-----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, FiPeL7v6lsOJdFqEG6rCkfwWjveUjZtslU8wMutcPc7QvnQsGbJyDsJejuIQmTOA AMLXzidNDCVn79zj1+KGSQ== 0001047469-10-009632.txt : 20101112 0001047469-10-009632.hdr.sgml : 20101111 20101112072233 ACCESSION NUMBER: 0001047469-10-009632 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101182643 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 a2200387z13f-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, 2010 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 11/12/10 - --------------------------------- ------------- -------- [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: 79 Form 13F Information Table Value Total: 526,876 (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 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 - ------------------------- -------------- --------- ----------- ---------- --- ---- ---------- ---------- -------- -------- -------- Acorda Therapeutics Inc. Common 00484M106 8,645 261,815 SH Sole NA Sole Addus HomeCare Common 006739106 1,244 311,900 SH Sole NA Sole Corporation Adolor Corporation Common 00724X102 905 837,744 SH Sole NA Sole Aetna Inc. Common 00817Y108 11,795 373,131 SH Sole NA Sole Affymax, Inc. Common 00826A109 2,095 352,127 SH Sole NA Sole Akorn, Inc. Common 009728106 10,702 2,649,056 SH Sole NA Sole Alere, Inc. Common 01449J105 10,333 334,073 SH Sole NA Sole Alexion Pharmaceuticals, Common 015351109 13,097 203,500 SH Sole NA Sole Inc. Align Technology, Inc. Common 016255101 14,331 731,932 SH Sole NA Sole Alkermes, Inc. Common 01642T108 2,269 154,900 SH Sole NA Sole Allergan, Inc. Common 018490102 1,863 28,000 SH Sole NA Sole Alnylam Pharmaceuticals, Common 02043Q107 1,533 124,858 SH Sole NA Sole Inc. AMAG Pharmaceuticals, Common 00163U106 1,116 64,852 SH Sole NA Sole Inc. Amgen Inc. Common 031162100 23,227 421,471 SH Sole NA Sole Amylin Pharmaceuticals, Common 032346108 7,327 351,400 SH Sole NA Sole Inc. ARIAD Pharmaceuticals, Common 04033A100 759 198,750 SH Sole NA Sole Inc. Baxter International Common 071813109 8,435 176,800 SH Sole NA Sole Inc. BioMarin Pharmaceutical Common 09061G101 3,375 151,000 SH Sole NA Sole Inc. Cadence Pharmaceutical Common 12738T100 1,587 190,000 SH Sole NA Sole Inc. Celgene Corporation Common 151020104 27,468 476,790 SH Sole NA Sole Cephalon, Inc. Common 156708109 12,863 206,003 SH Sole NA Sole Charles River Common 159864107 4,130 124,600 SH Sole NA Sole Laboratories International, Inc. Clinical Data, Inc. Common 18725U109 386 22,881 SH Sole NA Sole Cornerstone Therapeutics Common 21924P103 1,230 174,224 SH Sole NA Sole Inc. Cubist Pharmaceuticals, Common 229678107 8,528 364,602 SH Sole NA Sole Inc. Curis Inc. Common 231269101 271 198,000 SH Sole NA Sole CVS Caremark Corporation Common 126650100 11,839 376,200 SH Sole NA Sole Cynosure, Inc. Common 232577205 642 62,839 SH Sole NA Sole Dendreon Corporation Common 24823Q107 9,793 237,800 SH Sole NA Sole DURECT Corporation Common 266605104 2,753 1,083,690 SH Sole NA Sole Elan Corp plc Common G29539106 5,336 928,000 SH Sole NA Sole Eurand N.V. Shares A N31010106 3,100 315,071 SH Sole NA Sole Forest Laboratories, Common 345838106 14,807 478,732 SH Sole NA Sole Inc. Gen-Probe Inc. Common 36866T103 2,786 57,493 SH Sole NA Sole Genzyme Corporation Common 372917104 5,724 80,865 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 19,622 551,038 SH Sole NA Sole Hologic, Inc. Common 436440101 11,963 747,240 SH Sole NA Sole Human Genome Sciences, Common 444903108 6,971 234,000 SH Sole NA Sole Inc. IDEXX Laboratories, Inc. Common 45168D104 11,613 188,150 SH Sole NA Sole Illumina, Inc. Common 452327109 16,828 342,036 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 5,097 257,414 SH Sole NA Sole Incyte Corporation Common 45337C102 5,393 337,270 SH Sole NA Sole Inspire Pharmaceuticals, Common 457733103 714 120,000 SH Sole NA Sole Inc. InterMune, Inc. Common 45884X103 3,454 253,600 SH Sole NA Sole Ironwood Common 46333X108 3,482 342,000 SH Sole NA Sole Pharmaceuticals, Inc. Isis Pharmaceuticals, Common 464330109 3,027 360,400 SH Sole NA Sole Inc. Johnson & Johnson Common 478160104 3,665 59,155 SH Sole NA Sole Kinetic Concepts, Inc. Common 49460W208 5,970 163,200 SH Sole NA Sole Laboratory Corp. of Common 50540R409 9,065 115,581 SH Sole NA Sole America Holdings Martek Biosciences Common 572901106 7,815 345,351 SH Sole NA Sole Corporation Masimo Corporation Common 574795100 2,996 109,720 SH Sole NA Sole McKesson Corporation Common 58155Q103 3,614 58,500 SH Sole NA Sole Medco Health Solutions, Common 58405U102 8,034 154,314 SH Sole NA Sole Inc. Momenta Pharmaceuticals, Common 60877T100 3,293 218,810 SH Sole NA Sole Inc. Mylan Inc. Common 628530107 11,492 610,934 SH Sole NA Sole Myriad Genetics, Inc. Common 62855J104 3,239 197,363 SH Sole NA Sole Nektar Therapeutics Common 640268108 2,097 142,000 SH Sole NA Sole Neurocrine Biosciences, Common 64125C109 5,489 905,795 SH Sole NA Sole Inc. NPS Pharmaceuticals, Common 62936P103 1,197 175,000 SH Sole NA Sole Inc. Onyx Pharmaceuticals, Common 683399109 3,039 115,200 SH Sole NA Sole Inc. Orexigen Therapeutics Common 686164104 148 25,000 SH Sole NA Sole Inc. Palomar Medical Common 697529303 522 50,500 SH Sole NA Sole Technologies, Inc. PerkinElmer, Inc. Common 714046109 11,739 507,291 SH Sole NA Sole Perrigo Company Common 714290103 10,700 166,621 SH Sole NA Sole Pfizer Inc. Common 717081103 3,619 210,782 SH Sole NA Sole Pharmaceutical Product Common 717124101 11,806 476,240 SH Sole NA Sole Development, Inc. Pharmasset, Inc. Common 71715N106 2,815 95,439 SH Sole NA Sole Regeneron Common 75886F107 3,099 113,086 SH Sole NA Sole Pharmaceuticals, Inc. Shire plc Sponsored ADR 82481R106 8,130 120,837 SH Sole NA Sole Somaxon Pharmaceuticals, Common 834453102 2,046 526,000 SH Sole NA Sole Inc. Stryker Corporation Common 863667101 10,832 216,423 SH Sole NA Sole Telik, Inc. Common 87959M109 457 635,098 SH Sole NA Sole Teva Pharmaceutical ADR 881624209 23,520 445,881 SH Sole NA Sole Industries, Ltd. VCA Antech, Inc. Common 918194101 768 36,417 SH Sole NA Sole Vertex Pharmaceuticals Common 92532F100 10,277 297,288 SH Sole NA Sole Inc. VIVUS Inc. Common 928551100 4,804 718,070 SH Sole NA Sole Warner Chilcott plc Shares A G94368100 8,572 382,017 SH Sole NA Sole WellPoint, Inc. Common 94973V107 13,050 230,409 SH Sole NA Sole XenoPort, Inc. Common 98411C100 4,509 634,132 SH Sole NA Sole COLUMN TOTALS $526,876
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