0001047469-11-007343.txt : 20110812 0001047469-11-007343.hdr.sgml : 20110812 20110812160647 ACCESSION NUMBER: 0001047469-11-007343 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110812 DATE AS OF CHANGE: 20110812 EFFECTIVENESS DATE: 20110812 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: 111031441 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 a2204753z13f-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, 2011 ----------------------- 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, 9 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 8/12/11 ------------------------------- ----------------- ------------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 74 -------------------- Form 13F Information Table Value Total: 530,276 -------------------- (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------- -------------- --------- --------- ------------------- -------------------------- -------- ---------------- INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) -------------------------- ---------------- (a) SHARED-AS (c) VALUE SHRS OR SH/ PUT/ (a) DEFINED 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 ----------------------- -------------- --------- --------- ---------- --- ---- ---- ------------- ------- -------- ---- ------ ---- Acorda Therapeutics, Inc. Common 00484M106 3,635 112,500 SH Sole NA Sole Addus HomeCare Corporation Common 006739106 2,345 431,900 SH Sole NA Sole Adolor Corporation Common 00724X102 2,461 1,236,806 SH Sole NA Sole Aetna, Inc. Common 00817Y108 15,882 360,218 SH Sole NA Sole Affymax, Inc. Common 00826A109 2,419 352,127 SH Sole NA Sole Akorn, Inc. Common 009728106 11,396 1,627,953 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351109 8,802 187,159 SH Sole NA Sole Alkermes, Inc. Common 01642T108 8,914 479,254 SH Sole NA Sole Allergan, Inc. Common 018490102 5,756 69,141 SH Sole NA Sole Amarin Corporation plc Sponsored ADR 023111206 12,879 890,070 SH Sole NA Sole Amgen, Inc. Common 031162100 14,561 249,554 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 2,891 216,400 SH Sole NA Sole Auxilium Pharmaceuticals, Inc. Common 05334D107 2,829 144,350 SH Sole NA Sole Baxter International, Inc. Common 071813109 9,306 155,900 SH Sole NA Sole Boston Scientific Corporation Common 101137107 2,252 325,937 SH Sole NA Sole Celgene Corporation Common 151020104 15,937 264,206 SH Sole NA Sole Corcept Therapeutics Incorporated Common 218352102 998 250,000 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 1,561 174,224 SH Sole NA Sole Covidien plc Shares G2554F113 5,145 96,653 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 13,853 384,912 SH Sole NA Sole CVS Caremark Corporation Common 126650100 9,100 242,150 SH Sole NA Sole Danaher Corporation Common 235851102 1,631 30,774 SH Sole NA Sole Dendreon Corporation Common 24823Q107 14,706 372,870 SH Sole NA Sole Elan Corporation plc ADR 284131208 13,354 1,174,500 SH Sole NA Sole Express Scripts, Inc. Common 302182100 5,761 106,733 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 10,005 254,326 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 19,928 481,238 SH Sole NA Sole Hologic, Inc. Common 436440101 3,221 159,672 SH Sole NA Sole Human Genome Sciences, Inc. Common 444903108 10,137 413,076 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 7,389 95,262 SH Sole NA Sole Illumina, Inc. Common 452327109 12,293 163,573 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 2,822 129,525 SH Sole NA Sole Incyte Corporation Common 45337C102 7,073 373,422 SH Sole NA Sole Inhibitex, Inc. Common 45719T103 8,160 2,081,725 SH Sole NA Sole IntelliPharmaCeutics International, Inc. Common 458173101 6,209 1,560,000 SH Sole NA Sole Ironwood Pharmaceuticals, Inc. Common 46333X108 1,364 86,755 SH Sole NA Sole Ishares Nasdaq Biotechnology Index Fund Common 464287556 6,872 64,428 SH Sole NA Sole Keryx Pharmaceuticals, Inc. Common 492515101 2,398 507,000 SH Sole NA Sole Kinetic Concepts, Inc. Common 49460W208 8,342 144,750 SH Sole NA Sole Laboratory Corporation of America Holdings Common 50540R409 11,241 116,133 SH Sole NA Sole Life Technologies Corporation Common 53217V109 10,078 193,540 SH Sole NA Sole McKesson Corporation Common 58155Q103 7,135 85,292 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 7,570 133,928 SH Sole NA Sole Medivation Inc. Common 58501N101 2,241 104,562 SH Sole NA Sole Medtronic, Inc. Common 585055106 2,993 77,669 SH Sole NA Sole Merck & Company, Inc. Common 58933Y105 3,769 106,800 SH Sole NA Sole Mylan, Inc. Common 628530107 14,924 604,938 SH Sole NA Sole Neurocrine Biosciences, Inc. Common 64125C109 8,988 1,116,495 SH Sole NA Sole OncoGenex Pharmaceuticals, Inc. Common 68230A106 1,585 93,100 SH Sole NA Sole Onyx Pharmaceuticals, Inc. Common 683399109 2,851 80,769 SH Sole NA Sole Palomar Medical Technologies, Inc. Common 697529303 1,270 112,550 SH Sole NA Sole PAREXEL International Corporation Common 699462107 4,904 208,165 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 11,587 430,591 SH Sole NA Sole Perrigo Company Common 714290103 14,276 162,469 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 1,712 63,788 SH Sole NA Sole Pharmasset, Inc. Common 71715N106 8,481 75,585 SH Sole NA Sole Quest Diagnostics, Inc. Common 74834L100 5,295 89,600 SH Sole NA Sole Salix Pharmaceuticals, Ltd. Common 795435106 7,966 200,000 SH Sole NA Sole Sanofi, CVR RIGHT 12/31/2020 80105N113 250 103,665 SH Sole NA Sole Santarus, Inc. Common 802817304 2,952 875,977 SH Sole NA Sole Seattle Genetics, Inc. Common 812578102 5,789 282,100 SH Sole NA Sole Shire plc Sponsored ADR 82481R106 12,002 127,400 SH Sole NA Sole Telik, Inc. Common 87959M109 640 821,138 SH Sole NA Sole Teva Pharmaceutical Industries Ltd. ADR 881624209 14,240 295,318 SH Sole NA Sole The Cooper Companies, Inc. Common 216648402 2,047 25,838 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 4,604 71,500 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 7,931 143,944 SH Sole NA Sole UnitedHealth Group, Inc. Common 91324P102 1,862 36,102 SH Sole NA Sole Vertex Pharmaceuticals, Inc. Common 92532F100 13,505 259,767 SH Sole NA Sole Warner Chilcott plc Common G94368100 13,031 540,017 SH Sole NA Sole Watson Pharmaceuticals, Inc. Common 942683103 1,723 25,075 SH Sole NA Sole WellPoint, Inc. Common 94973V107 20,220 256,691 SH Sole NA Sole XenoPort, Inc. Common 98411C100 402 56,426 SH Sole NA Sole Zimmer Holdings, Inc. Common 98956P102 5,625 89,000 SH Sole NA Sole COLUMN TOTALS $530,276