0001047469-11-009431.txt : 20111114 0001047469-11-009431.hdr.sgml : 20111111 20111114081750 ACCESSION NUMBER: 0001047469-11-009431 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111197894 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 a2205865z13f-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, 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, 9 Floor ------------------------------------------ Boston, MA 02019 ------------------------------------------ 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 11/11/11 ------------------------------- ----------------- ------------- [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: 72 -------------------- Form 13F Information Table Value Total: 428,010 -------------------- (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 1,684 84,375 SH Sole NA Sole Addus HomeCare Corporation Common 006739106 1,766 431,900 SH Sole NA Sole Adolor Corporation Common 00724X102 1,414 821,931 SH Sole NA Sole Aetna, Inc. Common 00817Y108 11,208 308,341 SH Sole NA Sole Affymax, Inc. Common 00826A109 1,578 352,127 SH Sole NA Sole Akorn, Inc. Common 009728106 12,714 1,627,953 SH Sole NA Sole Alexion Pharmaceuticals, Inc. Common 015351109 13,506 210,829 SH Sole NA Sole Allergan, Inc. Common 018490102 7,062 85,726 SH Sole NA Sole Amarin Corporation plc Sponsored PLC 023111206 5,527 600,798 SH Sole NA Sole Amgen, Inc. Common 031162100 8,826 160,612 SH Sole NA Sole Auxilium Pharmaceuticals, Inc. Common 05334D107 2,625 175,150 SH Sole NA Sole Baxter International, Inc. Common 071813109 8,752 155,900 SH Sole NA Sole Biogen Idec, Inc. Common 09062X103 12,403 133,154 SH Sole NA Sole Boston Scientific Corporation Common 101137107 1,926 325,937 SH Sole NA Sole Celgene Corporation Common 151020104 13,794 222,765 SH Sole NA Sole Cerner Corporation Common 156782104 5,516 80,500 SH Sole NA Sole Community Health Systems, Inc. Common 203668108 938 56,350 SH Sole NA Sole Corcept Therapeutics Inc. Common 218352102 775 250,000 SH Sole NA Sole Cornerstone Therapeutics, Inc. Common 21924P103 1,115 174,224 SH Sole NA Sole Cubist Pharmaceuticals, Inc. Common 229678107 10,196 288,684 SH Sole NA Sole Curis, Inc. Common 231269101 1,296 410,165 SH Sole NA Sole CVS Caremark Corporation Common 126650100 8,131 242,150 SH Sole NA Sole Dendreon Corporation Common 24823Q107 3,308 367,518 SH Sole NA Sole Ewards Lifesciences Corporation Common 28176E108 3,341 46,878 SH Sole NA Sole Elan Corporation plc ADR 284131208 6,087 578,075 SH Sole NA Sole Express Scripts, Inc. Common 302182100 6,077 163,927 SH Sole NA Sole Gen-Probe, Inc. Common 36866T103 13,056 228,060 SH Sole NA Sole Gilead Sciences, Inc. Common 375558103 22,713 585,397 SH Sole NA Sole HCA Holdings, Inc. Common 40412C101 1,199 59,450 SH Sole NA Sole Health Management Associates, Inc. Class A 421933102 953 137,675 SH Sole NA Sole Hologic, Inc. Common 436440101 1,214 79,836 SH Sole NA Sole Human Genome Sciences, Inc. Common 444903108 10,136 798,726 SH Sole NA Sole IDEXX Laboratories, Inc. Common 45168D104 4,928 71,447 SH Sole NA Sole Incyte Corporation Common 45337C102 9,156 655,422 SH Sole NA Sole Inhibitex Inc. Common 45719T103 5,121 2,081,725 SH Sole NA Sole IntelliPharmaCeutics International, Inc. Common 458173101 5,226 1,560,000 SH Sole NA Sole iShares Nasdaq Biotechnology Index Fund Common 464287556 7,900 84,628 SH Sole NA Sole Jazz Pharmaceuticals, Inc. Common 472147107 2,740 66,000 SH Sole NA Sole Keryx Pharmaceuticals Inc. Common 492515101 1,843 614,476 SH Sole NA Sole Kinetic Concepts, Inc. Common 49460W208 4,172 63,325 SH Sole NA Sole LifePoint Hospitals, Inc. Common 53219L109 1,330 36,312 SH Sole NA Sole McKesson Corporation Common 58155Q103 4,134 56,862 SH Sole NA Sole Medco Health Solutions, Inc. Common 58405U102 6,800 145,028 SH Sole NA Sole Merck & Co. Inc. Common 58933Y105 4,475 136,800 SH Sole NA Sole Mylan, Inc. Common 628530107 11,168 656,938 SH Sole NA Sole Natus Medical, Inc. Common 639050103 3,818 401,494 SH Sole NA Sole Nektar Therapeutics Common 640268108 3,683 759,328 SH Sole NA Sole Neurocrine Biosciences, Inc. Common 64125C109 7,311 1,222,495 SH Sole NA Sole NPS Pharmaceutical, Inc. Common 62936P103 1,525 234,230 SH Sole NA Sole OncoGenex Pharmaceuticals, Inc. Common 68230A106 912 93,100 SH Sole NA Sole Onyx Pharmaceuticals, Inc. Common 683399109 2,013 67,069 SH Sole NA Sole Palomar Medical Technologies, Inc. Common 697529303 887 112,550 SH Sole NA Sole PAREXEL International Corporation Common 699462107 3,941 208,165 SH Sole NA Sole PerkinElmer, Inc. Common 714046109 9,136 475,591 SH Sole NA Sole Perrigo Company Common 714290103 12,636 130,119 SH Sole NA Sole Pharmaceutical Product Development, Inc. Common 717124101 3,790 147,700 SH Sole NA Sole Pharmasset, Inc. Common 71715N106 21,101 256,170 SH Sole NA Sole Quest Diagnostics, Inc. Common 74834L100 4,423 89,600 SH Sole NA Sole Sanofi Aventis Right 12/31/2020 80105N113 110 103,665 SH Sole NA Sole Santarus, Inc. Common 802817304 2,444 875,977 SH Sole NA Sole Shire plc Sponsored ADR 82481R106 8,975 95,550 SH Sole NA Sole Telik, Inc. Common 87959M109 250 821,138 SH Sole NA Sole Teva Pharmaceutical Industries, Ltd. ADR 881624209 15,056 404,518 SH Sole NA Sole Thermo Fisher Scientific, Inc. Common 883556102 5,388 106,400 SH Sole NA Sole United Therapeutics Corporation Common 91307C102 8,191 218,475 SH Sole NA Sole UnitedHealth Group, Inc. Common 91324P102 4,966 107,672 SH Sole NA Sole Vertex Pharmaceuticals, Inc. Common 92532F100 22,482 504,767 SH Sole NA Sole Warner Chilcott plc Shares A G94368100 6,873 480,621 SH Sole NA Sole Watson Pharmaceuticals, Inc. Common 942683103 1,711 25,075 SH Sole NA Sole XenoPort, Inc. Common 98411C100 333 56,426 SH Sole NA Sole Zimmer Holdings, Inc. Common 98956P102 4,762 89,000 SH Sole NA Sole Zogenix, Inc. Common 98978L105 1,464 800,000 SH Sole NA Sole COLUMN TOTALS $428,010