0001047469-11-009431.txt : 20111114
0001047469-11-009431.hdr.sgml : 20111111
20111114081750
ACCESSION NUMBER: 0001047469-11-009431
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
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: 111197894
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
a2205865z13f-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: September 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 02019
------------------------------------------
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 11/11/11
------------------------------- ----------------- -------------
[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).)
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.]
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
--------------------
Form 13F Information Table Entry Total: 72
--------------------
Form 13F Information Table Value Total: 428,010
--------------------
(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.]
FORM 13F
Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC (SEC USE ONLY)
Page 1 of 1
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------- ----------------- --------- ----------- ------------------- ---------- ---------- ------------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
------------------------- ----------------- --------- ----------- ---------- --- ---- ---------- ---------- ------ -------- --------
Acorda Therapeutics,
Inc. Common 00484M106 1,684 84,375 SH Sole NA Sole
Addus HomeCare
Corporation Common 006739106 1,766 431,900 SH Sole NA Sole
Adolor Corporation Common 00724X102 1,414 821,931 SH Sole NA Sole
Aetna, Inc. Common 00817Y108 11,208 308,341 SH Sole NA Sole
Affymax, Inc. Common 00826A109 1,578 352,127 SH Sole NA Sole
Akorn, Inc. Common 009728106 12,714 1,627,953 SH Sole NA Sole
Alexion Pharmaceuticals,
Inc. Common 015351109 13,506 210,829 SH Sole NA Sole
Allergan, Inc. Common 018490102 7,062 85,726 SH Sole NA Sole
Amarin Corporation plc Sponsored PLC 023111206 5,527 600,798 SH Sole NA Sole
Amgen, Inc. Common 031162100 8,826 160,612 SH Sole NA Sole
Auxilium
Pharmaceuticals, Inc. Common 05334D107 2,625 175,150 SH Sole NA Sole
Baxter International,
Inc. Common 071813109 8,752 155,900 SH Sole NA Sole
Biogen Idec, Inc. Common 09062X103 12,403 133,154 SH Sole NA Sole
Boston Scientific
Corporation Common 101137107 1,926 325,937 SH Sole NA Sole
Celgene Corporation Common 151020104 13,794 222,765 SH Sole NA Sole
Cerner Corporation Common 156782104 5,516 80,500 SH Sole NA Sole
Community Health
Systems, Inc. Common 203668108 938 56,350 SH Sole NA Sole
Corcept Therapeutics
Inc. Common 218352102 775 250,000 SH Sole NA Sole
Cornerstone
Therapeutics, Inc. Common 21924P103 1,115 174,224 SH Sole NA Sole
Cubist Pharmaceuticals,
Inc. Common 229678107 10,196 288,684 SH Sole NA Sole
Curis, Inc. Common 231269101 1,296 410,165 SH Sole NA Sole
CVS Caremark Corporation Common 126650100 8,131 242,150 SH Sole NA Sole
Dendreon Corporation Common 24823Q107 3,308 367,518 SH Sole NA Sole
Ewards Lifesciences
Corporation Common 28176E108 3,341 46,878 SH Sole NA Sole
Elan Corporation plc ADR 284131208 6,087 578,075 SH Sole NA Sole
Express Scripts, Inc. Common 302182100 6,077 163,927 SH Sole NA Sole
Gen-Probe, Inc. Common 36866T103 13,056 228,060 SH Sole NA Sole
Gilead Sciences, Inc. Common 375558103 22,713 585,397 SH Sole NA Sole
HCA Holdings, Inc. Common 40412C101 1,199 59,450 SH Sole NA Sole
Health Management
Associates, Inc. Class A 421933102 953 137,675 SH Sole NA Sole
Hologic, Inc. Common 436440101 1,214 79,836 SH Sole NA Sole
Human Genome Sciences,
Inc. Common 444903108 10,136 798,726 SH Sole NA Sole
IDEXX Laboratories, Inc. Common 45168D104 4,928 71,447 SH Sole NA Sole
Incyte Corporation Common 45337C102 9,156 655,422 SH Sole NA Sole
Inhibitex Inc. Common 45719T103 5,121 2,081,725 SH Sole NA Sole
IntelliPharmaCeutics
International, Inc. Common 458173101 5,226 1,560,000 SH Sole NA Sole
iShares Nasdaq
Biotechnology Index Fund Common 464287556 7,900 84,628 SH Sole NA Sole
Jazz Pharmaceuticals,
Inc. Common 472147107 2,740 66,000 SH Sole NA Sole
Keryx Pharmaceuticals
Inc. Common 492515101 1,843 614,476 SH Sole NA Sole
Kinetic Concepts, Inc. Common 49460W208 4,172 63,325 SH Sole NA Sole
LifePoint Hospitals,
Inc. Common 53219L109 1,330 36,312 SH Sole NA Sole
McKesson Corporation Common 58155Q103 4,134 56,862 SH Sole NA Sole
Medco Health Solutions,
Inc. Common 58405U102 6,800 145,028 SH Sole NA Sole
Merck & Co. Inc. Common 58933Y105 4,475 136,800 SH Sole NA Sole
Mylan, Inc. Common 628530107 11,168 656,938 SH Sole NA Sole
Natus Medical, Inc. Common 639050103 3,818 401,494 SH Sole NA Sole
Nektar Therapeutics Common 640268108 3,683 759,328 SH Sole NA Sole
Neurocrine Biosciences,
Inc. Common 64125C109 7,311 1,222,495 SH Sole NA Sole
NPS Pharmaceutical, Inc. Common 62936P103 1,525 234,230 SH Sole NA Sole
OncoGenex
Pharmaceuticals, Inc. Common 68230A106 912 93,100 SH Sole NA Sole
Onyx Pharmaceuticals,
Inc. Common 683399109 2,013 67,069 SH Sole NA Sole
Palomar Medical
Technologies, Inc. Common 697529303 887 112,550 SH Sole NA Sole
PAREXEL International
Corporation Common 699462107 3,941 208,165 SH Sole NA Sole
PerkinElmer, Inc. Common 714046109 9,136 475,591 SH Sole NA Sole
Perrigo Company Common 714290103 12,636 130,119 SH Sole NA Sole
Pharmaceutical Product
Development, Inc. Common 717124101 3,790 147,700 SH Sole NA Sole
Pharmasset, Inc. Common 71715N106 21,101 256,170 SH Sole NA Sole
Quest Diagnostics, Inc. Common 74834L100 4,423 89,600 SH Sole NA Sole
Sanofi Aventis Right 12/31/2020 80105N113 110 103,665 SH Sole NA Sole
Santarus, Inc. Common 802817304 2,444 875,977 SH Sole NA Sole
Shire plc Sponsored ADR 82481R106 8,975 95,550 SH Sole NA Sole
Telik, Inc. Common 87959M109 250 821,138 SH Sole NA Sole
Teva Pharmaceutical
Industries, Ltd. ADR 881624209 15,056 404,518 SH Sole NA Sole
Thermo Fisher
Scientific, Inc. Common 883556102 5,388 106,400 SH Sole NA Sole
United Therapeutics
Corporation Common 91307C102 8,191 218,475 SH Sole NA Sole
UnitedHealth Group, Inc. Common 91324P102 4,966 107,672 SH Sole NA Sole
Vertex Pharmaceuticals,
Inc. Common 92532F100 22,482 504,767 SH Sole NA Sole
Warner Chilcott plc Shares A G94368100 6,873 480,621 SH Sole NA Sole
Watson Pharmaceuticals,
Inc. Common 942683103 1,711 25,075 SH Sole NA Sole
XenoPort, Inc. Common 98411C100 333 56,426 SH Sole NA Sole
Zimmer Holdings, Inc. Common 98956P102 4,762 89,000 SH Sole NA Sole
Zogenix, Inc. Common 98978L105 1,464 800,000 SH Sole NA Sole
COLUMN TOTALS $428,010