-----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, MrDWQRy9nME8a2aTg525dcsLIA6EUaSN/B19gcrWlN4IU1QOZZUK/AXKJdH2HQkV 0SuPGX4QDsIdnCLvtR06bA== 0001047469-04-034281.txt : 20041115 0001047469-04-034281.hdr.sgml : 20041115 20041115123916 ACCESSION NUMBER: 0001047469-04-034281 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041115 DATE AS OF CHANGE: 20041115 EFFECTIVENESS DATE: 20041115 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: 041143196 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 a2146079z13f-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, 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: Kim Carroll ------------------------------- Title: Vice President ------------------------------- Phone: 617-772-8500 ------------------------------- Signature, Place, and Date of Signing: /s/ Kim Carroll Boston, MA 11/3/04 ------------------------------- ----------------- ------------- [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: 48 -------------------- Form 13F Information Table Value Total: 374,529 -------------------- (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- NONE ------ ----------------- --------------------------------- [Repeat as necessary.] FORM 13F INFORMATION TABLE
COLUMN 6 INVESTMENT DISCRETION COLUMN 8 ------------------------------ ----------------- (b) VOTING AUTHORITY COLUMN 5 SHARED- (SHARES) COLUMN 2 COLUMN 4 ---------------------- AS (c) COLUMN 7 ----------------- COLUMN 1 TITLE OF COLUMN 3 VALUE SHRS OR PUT/ (a) DEFINED SHARED- OTHER (a) (b) (c) NAME OF ISSUER CLASS CUSIP X$1000) PRN AMT SH/PRN CALL SOLE IN INSTR.V OTHER MANAGERS SOLE SHARED NONE - ---------------- ---------- --------- --------- --------- -------- ---- -------- ---------- -------- -------- ----- ------ ---- ACADIA Pharmaceuticals Common 4225108 779 100,000 SH Sole NA Sole Adolor Common 00724X102 10,520 935,100 SH Sole NA Sole Amgen Common 31162100 21,472 378,836 SH Sole NA Sole Ariad Common 4033A100 2,890 432,000 SH Sole NA Sole Barr Pharmaceuticals Common 68306109 7,250 175,000 SH Sole NA Sole Biofield Common 090591108 73 1,456,352 SH Sole NA Sole Boston Scientific Common 101137107 7,946 200,000 SH Sole NA Sole Celgene Common 151020104 14,546 249,800 SH Sole NA Sole Charles River Labs Common 159864107 6,508 142,100 SH Sole NA Sole Corixa Common 21887F100 2,981 716,597 SH Sole NA Sole CTI Molecular Imaging Common 22943D105 4,916 609,200 SH Sole NA Sole Cubist Pharmaceuticals Common 229678107 15,905 1,609,839 SH Sole NA Sole CV Therapeutics Common 126667104 6,829 546,307 SH Sole NA Sole deCODE Genetics Common 243586104 10,230 1,358,600 SH Sole NA Sole DepoMed Common 249908104 7,250 1,388,888 SH Sole NA Sole Dyax Common 26746E103 5,304 694,265 SH Sole NA Sole Endo Pharmaceuticals Common 29264F205 4,590 250,000 SH Sole NA Sole Enzon Pharmaceuticals Common 293904108 8,198 514,000 SH Sole NA Sole Exelixis Common 30161Q104 9,849 1,222,000 SH Sole NA Sole Genzyme Common 372917104 16,758 308,000 SH Sole NA Sole Gilead Sciences Common 375558103 13,606 364,000 SH Sole NA Sole Guilford Pharmaceuticals Common 401829106 3,193 638,500 SH Sole NA Sole IDEXX Laboratories Common 45168D104 6,885 135,700 SH Sole NA Sole Imclone Systems Common 45245W109 7,769 147,000 SH Sole NA Sole Impax Laboratories Common 45256B101 13,827 900,198 SH Sole NA Sole IVAX Common 465823102 9,202 480,500 SH Sole NA Sole King Pharmaceuticals Common 495582108 3,463 290,000 SH Sole NA Sole Kosan Biosciences Common 50064W107 5,468 949,300 SH Sole NA Sole Lexicon Genetics Common 528872104 5,569 845,000 SH Sole NA Sole MedImmune Common 584699102 12,466 526,000 SH Sole NA Sole Millennium Pharmaceuticals Common 599902103 5,758 420,000 SH Sole NA Sole Myogen Common 6.29E+108 5,276 766,280 SH Sole NA Sole Neurocrine Biosciences Common 64125C109 12,271 260,200 SH Sole NA Sole Orthovita Common 68750U102 7,608 1,700,000 SH Sole NA Sole Par Pharmaceutical Companies Common 69888P106 9,162 255,000 SH Sole NA Sole Pfizer Common 717081103 13,617 445,000 SH Sole NA Sole Pharmacyclics Common 716933106 3,918 380,000 SH Sole NA Sole Pozen Common 73941U102 3,735 427,300 SH Sole NA Sole
1
COLUMN 6 INVESTMENT DISCRETION COLUMN 8 ------------------------------ ----------------- (b) VOTING AUTHORITY COLUMN 5 SHARED- (SHARES) COLUMN 2 COLUMN 4 ---------------------- AS (c) COLUMN 7 ----------------- COLUMN 1 TITLE OF COLUMN 3 VALUE SHRS OR PUT/ (a) DEFINED SHARED- OTHER (a) (b) (c) NAME OF ISSUER CLASS CUSIP X$1000) PRN AMT SH/PRN CALL SOLE IN INSTR.V OTHER MANAGERS SOLE SHARED NONE - ---------------- ---------- --------- --------- --------- -------- ---- -------- ---------- -------- -------- ----- ------ ---- Rigel Pharmaceuticals Common 766559603 4,190 165,631 SH Sole NA Sole Sangamo Biosciences Common 800677106 1,133 232,600 SH Sole NA Sole Seattle Genetics Common 812578102 4,125 627,900 SH Sole NA Sole Senomyx Restricted 81724Q107 9,643 1,428,571 SH Sole NA Sole Sirna Therapeutics Restricted 829669100 2,071 676,924 SH Sole NA Sole Telik Common 87959M109 16,227 727,665 SH Sole NA Sole Teva Pharmaceutical Industries AD Common 881624209 9,290 358,000 SH Sole NA Sole Vicuron Pharmaceuticals Common 926471103 6,606 450,000 SH Sole NA Sole Vivus Common 928551100 4,903 1,089,600 SH Sole NA Sole WebMD Common 94769M105 8,752 1,257,500 SH Sole NA Sole COLUMN TOTALS $ 374,529
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