-----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, EH3Paj5La7rTmknCLTHu1JMVC5H5FXdYDTgW2xeZfBpZanl+mQgsJcMTVoBrCXjO zU4mBVBgpa5u5nJ/5coruQ== 0001047469-08-001217.txt : 20080213 0001047469-08-001217.hdr.sgml : 20080213 20080213121028 ACCESSION NUMBER: 0001047469-08-001217 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080213 DATE AS OF CHANGE: 20080213 EFFECTIVENESS DATE: 20080213 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: 08602473 BUSINESS ADDRESS: STREET 1: 30 ROWES WHARF CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617 772-8500 MAIL ADDRESS: STREET 1: 30 ROWES WHARF CITY: BOSTON STATE: MA ZIP: 02110 13F-HR 1 a2182370z13f-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: December 31, 2007 ----------------------- 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: 30 Rowes Wharf, 4th Floor ---------------------------------------- Boston, MA 02110 ---------------------------------------- ---------------------------------------- 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 2/13/08 ------------------------------- ----------------- ------------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 82 -------------------- Form 13F Information Table Value Total: $601,057 -------------------- (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. NONE FORM 13F INFORMATION TABLE
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- ------ -------- ------ ACADIA Pharmaceuticals, Inc. Common 004225108 14,117 1,275,268 SH Sole NA Sole Adams Respiratory Therapeutics, Inc. Common 00635P107 11,894 199,100 SH Sole NA Sole Aetna Inc. Common 00817Y108 3,926 68,000 SH Sole NA Sole Affymax Inc. Common 00826A109 3,023 135,182 SH Sole NA Sole Akorn, Inc. Common 009728106 6,734 917,489 SH Sole NA Sole Align Technology, Inc. Common 016255101 5,004 300,000 SH Sole NA Sole Alkermes, Inc. Common 01642T108 8,652 555,000 SH Sole NA Sole Allergan, Inc. Common 018490102 7,632 118,800 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 1,422 48,900 SH Sole NA Sole Amgen, Inc. Common 031162100 10,858 233,800 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 7,296 197,200 SH Sole NA Sole Applera Corporation - Applied Biosystems Common 038020103 10,922 322,000 SH Sole NA Sole Athersys, Inc. Common 04744L106 3,142 800,000 SH Sole NA Sole Avalon Pharmaceuticals, Inc. Common 05346P106 1,286 405,721 SH Sole NA Sole Barr Pharmaceuticals, Inc. Common 068306109 7,206 135,700 SH Sole NA Sole Baxter International Inc. Common 071813109 11,610 200,000 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 18,087 216,400 SH Sole NA Sole BioForm Medical, Inc. Common 09065G107 1,283 187,900 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 6,745 118,500 SH Sole NA Sole BioMarin Pharmaceuticals, Inc. Common 09061G101 7,176 202,700 SH Sole NA Sole Cadence Pharmaceuticals, Inc. Common 127387100 2,972 200,000 SH Sole NA Sole Caraco Pharmaceutical Laboratories, Inc. Common 14075T107 2,478 144,500 SH Sole NA Sole Celgene Corp. Common 151020104 9,986 216,100 SH Sole NA Sole Centene Corporation Common 15135B101 4,390 160,000 SH Sole NA Sole Cougar Biotechnology, Inc. Common 222083107 4,398 134,503 SH Sole NA Sole Critical Therapeutics, Inc. Common 22674T105 960 756,272 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 3,631 177,039 SH Sole NA Sole CVS Caremark Corporation Common 126650100 10,176 256,000 SH Sole NA Sole deCODE Genetics, Inc. Note 243586AB0 460 700,000 SH Sole NA Sole Eclipsys Corporation Common 278856109 5,768 227,900 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 11,438 1,325,330 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 7,290 200,000 SH Sole NA Sole Genentech, Inc. Common 368710406 3,870 57,700 SH Sole NA Sole Genzyme Corporation Common 372917104 13,993 187,975 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 29,226 635,200 SH Sole NA Sole HealthExtras, Inc. Common 422211102 7,626 292,400 SH Sole NA Sole Hologix, Inc. Common 436440101 11,456 166,899 SH Sole NA Sole ICON Plc Sponsored ADR 41503T107 10,020 161,984 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 11,066 188,746 SH Sole NA Sole Inspire Pharmaceuticals, Inc. Common 457733103 1,984 331,841 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 2,921 9,000 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 13,730 244,400 SH Sole NA Sole Laboratory Corp. of America Holdings, Common 50540R409 11,707 155,000 SH Sole NA Sole Lexicon Pharmaceuticals, Inc. Common 528872104 2,467 814,191 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 6,037 204,092 SH Sole NA Sole Masimo Corporation Common 574795100 34,578 920,000 SH Sole NA Sole Medarex, Inc. Common 583916101 3,574 343,000 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 10,262 101,200 SH Sole NA Sole Medicines Company Common 584688105 10,864 567,000 SH Sole NA Sole Mentor Corporation Common 587188103 4,888 125,000 SH Sole NA Sole Merck & Co., Inc. Common 589331107 11,448 197,000 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 60877T100 5,920 829,200 SH Sole NA Sole Mylan Inc. Common 628530107 11,346 807,000 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 8,820 190,000 SH Sole NA Sole MZT Holdings, Inc. Common 55405U108 153 1,601,039 SH Sole NA Sole National Med Health Card Systems, Inc. Common 636918302 747 79,020 SH Sole NA Sole Neurometrix, Inc. Common 641255104 2,098 228,012 SH Sole NA Sole NitroMed, Inc. Common 654798503 704 696,600 SH Sole NA Sole Omrix Biopharmaceuticals, Inc. Common 681989109 8,730 251,300 SH Sole NA Sole PAREXEL International Corp. Common 699462107 5,796 120,000 SH Sole NA Sole Patterson Companies, Inc. Common 703395103 4,312 127,000 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 6,310 242,500 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 4,098 101,500 SH Sole NA Sole Phase Forward, Inc. Common 71721R406 2,447 112,500 SH Sole NA Sole Quest Diagnostics, Inc. Common 74834L100 5,687 107,500 SH Sole NA Sole ResMed, Inc. Common 761152107 7,932 151,000 SH Sole NA Sole Respironics, Inc. Common 761230101 7,596 116,000 SH Sole NA Sole Sangamo BioSciences, Inc. Common 800677106 2,618 200,000 SH Sole NA Sole Schering-Plough Corporation Common 806605101 2,683 100,700 SH Sole NA Sole Shire PLC Sponsored ADR 82481R106 5,171 75,000 SH Sole NA Sole Stryker Corporation Common 863667101 8,032 107,500 SH Sole NA Sole Synta Pharmaceuticals Corp. Common 87162T206 2,460 367,105 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR ADR 881624209 22,086 475,177 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 15,574 270,000 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 9,697 99,300 SH Sole NA Sole UnitedHealth Group, Inc. Common 91324P102 4,074 70,000 SH Sole NA Sole Vertex Pharmaceuticals, Inc. Common 92532F100 8,275 356,240 SH Sole NA Sole VNUS Medical Technologies, Inc. Common 928566108 4,066 280,030 SH Sole NA Sole WellPoint, Inc. Common 94973V107 8,598 98,000 SH Sole NA Sole Xenoport, Inc. Common 98411C100 4,923 88,100 SH Sole NA Sole XTENT, Inc. Common 984141101 2,354 238,760 SH Sole NA Sole Zix Corp. Common 98974P100 4,071 885,000 SH Sole NA Sole COLUMN TOTALS $601,057
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