-----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, Gp27xGTmp7UCFiqi+1vPMJeJykrOJHuNf9wXFFSkYjVN0oGVAg8cwJxKicxqyNHD Cayq5D4LV+nVMOf0zdeSoA== 0001047469-06-006974.txt : 20060512 0001047469-06-006974.hdr.sgml : 20060512 20060512104429 ACCESSION NUMBER: 0001047469-06-006974 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060331 FILED AS OF DATE: 20060512 DATE AS OF CHANGE: 20060512 EFFECTIVENESS DATE: 20060512 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: 06832644 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 a2170384z13f-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: March 31, 2006 ----------------------- 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: Kathleen Eckert ------------------------------- Title: Chief Compliance Officer ------------------------------- Phone: 617-772-8500 ------------------------------- Signature, Place, and Date of Signing: /s/ Kathleen Eckert Boston, MA 5/11/06 ------------------------------- ----------------- ------------- [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: 85 -------------------- Form 13F Information Table Value Total: $528,136 -------------------- (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 Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC
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 9,666 604,868 SH Sole NA Sole Adeza Biomedical Corporation Common 006864102 6,075 287,500 SH Sole NA Sole Affymetrix, Inc. Common 00826T108 8,298 252,000 SH Sole NA Sole Akorn, Inc. Common 009728106 3,672 888,889 SH Sole NA Sole Alexza Pharmaceuticals, Inc. Common 015384100 5,606 575,000 SH Sole NA Sole Align Technology, Inc. Common 016255101 12,022 1,311,000 SH Sole NA Sole Allscripts Healthcare Solutions, Inc. Common 01988P108 2,399 131,000 SH Sole NA Sole Amgen, Inc. Common 031162100 11,007 151,300 SH Sole NA Sole Ariad Pharmaceuticals, Inc. Common 04033A100 8,253 1,254,195 SH Sole NA Sole Avalon Pharmaceuticals, Inc. Common 05346P106 2,246 462,120 SH Sole NA Sole Barr Pharmaceuticals, Inc. Common 068306109 7,539 119,700 SH Sole NA Sole Barrier Therapeutics, Inc. Common 06850R108 6,753 697,600 SH Sole NA Sole Bioenvision, Inc. Common 09059N100 3,340 468,500 SH Sole NA Sole Biogen Idec Inc. Common 09062X103 2,355 50,000 SH Sole NA Sole Boston Scientific Corporation Common 101137107 1,325 57,500 SH Sole NA Sole Caraco Pharmaceutical Laboratories, Inc. Common 14075T107 3,966 305,100 SH Sole NA Sole Conor MedSystems, Inc. Common 208264101 26,633 914,299 SH Sole NA Sole Critical Therapeutics, Inc. Common 22674T105 2,722 534,805 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 17,828 776,139 SH Sole NA Sole Curis, Inc. Common 231269101 67 28,200 SH Sole NA Sole Cytokinetics, Inc. Common 23282W100 2,689 368,929 SH Sole NA Sole deCODE Genetics, Inc. Common 243586104 3,782 436,232 SH Sole NA Sole DepoMed, Inc. Common 249908104 8,812 1,349,388 SH Sole NA Sole DJ Orthopedics, Inc. Common 23325G104 4,771 120,000 SH Sole NA Sole DOV Pharmaceutical, Inc. Common 259858108 2,117 132,500 SH Sole NA Sole Eclipsys Corporation Common 278856109 5,643 239,000 SH Sole NA Sole Emageon, Inc. Common 29076V109 10,094 594,124 SH Sole NA Sole Emdeon Corporation Common 290849108 6,982 646,500 SH Sole NA Sole Encysive Pharmaceuticals Inc. Common 29256X107 3,825 782,200 SH Sole NA Sole Endo Pharmaceuticals Holdings Common 29264F205 4,246 129,400 SH Sole NA Sole Epix Pharmaceuticals, Inc. Common 26881Q101 2,061 588,800 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 9,421 784,430 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 6,895 154,500 SH Sole NA Sole Gen Probe, Inc. Common 36866T103 7,496 136,000 SH Sole NA Sole Genentech, Inc. Common 368710406 6,592 78,000 SH Sole NA Sole Genzyme Corporation Common 372917104 18,418 274,000 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 23,115 371,500 SH Sole NA Sole Guidant Corporation Common 401698105 2,225 28,500 SH Sole NA Sole Idenix Pharmaceuticals, Inc. Common 45166R204 8,447 622,500 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 13,723 158,900 SH Sole NA Sole Imclone Systems, Inc. Common 45256B101 4,780 140,500 SH Sole NA Sole Inhibitex, Inc. Common 45719T103 2,755 379,420 SH Sole NA Sole Insmed Inc. Common 457669208 2,300 1,179,400 SH Sole NA Sole Inspire Pharmaceuticals, Inc. Common 457733103 8,312 1,589,315 SH Sole NA Sole Kosan Biosciences, Inc. Common 50064W107 6,678 1,133,788 SH Sole NA Sole K-V Pharmaceutical Co. CL A 482740206 3,753 155,600 SH Sole NA Sole Lexicon Genetics, Inc. Common 528872104 5,374 970,000 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 8,068 141,000 SH Sole NA Sole
FORM 13F INFORMATION TABLE Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- ------ -------- ------ Medicis Pharmaceutical Corporation CL A New 584690309 5,966 183,000 SH Sole NA Sole MedImmune, Inc. Common 584699102 9,236 252,500 SH Sole NA Sole Medtronic, Inc. Common 585055106 8,881 175,000 SH Sole NA Sole Medwave, Inc. Common 585081102 4,139 1,277,372 SH Sole NA Sole MGI PHARMA, Inc. Common 552880106 7,140 408,000 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 60877T100 1,800 91,559 SH Sole NA Sole Myogen, Inc. Common 62856E104 3,760 103,780 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 6,875 263,500 SH Sole NA Sole National Med Health Card Systems, Inc. Common 636918302 8,551 305,405 SH Sole NA Sole Neurogen Corporation Common 64124E106 5,708 922,200 SH Sole NA Sole NitroMed, Inc. Common 654798503 3,830 456,000 SH Sole NA Sole Noven Pharmaceuticals, Inc. Common 670009109 7,289 404,700 SH Sole NA Sole Orchid Cellmark, Inc. Common 68573C107 3,242 564,800 SH Sole NA Sole Orthovita, Inc. Common 68750U102 7,472 1,804,900 SH Sole NA Sole PDL BioPharma Inc. Common 69329Y104 4,070 124,080 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 1,874 86,400 SH Sole NA Sole Pfizer, Inc. Common 717081103 4,112 165,000 SH Sole NA Sole Pharmacopeia Drug Discovery, Inc. Common 7171EP101 3,153 531,700 SH Sole NA Sole Pharmion Corporation Common 71715B409 1,141 63,300 SH Sole NA Sole Point Therapeutics, Inc. Common 730694106 2,318 670,000 SH Sole NA Sole Rigel Pharmaceuticals, Inc. Common 766559603 1,761 153,300 SH Sole NA Sole Sangamo Biosciences, Inc. Common 800677106 3,544 595,700 SH Sole NA Sole Schering-Plough Corporation Common 806605101 5,285 278,300 SH Sole NA Sole Seattle Genetics, Inc. Common 812578102 5,583 1,081,900 SH Sole NA Sole Senomyx, Inc. Common 81724Q107 5,502 334,250 SH Sole NA Sole SGX Pharmaceuticals, Inc. Common 78423C108 3,603 378,480 SH Sole NA Sole Sirna Therapeutics, Inc. Common 829669100 2,001 296,924 SH Sole NA Sole Taro Pharmaceuticals Industries Ltd. Common M8737E108 2,474 177,500 SH Sole NA Sole Telik, Inc. Common 87959M109 1,550 80,058 SH Sole NA Sole Tenet Healthcare Corporation Common 88033G100 4,613 625,000 SH Sole NA Sole Tercica, Inc. Common 88078L105 7,142 1,065,940 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR ADR 881624209 14,914 362,177 SH Sole NA Sole Theravance, Inc. Common 88338T104 14,390 513,207 SH Sole NA Sole Third Wave Technologies, Inc. Common 88428W108 2,904 927,713 SH Sole NA Sole Vivus, Inc. Common 928551100 2,186 656,600 SH Sole NA Sole VNUS Medical Technologies, Inc. Common 928566108 7,055 929,458 SH Sole NA Sole ZymoGenetics, Inc. Common 98985T109 7,926 366,600 SH Sole NA Sole - ----------------------------------------------------------------------------------------------------------------------------- COLUMN TOTALS $528,136 - -----------------------------------------------------------------------------------------------------------------------------
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