UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 12/31/2001
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Check Here if Amendment / /; Amendment Number:
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This Amendment (Check only one.): / / is a restatement.
/ / adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Hambrecht & Quist Capital Management Inc.
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Address: 30 Rowes Wharf, 4th Floor
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Boston, MA 02110-3328
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Form 13F File Number: 28-04219
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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
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Title: TREASURER
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Phone: 617-310-0537
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Signature, Place, and Date of Signing:
Kim Carroll Boston, MA January 18, 2002
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[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,
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
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Form 13F Information Table Entry Total: 45
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Form 13F Information Table Value Total: $411,598,474
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(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.]
NONE
as of 12/31/01 FORM 13F
Page of Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT (SEC USE ONLY)
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ITEM 6: ITEM 8
INVESTMENT VOTING
DISCRETION AUTHORITY (SHARES)
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(B)
SHARED-
ITEM 4: ITEM 5: AS ITEM 7:
ITEM 2: ITEM 3: FAIR SHARES OF DEFINED (C) MANAGERS
ITEM 1: TITLE OF CUSIP MARKET PRINCIPAL (A) IN SHARED- SEE (A) (B) (C)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SOLE INSTR. V OTHER INSTR. V SOLE SHARED NONE
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Abgenix Common 00039B107 $8,410,000 250,000 X NA X
Affymetrix Common 00826T108 3,775,000 100,000 X NA X
Aradigm Common 038505103 2,485,000 350,000 X NA X
ATS Medical Common 002083103 3,372,729 636,364 X NA X
Biofield Common 090591207 448,222 878,766 X NA X
Biofield (Restricted) Common 090591207 408,000 1,000,000 X NA X
Bioject Medical
Technologies Common 09059T206 2,996,778 238,000 X NA X
Biopure Common 09065H915 2,412,091 169,746 X NA X
BioTransplant Common 09066Y107 6,305,784 712,518 X NA X
Biovail Common 09067K106 32,138,325 571,348 X NA X
Catalytica Energy
Systems Common 148884109 587,313 128,515 X NA X
Celgene Common 151020104 22,024,800 690,000 X NA X
Cephalon Common 156708109 6,802,650 90,000 X NA X
Corixa Common 21887F100 5,899,302 391,460 X NA X
Cubist Pharmaceuticals Common 229990981 34,449,860 958,005 X NA X
Curis Common 231269101 1,911,232 340,683 X NA X
CV Therapeutics Common 126667104 28,419,676 546,307 X NA X
Cytyc Common 232946103 11,334,865 434,286 X NA X
Digene Common 253752109 811,250 27,500 X NA X
Dyax Common 26746E103 5,998,012 546,765 X NA X
Emisphere Technologies Common 291345106 4,818,410 151,000 X NA X
Endocardial Solutions Common 292962107 8,833,330 1,666,666 X NA X
Envirogen Common 294040100 25,208 20,833 X NA X
EP Med Systems Common 26881P103 2,687,500 1,075,000 X NA X
Exelixis Common 30161Q104 3,722,880 224,000 X NA X
Genzyme Common 372917104 16,102,340 269,000 X NA X
Gilead Sciences Common 37555B103 46,879,259 713,318 X NA X
IDEXX Laboratories Common 45168D104 7,127,500 250,000 X NA X
Lexicon Genetics Common 5288872104 1,505,970 130,500 X NA X
Lynx Therapeutics Common 551812308 1,511,250 375,000 X NA X
Martek Biosciences Common 572901106 16,969,872 780,224 X NA X
MedImmune Common 584699102 15,295,500 330,000 X NA X
Molecular Devices Common 60851C107 6,068,328 290,768 X NA X
Orthovita Common 68750U102 5,440,000 1,700,000 X NA X
Quintiles Transnational Common 748767100 2,454,045 152,900 X NA X
Radiance Medical Systems Common 750241101 534,600 330,000 X NA X
Scios Common 808905103 4,338,025 182,500 X NA X
Sepracor Common 817315104 20,378,294 357,138 X NA X
Telik Common 87959M109 8,999,978 666,665 X NA X
Teva Pharmaceutical
Industries Common 881624209 6,163,000 100,000 X NA X
Transkaryotic Therapies Common 893735100 16,373,140 382,550 X NA X
Tularik Common 899165104 9,737,828 405,405 X NA X
Verdant Brands Common 923366108 228 38,000 X NA X
Versicor Common 925314106 21,305,250 1,046,941 X NA X
WebMD Common 94769M105 3,335,850 472,500 X NA X
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COLUMN TOTALS $411,598,474
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