UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 2004
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Check Here if Amendment /X/; Amendment Number: 1
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This Amendment (Check only one.): /X/ is a restatement.
/ / adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Hambrecht & Quist Capital Management LLC
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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-
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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: Vice President
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Phone: 617-772-8500
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Signature, Place, and Date of Signing:
Kim Carroll Boston, MA 08/17/04
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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,
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-
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[Repeat as necessary.]
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
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Form 13F Information Table Entry Total: 92
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Form 13F Information Table Value Total: 464,716
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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.]
No. Form 13F File Number Name
28- None
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[Repeat as necessary.]
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
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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
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ACADIA Pharmaceuticals Common 4225108 $620 100,000 SH Sole NA Sole
ACADIA Pharmaceuticals Restricted 2,835 609,671 SH Sole NA Sole
Adolor Common 00724X102 6,570 518,100 SH Sole NA Sole
Agensys Series C Cvt. Pfd. 5,000 1,587,302 SH Sole NA Sole
Agilix Series B Cvt. Pfd. 952 3,968,255 SH Sole NA Sole
Amgen Common 31162100 10,696 196,000 SH Sole NA Sole
Avalon Pharmaceuticals Series B Cvt. Pfd. 3,331 1,417,394 SH Sole NA Sole
Biofield Common 090591108 73 1,456,352 SH Sole NA Sole
CardioNet Series C Cvt. Pfd. 9,200 2,628,573 SH Sole NA Sole
Celgene Common 151020104 19,743 344,800 SH Sole NA Sole
Ceres Series C Cvt. Pfd. 3,750 625,000 SH Sole NA Sole
Ceres Series C-1 Cvt. Pfd. 274 45,739 SH Sole NA Sole
Ceres Series D Cvt. Pfd. 2,713 452,167 SH Sole NA Sole
Charles River Labs Common 159864107 6,944 142,100 SH Sole NA Sole
Concentric Medical Series B Cvt. Pfd. 5,176 8,088,233 SH Sole NA Sole
Concentric Medical Series C Cvt. Pfd. 1,860 2,906,976 SH Sole NA Sole
Conor Medsystems Series D Cvt. Pfd. 4,000 3,333,333 SH Sole NA Sole
Corixa Common 21887F100 3,347 716,597 SH Sole NA Sole
Corus Pharmaceutical Series C Cvt. Pfd. 5,000 4,310,345 SH Sole NA Sole
CTI Molecular Imaging Common 22943D105 8,638 609,200 SH Sole NA Sole
Cubist Pharmaceuticals Common 229678107 15,649 1,409,839 SH Sole NA Sole
CV Therapeutics Common 126667104 9,156 546,307 SH Sole NA Sole
Cytologix Cvt. Note 281 280,561 PRN Sole NA Sole
Cytologix Series A Cvt. Pfd. 666 806,997 SH Sole NA Sole
Cytologix Series B Cvt. Pfd. 312 378,550 SH Sole NA Sole
DakoCytomation Restricted 453 43,541 SH Sole NA Sole
deCODE Genetics Common 24386104 8,968 1,055,000 SH Sole NA Sole
DepoMed Common 249908104 6,875 1,388,888 SH Sole NA Sole
Durect Common 266605104 5,341 1,530,400 SH Sole NA Sole
Dyax Common 26746E103 8,158 694,265 SH Sole NA Sole
Encysive Pharmaceuticals Common 29256X107 4,365 513,500 SH Sole NA Sole
Enzon Pharmaceuticals Common 293904108 6,559 514,000 SH Sole NA Sole
EPR Series A Cvt. Pfd. 4 400,000 SH Sole NA Sole
Exelixis Common 30161Q104 12,330 1,222,000 SH Sole NA Sole
Galileo Pharmaceuticals Series F Cvt. Pfd. 816 233,121 SH Sole NA Sole
Genzyme Common 372917104 14,578 308,000 SH Sole NA Sole
Gilead Sciences Common 375558103 12,194 182,000 SH Sole NA Sole
IDEXX Laboratories Common 45168D104 8,541 135,700 SH Sole NA Sole
Idun Pharmaceuticals Series A-1 Cvt. Pfd. 4,143 2,021,182 SH Sole NA Sole
Idun Pharmaceuticals Series B-1 Cvt. Pfd. 1,582 771,605 SH Sole NA Sole
Imclone Systems Common 45245W109 12,611 147,000 SH Sole NA Sole
Impax Laboratories Common 45256B101 13,182 680,198 SH Sole NA Sole
I-Trax Series A Cvt. Pfd. 4,000 160,000 SH Sole NA Sole
IVAX Common 465823102 13,060 544,400 SH Sole NA Sole
King Pharmaceuticals Common 495582108 3,321 290,000 SH Sole NA Sole
Kosan Biosciences Common 50064W107 7,499 949,300 SH Sole NA Sole
Lexicon Genetics Common 528872104 6,625 845,000 SH Sole NA Sole
Masimo Series D Cvt. Pfd. 3,190 290,000 SH Sole NA Sole
Masimo Labs Restricted 3 290,000 SH Sole NA Sole
MedImmune Common 584699102 12,308 526,000 SH Sole NA Sole
Millennium
Pharmaceuticals Common 599902103 5,796 420,000 SH Sole NA Sole
Neurocrine Biosciences Common 64125C109 9,349 180,300 SH Sole NA Sole
OmniSonics Medical
Technologies Series B Cvt. Pfd. 3,635 2,721,089 SH Sole NA Sole
OmniSonics Medical
Technologies Series C Cvt. Pfd. 3,000 2,579,980 SH Sole NA Sole
Orthovita Common 68750U102 8,738 1,700,000 SH Sole NA Sole
Par Pharmaceutical
Companies Common 69888P106 6,162 175,000 SH Sole NA Sole
Pfizer Common 717081103 15,255 445,000 SH Sole NA Sole
Pharmacyclics Common 716933106 3,865 380,000 SH Sole NA Sole
PHT Series D Cvt. Pfd. 7,000 8,974,359 SH Sole NA Sole
PHT Series E Cvt. Pfd. 1,178 1,510,435 SH Sole NA Sole
Pozen Common 73941U102 3,311 484,000 SH Sole NA Sole
Raven Biotechnologies Series B Cvt. Pfd. 2,515 3,030,303 SH Sole NA Sole
Raven Biotechnologies Series C Cvt. Pfd. 3,886 4,681,929 SH Sole NA Sole
Rigel Pharmaceuticals Common 766559603 2,354 165,631 SH Sole NA Sole
Sangamo Biosciences Common 800677106 1,400 232,600 SH Sole NA Sole
Senomyx Restricted 81724Q107 6,696 1,428,571 SH Sole NA Sole
Sirna Therapeutics Restricted 1,990 676,924 SH Sole NA Sole
Songbird Hearing Restricted 3 347,548 SH Sole NA Sole
Syntiro Healthcare
Services Restricted 5 510,347 SH Sole NA Sole
Telik Common 87959M109 17,369 727,665 SH Sole NA Sole
Teva Pharmaceutical
Industries ADR Common 881624209 10,665 158,500 SH Sole NA Sole
Theravance Restricted 6,176 686,276 SH Sole NA Sole
Therion Biologics C-2 Units 100 55,556 SH Sole NA Sole
Therion Biologics Restricted 4 373,742 SH Sole NA Sole
Therion Biologics Series A Cvt. Pfd. 141 78,327 SH Sole NA Sole
Therion Biologics Series B Cvt. Pfd. 720 400,000 SH Sole NA Sole
Therion Biologics Series C Cvt. Pfd. 1,223 679,520 SH Sole NA Sole
Therion Biologics Sinking Fund Pfd. 1 65,083 SH Sole NA Sole
TherOx Bridge Note 334 333,787 PRN Sole NA Sole
TherOx Series H Cvt. Pfd. 1,609 1,086,955 SH Sole NA Sole
Triad Therapeutics Series A Cvt. Pfd. 3 2,900,000 SH Sole NA Sole
Triad Therapeutics Series B Cvt. Pfd. 1 875,000 SH Sole NA Sole
Triad Therapeutics Series C Cvt. Pfd. 300 2,000,000 SH Sole NA Sole
Tularik Common 899165104 10,054 405,405 SH Sole NA Sole
United Therapeutics Common 91307C102 5,694 222,000 SH Sole NA Sole
Vivus Common 928551100 3,966 1,089,600 SH Sole NA Sole
VNUS Medical
Technologies Series E Cvt. Pfd. 7,000 1,367,188 SH Sole NA Sole
WebMD Common 94769M105 11,720 1,257,500 SH Sole NA Sole
Xanthus Life Sciences Series B Cvt. Pfd. 3,500 3,500,000 SH Sole NA Sole
Zyomyx Restricted 5 500,000 SH Sole NA Sole
Zyomyx Series A Cvt. Pfd. 500 500,000 SH Sole NA Sole
Zyomyx Series B Cvt. Pfd. 1 500 SH Sole NA Sole
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COLUMN TOTALS $464,716 103,120,111
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