-----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, VUFBn38DHHHRCTo3OEcjt2WC89aXFRDmnxEcHhwkySt8eExx2FBLJhpAW7UilEDv P258QS/MlChuREjWsD15gw== 0001047469-05-003749.txt : 20050214 0001047469-05-003749.hdr.sgml : 20050214 20050214170239 ACCESSION NUMBER: 0001047469-05-003749 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041231 FILED AS OF DATE: 20050214 DATE AS OF CHANGE: 20050214 EFFECTIVENESS DATE: 20050214 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: 05611888 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 a2151966z13f-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, 2004 ----------------------- 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 02110-3328 ---------------------------------------- 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: 617-772-8515 ------------------------------- Signature, Place, and Date of Signing: /s/ Kathleen Eckert Boston, MA 2/14/05 ------------------------------- ----------------- ------------- [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: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 51 -------------------- Form 13F Information Table Value Total: 431,492 -------------------- (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 5,747 848,868 SH Sole NA Sole Adolor Corporation Common 00724X102 9,772 985,100 SH Sole NA Sole Amgen, Inc. Common 031162100 24,302 378,836 SH Sole NA Sole Ariad Pharmaceuticals, Inc. Common 04033A100 7,111 957,000 SH Sole NA Sole Barr Pharmaceuticals, Inc. Common 068306109 11,385 250,000 SH Sole NA Sole Boston Scientific Corporation Common 101137107 7,110 200,000 SH Sole NA Sole Celgene Corporation Common 151020104 6,627 249,800 SH Sole NA Sole Chiron Corporation Common 170040109 9,532 286,000 SH Sole NA Sole Connetics Corporation Common 208192104 7,685 316,400 SH Sole NA Sole Conor MedSystems, Inc. Restricted 208264101 16,288 1,567,999 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 19,044 1,609,839 SH Sole NA Sole Cytokinetics, Inc. Common 23282W100 6,501 634,229 SH Sole NA Sole deCODE Genetics, Inc. Common 243586104 10,611 1,358,600 SH Sole NA Sole DepoMed, Inc. Common 249908104 6,755 1,250,888 SH Sole NA Sole DOV Pharmaceutical, Inc. Common 259858108 6,047 335,000 SH Sole NA Sole Dyax Corporation Common 26746E103 6,536 905,265 SH Sole NA Sole Endo Pharmaceuticals Holdings Common 29264F205 9,459 450,000 SH Sole NA Sole Exelixis, Inc. Common 30161Q104 11,609 1,222,000 SH Sole NA Sole Genzyme Corporation Common 372917104 17,886 308,000 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 12,736 364,000 SH Sole NA Sole Guilford Pharmaceuticals, Inc. Common 401829106 5,445 1,100,000 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 12,343 226,100 SH Sole NA Sole Imclone Systems, Inc. Common 45245W109 9,078 197,000 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 14,295 900,198 SH Sole NA Sole IVAX Corporation Common 465823102 7,602 480,500 SH Sole NA Sole King Pharmaceuticals, Inc. Common 495582108 3,596 290,000 SH Sole NA Sole Kosan Biosciences, Inc. Common 50064W107 6,579 949,300 SH Sole NA Sole MedImmune, Inc. Common 584699102 14,260 526,000 SH Sole NA Sole Millennium Pharmaceuticals, Inc. Common 599902103 5,090 420,000 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 6608877T100 1,949 276,000 SH Sole NA Sole Myogen, Inc. Common 62856E104 6,184 766,280 SH Sole NA Sole Neurocrine Biosciences, Inc. Common 64125C109 12,828 260,200 SH Sole NA Sole Neurogen Corporation Common 64124E106 5,923 632,800 SH Sole NA Sole NPS Pharmaceuticals, Inc. Common 62936P103 6,032 330,000 SH Sole NA Sole
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- ------ -------- ------ Nuvelo, Inc. Common 67072M301 2,083 211,430 SH Sole NA Sole Orthovita, Inc. Common 68750U102 7,123 1,700,000 SH Sole NA Sole Par Pharmaceutical Companies, Inc. Common 69888P106 12,331 298,000 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 4,701 393,100 SH Sole NA Sole Pfizer, Inc. Common 717081103 9,143 340,000 SH Sole NA Sole Pozen, Inc. Common 73941U102 3,106 427,300 SH Sole NA Sole Sangamo Biosciences, Inc. Common 800677106 1,396 232,600 SH Sole NA Sole Seattle Genetics, Inc. Common 812578102 5,088 779,100 SH Sole NA Sole Senomyx, Inc. Restricted 81724Q107 11,829 1,428,571 SH Sole NA Sole Sirna Therapeutics, Inc. Restricted 829669100 2,139 676,924 SH Sole NA Sole Telik, Inc. Common 87959M109 6,485 338,823 SH Sole NA Sole Tercica, Inc. Common 88078L105 1,171 116,940 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR Common 881624209 13,079 438,000 SH Sole NA Sole Theravance, Inc. Common 88338T104 4,296 240,000 SH Sole NA Sole Vivus, Inc. Common 928551100 3,458 777,100 SH Sole NA Sole VNUS Medical Technologies, Inc. Restricted 928566108 9,858 911,458 SH Sole NA Sole WebMD Corporation Common 94769M105 10,261 1,257,500 SH Sole NA Sole COLUMN TOTALS $431,492
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