticals Inc. Common 92532F100 10,844 324,000 SH Sole NA Sole WellPoint, Inc. Common 94973V107 4,737 99,400 SH Sole NA Sole Xenoport, Inc. Common 98411C100 5,019 128,600 SH Sole NA Sole Zix Corp. Common 98974P100 3,572 1,285,000 SH Sole NA Sole COLUMN TOTALS $545,800
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