-----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, QuwKT14P/4Eolwm9v2ID7El3XsnOOUeflXOvPoBCFAOBE7+SgpMPx1vNwLb2YPo/ 0Y+/t0VqAJBHAd6kz9mhFQ== 0001047469-10-000719.txt : 20100211 0001047469-10-000719.hdr.sgml : 20100211 20100211093015 ACCESSION NUMBER: 0001047469-10-000719 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100211 DATE AS OF CHANGE: 20100211 EFFECTIVENESS DATE: 20100211 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: 10589816 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 a2196001z13f-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, 2009 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, 9th Floor Boston, MA 02109 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 2/11/09 - --------------------------- [City, State] [Date] [Signature] 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: 65 Form 13F Information Table Value Total: $505,019 (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 6 COLUMN 8 INVESTMENT DISCRETION VOTING AUTHORITY COLUMN 5 -------------------------------- (SHARES) COLUMN 2 COLUMN 3 COLUMN 4 ------------------ (b) SHARED- COLUMN 7 ---------------- COLUMN 1 TITLE OF VALUE SHARES OR SH/ PUT/ AS DEFINED (c) SHARED- OTHER (a) (b) (c) NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL (a) SOLE IN INSTR. V OTHER MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Abbott Laboratories Common 002824100 4,964 91,945 SH Sole NA Sole Acorda Therapeutics Inc. Common 00484M106 9,691 384,265 SH Sole NA Sole Addus HomeCare Corp. Common 006739106 2,645 287,500 SH Sole NA Sole Aetna Inc. Common 00817Y108 10,846 342,131 SH Sole NA Sole Affymax Inc. Common 00826A109 4,163 168,282 SH Sole NA Sole Akorn, Inc. Common 009728106 5,037 2,813,984 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351109 976 20,000 SH Sole NA Sole Align Technology, Inc. Common 016255101 14,486 812,932 SH Sole NA Sole Alkermes, Inc. Common 01642T108 2,491 264,752 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 3,379 191,758 SH Sole NA Sole AMAG Pharmaceuticals, Inc. Common 00163U106 3,570 93,864 SH Sole NA Sole Amgen, Inc. Common 031162100 23,843 421,471 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 4,632 326,459 SH Sole NA Sole Becton, Dickinson and Company Common 075887109 5,600 71,016 SH Sole NA Sole BioMarin Pharmaceutical Inc. Common 09061G101 2,464 131,000 SH Sole NA Sole CardioNet, Inc. Common 14159L103 1,236 208,000 SH Sole NA Sole Celgene Corporation Common 151020104 28,700 515,440 SH Sole NA Sole Cephalon, Inc. Common 156708109 14,517 232,603 SH Sole NA Sole Charles River Laboratories International, Inc. Common 159864107 3,923 116,446 SH Sole NA Sole Clinical Data, Inc. Common 18725U109 348 19,068 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 1,063 174,224 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 8,529 449,602 SH Sole NA Sole CVS Caremark Corporation Common 126650100 10,797 335,200 SH Sole NA Sole Dendreon Corporation Common 24823Q107 3,350 127,457 SH Sole NA Sole DURECT Corporation Common 266605104 2,464 997,671 SH Sole NA Sole Eurand N.V. Shares A N31010106 2,264 175,521 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 14,367 447,432 SH Sole NA Sole Gen-Probe Inc. Common 36866T103 3,681 85,809 SH Sole NA Sole Genzyme Corporation Common 372917104 15,963 325,717 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 19,771 456,814 SH Sole NA Sole Hologic, Inc. Common 436440101 10,835 747,240 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 13,963 261,277 SH Sole NA Sole Illumina, Inc. Common 452327109 10,557 344,436 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 7,989 587,437 SH Sole NA Sole Intuitive Surgical, Inc. Common 46120E602 8,147 26,860 SH Sole NA Sole Inverness Medical Innovations, Inc. Common 46126P106 14,137 340,573 SH Sole NA Sole Isis Pharmaceuticals, Inc. Common 464330109 3,246 292,400 SH Sole NA Sole Johnson & Johnson Common 478160104 2,844 44,155 SH Sole NA Sole Laboratory Corp. of America Holdings Common 50540R409 11,735 156,799 SH Sole NA Sole Life Technologies Corporation Common 53217V109 10,017 191,794 SH Sole NA Sole Martek Biosciences Corporation Common 572901106 4,425 233,651 SH Sole NA Sole Masimo Corporation Common 574795100 3,338 109,720 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 4,507 70,514 SH Sole NA Sole Medicines Company Common 584688105 1,108 132,850 SH Sole NA Sole Mylan Inc. Common 628530107 5,270 285,934 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 6,109 234,065 SH Sole NA Sole OSI Pharmaceuticals, Inc. Common 671040103 3,655 117,800 SH Sole NA Sole Penwest Pharmaceuticals Co. Common 709754105 2,495 963,239 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 9,768 474,391 SH Sole NA Sole Perrigo Company Common 714290103 11,235 282,000 SH Sole NA Sole Pfizer Inc. Common 717081103 6,604 363,063 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 9,410 401,440 SH Sole NA Sole Regeneron Pharmaceuticals, Inc. Common 75886F107 3,218 133,086 SH Sole NA Sole Sequenom, Inc. Common 817337405 3,410 823,639 SH Sole NA Sole Shire plc Sponsored ADR 82481R106 3,293 56,100 SH Sole NA Sole Stryker Corporation Common 863667101 12,674 251,623 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 29,832 531,000 SH Sole NA Sole Thoratec Corporation Common 885175307 2,417 89,800 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 14,545 276,251 SH Sole NA Sole VCA Antech Inc. Common 918194101 3,095 124,217 SH Sole NA Sole Vertex Pharmaceuticals Inc. Common 92532F100 8,416 196,400 SH Sole NA Sole Warner Chilcott plc Shares A G94368100 12,584 442,017 SH Sole NA Sole WellPoint, Inc. Common 94973V107 12,463 213,809 SH Sole NA Sole Xenoport, Inc. Common 98411C100 5,939 320,001 SH Sole NA Sole Zix Corp. Common 98974P100 1,979 1,157,112 SH Sole NA Sole COLUMN TOTALS $505,019
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