-----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, MhPJQG1rgQox2g9H29muVretjYUeZaG+3fpBlaAw6ZOO9qLcLvatWfrk0nQKIL6o p6mjEvutKakN+Sj52hbWIA== 0001047469-09-007591.txt : 20090812 0001047469-09-007591.hdr.sgml : 20090812 20090812102722 ACCESSION NUMBER: 0001047469-09-007591 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090812 DATE AS OF CHANGE: 20090812 EFFECTIVENESS DATE: 20090812 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: 091005551 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 a2193630z13f-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: June 30, 2009 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: Laura Woodward Title: Chief Compliance Officer Phone: 617-772-8500 Signature, Place, and Date of Signing: /s/ Laura Woodward Boston, MA 8/12/09 - --------------------------------- ------------- ------- [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: 60 Form 13F Information Table Value Total: 454,647 (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 Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC
Page 1 of 1 (SEC USE ONLY) Column 8 Column 6 Voting Authority Column 1 Column 2 Column 3 Column 4 Column 5 Investment Discretion Column 7 (Shares) - ------------------------ -------------- --------- -------- ------------------ ------------------------ -------- ---------------- (b) Shared- As (c) Value Shares or SH/ PUT/ (a) 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 2,305 1,052,468 SH Sole NA Sole Aetna Inc. Common 00817Y108 10,521 420,000 SH Sole NA Sole Affymax Inc. Common 00826A109 2,491 135,182 SH Sole NA Sole Akorn, Inc. Common 009728106 2,574 2,145,147 SH Sole NA Sole Align Technology, Inc. Common 016255101 7,751 731,220 SH Sole NA Sole Alkermes, Inc. Common 01642T108 6,005 555,000 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 951 42,700 SH Sole NA Sole Amgen, Inc. Common 031162100 23,029 435,000 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 1,823 135,000 SH Sole NA Sole Athersys, Inc. Common 04744L106 664 800,000 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 8,586 120,400 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 18,787 416,100 SH Sole NA Sole CardioNet, Inc. Common 14159L103 5,493 336,580 SH Sole NA Sole Catalyst Health Solutions, Inc. Common 14888B103 5,696 228,400 SH Sole NA Sole Celgene Corporation Common 151020104 26,704 558,200 SH Sole NA Sole Cephalon, Inc. Common 156708109 10,831 191,200 SH Sole NA Sole Clinical Data, Inc. Common 18725U109 210 19,068 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 769 70,007 SH Sole NA Sole Cougar Biotechnology, Inc. Common 222083107 5,392 125,511 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 4,995 272,500 SH Sole NA Sole CVS Caremark Corporation Common 126650100 9,688 304,000 SH Sole NA Sole deCODE Genetics, Inc. Note 243586AB0 53 700,000 SH Sole NA Sole Electro-Optical Sciences, Inc. Common 285192100 2,611 335,141 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 3,683 756,230 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 8,311 331,000 SH Sole NA Sole Genzyme Corporation Common 372917104 16,182 290,675 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 31,008 662,000 SH Sole NA Sole Hologic, Inc. Common 436440101 8,236 578,798 SH Sole NA Sole ICON Plc Sponsored ADR 45103T107 8,987 416,468 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 14,403 311,746 SH Sole NA Sole Illumina, Inc. Common 452327109 9,957 255,700 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 1,424 193,500 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 5,826 35,600 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 13,727 385,800 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 8,304 122,500 SH Sole NA Sole Lexicon Pharmaceuticals, Inc. Common 528872104 960 774,191 SH Sole NA Sole Life Technologies Corporation Common 53217V109 11,147 267,175 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 2,730 129,092 SH Sole NA Sole Masimo Corporation Common 574795100 6,425 266,480 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 9,496 208,200 SH Sole NA Sole Medicines Company Common 584688105 1,695 202,000 SH Sole NA Sole Monsanto Company Common 61166W101 2,721 36,600 SH Sole NA Sole Mylan Inc. Common 628530107 4,770 365,550 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 7,879 221,000 SH Sole NA Sole Myriad Pharmaceuticals, Inc. Common 62856H107 257 55,250 SH Sole NA Sole OSI Pharmaceuticals, Inc. Common 671040103 4,878 172,800 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 2,745 963,239 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 3,692 212,200 SH Sole NA Sole Perrigo Company Common 714290103 6,670 240,088 SH Sole NA Sole Pfizer Common 717081103 3,566 237,750 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 6,570 282,940 SH Sole NA Sole Stryker Corporation Common 863667101 8,564 215,500 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 29,222 592,263 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 16,008 192,100 SH Sole NA Sole United Therapeutics Corporation Put 91307C102 33 600 SH Sole NA Sole Vertex Pharmaceuticals Inc. Common 92532F100 14,648 411,000 SH Sole NA Sole WellPoint, Inc. Common 94973V107 11,013 216,400 SH Sole NA Sole Wyeth Common 983024100 3,259 71,800 SH Sole NA Sole Xenoport, Inc. Common 98411C100 5,794 250,060 SH Sole NA Sole Zix Corp. Common 98974P100 1,928 1,285,000 SH Sole NA Sole -------- COLUMN TOTALS $454,647 ========
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