0001047469-11-005114.txt : 20110513 0001047469-11-005114.hdr.sgml : 20110513 20110513140119 ACCESSION NUMBER: 0001047469-11-005114 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 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: 11839741 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 a2202846z13f-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, 2011 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: 28-10950 ----- 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 5/13/2011 --------------------------- [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: 89 Form 13F Information Table Value Total: $596,422 (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 Page 1 of 1

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ ---------- --------- -------- ------------------ ------------------------ -------- ------------------ VOTING INVESTMENT DISCRETION AUTHORITY (SHARES) ------------------------ ------------------ (b) SHARED- (c) TITLE VALUE SHRS OR SH/ PUT/ (a) AS DEFINED SHARED- OTHER (a) (b) (c) NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL SOLE IN INSTR. V OTHER MANAGERS SOLE SHARED NONE ------------------------------- --------- --------- -------- --------- --- ---- ---- ----------- ------- -------- ---- ------ ---- Acorda Therapeutics, Inc. Common 00484M106 3,480 150,000 SH Sole NA Sole Addus HomeCare Corporation Common 006739106 2,164 431,900 SH Sole NA Sole Adolor Corporation Common 00724X102 2,308 1,637,179 SH Sole NA Sole Aetna, Inc. Common 00817Y108 15,660 418,377 SH Sole NA Sole Affymax, Inc. Common 00826A109 2,067 352,127 SH Sole NA Sole Affymetrix, Inc. Common 00826T108 4,387 842,053 SH Sole NA Sole Akorn, Inc. Common 009728106 9,631 1,669,101 SH Sole NA Sole Alere, Inc. Common 01449J105 7,484 191,200 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351109 16,716 169,400 SH Sole NA Sole Align Technology, Inc. Common 016255101 8,426 411,432 SH Sole NA Sole Alkermes, Inc. Common 01642T108 11,611 896,575 SH Sole NA Sole Allergan, Inc. Common 018490102 4,910 69,141 SH Sole NA Sole Alnylam Pharmaceuticals, Inc. Common 02043Q107 896 93,643 SH Sole NA Sole Amarin Corporation plc Common 023111206 8,075 1,106,100 SH Sole NA Sole Amgen, Inc. Common 031162100 14,879 278,371 SH Sole NA Sole Amylin Pharmaceuticals, Inc. Common 032346108 2,460 216,400 SH Sole NA Sole ARIAD Pharmaceuticals, Inc. Common 04033A100 2,586 343,875 SH Sole NA Sole Auxilium Pharmaceuticals, Inc. Common 05334D107 3,099 144,350 SH Sole NA Sole Baxter International, Inc. Common 071813109 7,442 138,400 SH Sole NA Sole Boston Scientific Corporation Common 101137107 1,564 217,500 SH Sole NA Sole Bruker Corporation Common 116794108 4,431 212,500 SH Sole NA Sole CVS Caremark Corporation Common 126650100 8,311 242,150 SH Sole NA Sole Cadence Pharmaceutical, Inc. Common 12738T100 3,564 386,934 SH Sole NA Sole Celera Corporation Common 15100E106 5,612 692,000 SH Sole NA Sole Celgene Corporation Common 151020104 13,451 233,811 SH Sole NA Sole Cephalon, Inc. Common 156708109 5,089 67,153 SH Sole NA Sole Charles River Laboratories International, Inc. Common 159864107 7,414 193,170 SH Sole NA Sole The Cooper Companies, Inc. Common 216648402 1,794 25,838 SH Sole NA Sole Corcept Therapeutics Inc. Common 218352102 1,063 250,000 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 1,153 174,224 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 10,793 427,612 SH Sole NA Sole Danaher Corporation Common 235851102 1,597 30,774 SH Sole NA Sole Dendreon Corporation Common 24823Q107 21,515 574,800 SH Sole NA Sole Elan Corporation plc Common 284131208 10,774 1,566,000 SH Sole NA Sole Exact Sciences Corporation Common 30063P105 4,500 611,463 SH Sole NA Sole Express Scripts, Inc. Common 302182100 1,487 26,733 SH Sole NA Sole Forest Laboratories, Inc. Common 345838106 9,959 308,326 SH Sole NA Sole Gen-Probe Inc. Common 36866T103 3,815 57,493 SH Sole NA Sole Genzyme Corporation Common 372917104 7,894 103,665 SH Sole NA Sole Geron Corporation Common 374163103 2,862 566,761 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 23,929 563,838 SH Sole NA Sole Hologic, Inc. Common 436440101 14,724 663,240 SH Sole NA Sole Human Genome Sciences, Inc. Common 444903108 11,951 435,376 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 9,808 127,012 SH Sole NA Sole Illumina, Inc. Common 452327109 17,422 248,636 SH Sole NA Sole Impax Laboratories, Inc. Common 45256B101 4,395 172,700 SH Sole NA Sole Incyte Corporation Common 45337C102 10,009 631,500 SH Sole NA Sole Inhibitex Inc. Common 45719T103 3,511 970,010 SH Sole NA Sole IntelliPharmaCeutics International, Inc. Common 458173101 4,226 1,560,000 SH Sole NA Sole Ironwood Pharmaceuticals, Inc. Common 46333X108 4,542 324,450 SH Sole NA Sole Ishares Nasdaq Biotechnology Index Fund Common 464287556 6,453 64,428 SH Sole NA Sole Isis Pharmaceuticals, Inc. Common 464330109 2,199 243,300 SH Sole NA Sole Kinetic Concepts, Inc. Common 49460W208 10,503 193,000 SH Sole NA Sole Laboratory Corporation of America Holdings Common 50540R409 10,699 116,133 SH Sole NA Sole Life Technologies Corporation Common 53217V109 10,145 193,540 SH Sole NA Sole McKesson Corporation Common 58155Q103 6,742 85,292 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 10,026 178,528 SH Sole NA Sole Medivation Inc. Common 58501N101 2,227 119,500 SH Sole NA Sole Medtronic, Inc. Common 585055106 1,522 38,669 SH Sole NA Sole Momenta Pharmaceuticals, Inc. Common 60877T100 4,272 269,517 SH Sole NA Sole Mylan, Inc. Common 628530107 15,194 670,238 SH Sole NA Sole Nektar Therapeutics Common 640268108 1,411 149,000 SH Sole NA Sole Neurocrine Biosciences, Inc. Common 64125C109 7,806 1,028,495 SH Sole NA Sole OncoGenex Pharmaceuticals, Inc. Common 68230A106 1,428 93,100 SH Sole NA Sole Onyx Pharmaceuticals, Inc. Common 683399109 2,697 76,650 SH Sole NA Sole Palomar Medical Technologies, Inc. Common 697529303 1,299 87,450 SH Sole NA Sole PAREXEL International Corporation Common 699462107 4,818 193,500 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 11,312 430,591 SH Sole NA Sole Perrigo Company Common 714290103 13,079 164,469 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 7,657 276,337 SH Sole NA Sole Pharmasset, Inc. Common 71715N106 3,202 40,685 SH Sole NA Sole Quest Diagnostics, Inc. Common 74834L100 5,172 89,600 SH Sole NA Sole St. Jude Medical, Inc. Common 790849103 3,056 59,624 SH Sole NA Sole Salix Pharmaceuticals, Ltd. Common 795435106 5,255 150,000 SH Sole NA Sole Santarus, Inc. Common 802817304 2,996 875,977 SH Sole NA Sole Seattle Genetics, Inc. Common 812578102 5,794 372,100 SH Sole NA Sole Shire plc Sponsored ADR 82481R106 12,029 138,100 SH Sole NA Sole Somaxon Pharmaceuticals, Inc. Common 834453102 2,111 746,000 SH Sole NA Sole Staar Surgical Co. Common 852312305 1,406 252,354 SH Sole NA Sole Telik, Inc. Common 87959M109 847 940,838 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 13,692 272,918 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 5,000 90,000 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 2,744 40,944 SH Sole NA Sole UnitedHealth Group, Inc. Common 91324P102 1,632 36,102 SH Sole NA Sole Watson Pharmaceuticals, Inc. Common 942683103 2,380 42,500 SH Sole NA Sole WellPoint, Inc. Common 94973V107 19,729 282,691 SH Sole NA Sole XenoPort, Inc. Common 98411C100 2,355 397,132 SH Sole NA Sole Zimmer Holdings, Inc. Common 98956P102 1,521 25,125 SH Sole NA Sole Warner Chilcott plc Shares A G94368100 12,572 540,017 SH Sole NA Sole COLUMN TOTALS $596,422