-----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, H1msnQWcQvXALELGGRwH1Luauw5kOviYSW55NoL5toMCFuguj7IHfn00J2BvaEVH ucZZCob3jhMsoqamWsLv4w== 0001047469-08-006639.txt : 20080515 0001047469-08-006639.hdr.sgml : 20080515 20080515103305 ACCESSION NUMBER: 0001047469-08-006639 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080515 DATE AS OF CHANGE: 20080515 EFFECTIVENESS DATE: 20080515 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: 08834594 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 a2185503z13f-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: 3/31/08 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 Haley Title: Chief Compliance Officer Phone: 617-772-8500 Signature, Place, and Date of Signing: /s/ Carolyn Haley Boston, MA 5/15/08 - ---------------------- ------------- ------- [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.] 9 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 69 Form 13F Information Table Value Total: $528,009 (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 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------- --------------------- -------- ---------------- INVESTMENT DISCRETION (B) SHARED- VOTING AUTHORITY AS (SHARES) DEFINED (C) ---------------- VALUE SHARES OR SH/ PUT/ (A) IN SHARED- OTHER (A) (B) (C) NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL SOLE INSTR. V OTHER MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- ---------- --- ---- ---- -------- ------- -------- ---- ------ ---- Abbott Laboratories Common 002824100 1,765 32,000 SH Sole NA Sole ACADIA Pharmaceuticals, Inc. Common 004225108 11,554 1,275,268 SH Sole NA Sole Aetna Inc. Common 00817Y108 4,840 115,000 SH Sole NA Sole Affymax Inc. Common 00826A109 1,906 135,182 SH Sole NA Sole Akorn, Inc. Common 009728106 5,497 1,162,089 SH Sole NA Sole Align Technology, Inc. Common 016255101 5,652 508,700 SH Sole NA Sole Alkermes, Inc. Common 01642T108 6,593 555,000 SH Sole NA Sole Allergan, Inc. Common 018490102 7,150 126,800 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 1,803 73,900 SH Sole NA Sole Amgen, Inc. Common 031162100 9,768 233,800 SH Sole NA Sole Applera Corporation - Applied Biosystems Common 038020103 10,581 322,000 SH Sole NA Sole Athersys, Inc. Common 04744L106 2,400 800,000 SH Sole NA Sole Avalon Pharmaceuticals, Inc. Common 05346P106 974 405,721 SH Sole NA Sole Barr Pharmaceuticals, Inc. Common 068306109 4,382 90,700 SH Sole NA Sole Baxter International Inc. Common 071813109 16,664 288,200 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 18,578 216,400 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 10,438 169,200 SH Sole NA Sole BioMarin Pharmaceuticals, Inc. Common 09061G101 2,748 77,700 SH Sole NA Sole Celgene Corp. Common 151020104 15,059 245,700 SH Sole NA Sole Cougar Biotechnology, Inc. Common 222083107 4,984 237,914 SH Sole NA Sole Critical Therapeutics, Inc. Common 22674T105 529 756,272 SH Sole NA Sole CVS Caremark Corporation Common 126650100 11,505 284,000 SH Sole NA Sole deCODE Genetics, Inc. Note 243586AB0 311 700,000 SH Sole NA Sole Eclipsys Corporation Common 278856109 5,420 276,400 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 13,242 1,905,330 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 11,483 287,000 SH Sole NA Sole Genentech, Inc. Common 368710406 4,684 57,700 SH Sole NA Sole Genzyme Corporation Common 372917104 22,949 307,875 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 32,732 635,200 SH Sole NA Sole HealthExtras, Inc. Common 422211102 7,263 292,400 SH Sole NA Sole Hologic, Inc. Common 436440101 12,616 226,899 SH Sole NA Sole ICON Plc Sponsored ADR 41503T107 10,511 161,984 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 11,662 236,746 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 5,027 15,500 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 8,982 298,400 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 11,420 155,000 SH Sole NA Sole Lexicon Pharmaceuticals, Inc. Common 528872104 1,604 794,191 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 8,104 265,092 SH Sole NA Sole Masimo Corporation Common 574795100 11,960 460,000 SH Sole NA Sole Medarex, Inc. Common 583916101 6,461 730,000 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 9,117 208,200 SH Sole NA Sole Medicines Company Common 584688105 11,453 567,000 SH Sole NA Sole Merck & Co., Inc. Common 589331107 8,729 230,000 SH Sole NA Sole
FORM 13F (SEC USE ONLY) 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 - ------------------------------ -------------- --------- -------- ------------------- --------------------- -------- ---------------- INVESTMENT DISCRETION (B) SHARED- VOTING AUTHORITY AS (SHARES) DEFINED (C) ---------------- VALUE SHARES OR SH/ PUT/ (A) IN SHARED- OTHER (A) (B) (C) NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL SOLE INSTR. V OTHER MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- ---------- --- ---- ---- -------- ------- -------- ---- ------ ---- Momenta Pharmaceuticals, Inc. Common 60877T100 9,063 829,200 SH Sole NA Sole Mylan Inc. Common 628530107 7,041 607,000 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 9,408 233,500 SH Sole NA Sole National Med Health Card Systems, Inc. Common 636918302 804 79,020 SH Sole NA Sole NitroMed, Inc. Common 654798503 745 696,600 SH Sole NA Sole Omrix Biopharmaceuticals, Inc. Common 681989109 3,147 224,800 SH Sole NA Sole OSI Pharmaceuticals, Inc. Common 671040103 5,534 148,000 SH Sole NA Sole PAREXEL International Corp. Common 699462107 5,011 192,000 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 2,151 973,239 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 5,881 242,500 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 2,870 68,500 SH Sole NA Sole Phase Forward, Inc. Common 71721R406 1,922 112,500 SH Sole NA Sole ResMed, Inc. Common 761152107 7,424 176,000 SH Sole NA Sole Sangamo BioSciences, Inc. Common 800677106 2,032 200,000 SH Sole NA Sole Shire PLC Sponsored ADR 82481R106 8,926 154,000 SH Sole NA Sole Sirtris Pharmaceuticals, Inc. Common 82968A105 520 40,000 SH Sole NA Sole Stryker Corporation Common 863667101 11,742 180,500 SH Sole NA Sole Synta Pharmaceuticals Corp. Common 87162T206 2,970 367,105 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR ADR 881624209 23,103 500,177 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 15,347 270,000 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 13,109 151,200 SH Sole NA Sole UnitedHealth Group, Inc. Common 91324P102 5,704 166,000 SH Sole NA Sole WellPoint, Inc. Common 94973V107 4,387 99,400 SH Sole NA Sole Xenoport, Inc. Common 98411C100 4,035 99,700 SH Sole NA Sole XTENT, Inc. Common 984141101 608 121,548 SH Sole NA Sole Zix Corp. Common 98974P100 3,425 885,000 SH Sole NA Sole -------- COLUMN TOTALS $528,009 24,707,952
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