-----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, LQN7D+3x7lCFZMrrFrwWzxE2kDX+j9WJoiDknXLmCLLEBJAxr2ZefcRdWXSBPV+0 /jDILCATFQKwEHIuiiQH4g== 0001047469-06-014114.txt : 20061114 0001047469-06-014114.hdr.sgml : 20061114 20061114123902 ACCESSION NUMBER: 0001047469-06-014114 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20061114 DATE AS OF CHANGE: 20061114 EFFECTIVENESS DATE: 20061114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HALE & DORR CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000922899 IRS NUMBER: 042988321 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-03747 FILM NUMBER: 061212903 BUSINESS ADDRESS: STREET 1: 60 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6175265153 MAIL ADDRESS: STREET 1: 60 STATE ST CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: HALDOR INVESTMENT ADVISORS L P DATE OF NAME CHANGE: 19990305 13F-HR/A 1 a2174601z13f-hra.txt 13F-HR/A 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, 2004 Check Here if Amendment /X/; Amendment Number: 2 This Amendment (Check only one.): / / is a restatement. /X/ adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hale and Dorr Capital Management LLC Address: 60 State Street Boston, MA 02109 Form 13F File Number: 028-03747 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: Kimberly R. Clouse Title: President Phone: 617-526-5873 Signature, Place, and Date of Signing: /s/ Kimberly R. Clouse Boston, Massachusetts November 14, 2006 - ------------------------------ --------------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): / / 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).) /X/ 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------------- Form 13F Information Table Entry Total: 55 -------------------- Form 13F Information Table Value Total: $45,660 -------------------- (in 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. No. Form 13F File Number Name - --- -------------------- ---- 1. 028-06719 Family Capital Trust Company N.A. HALE AND DORR CAPITAL MANAGEMENT LLC FORM 13F INFORMATION TABLE QUARTER ENDED SEPTEMBER 30, 2004
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- ------ -------- ------ AIR PRODUCTS & CHEMICALS INC COM 009158106 473 8,700 SH Sole 8,700 0 ALCOA INC COM 013817101 2,497 74,351 SH Sole 74,351 0 ALLSCRIPTS HEALTHCARE SOLUTION COM 01988P108 880 97,817 SH Sole 97,817 0 ALLTEL CORP COM 020039103 220 4,011 SH Sole 4,011 0 ALTRIA GROUP INC COM 02209S103 226 4,800 SH Sole 4,800 0 AMERICAN CAPITAL STRATEGIES COM 024937104 1,253 39,977 SH Sole 18,092 0 21,885 AMERICAN CAPITAL STRATEGIES COM 024937104 6 185 SH Other 1 0 185 ANADARKO PETE CORP COM 032511107 419 6,312 SH Sole 6,312 0 ANHEUSER BUSCH COMPS INC COM 035229103 995 19,918 SH Sole 19,918 0 ARIAD PHARMACEUTICALS INC COM 04033A100 368 55,000 SH Sole 55,000 0 AVON PRODUCTS INC COM 054303102 210 4,800 SH Sole 4,800 0 BAUSCH & LOMB INC COM 071707103 771 11,608 SH Sole 11,608 0 BERKSHIRE HATHAWAY INC Class A 084670108 7,019 81 SH Sole 81 0 BIOMET INC COM 090613100 935 19,955 SH Sole 19,955 0 BRISTOL MYERS SQUIBB COM 110122108 952 40,212 SH Sole 40,212 0 CABOT CORP COM 127055101 1,188 30,800 SH Sole 30,800 0 CARDINAL HEALTH INC COM 14149Y108 503 11,493 SH Sole 11,493 0 CARNIVAL CORP COM 143658300 526 11,132 SH Sole 11,132 0 CATERPILLAR INC COM 149123101 968 12,030 SH Sole 12,030 0 CHUBB CORP COM 171232101 1,929 27,444 SH Sole 27,444 0 DEAN FOODS COMPANY COM 242370104 287 9,560 SH Sole 9,560 0 DOLLAR TREE STORES COM 256747106 239 8,870 SH Sole 8,870 0 FANNIE MAE COM 313586109 209 3,300 SH Sole 3,300 0 FIRSTMERIT CORP COM 337915102 362 13,748 SH Sole 13,748 0 FOREST LABORATORIES COM 345838106 249 5,535 SH Sole 5,535 0 GENUINE PARTS COMPANY COM 372460105 230 5,990 SH Sole 5,990 0
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 - ------------------------- ---------------- --------- -------- --------- ----- ------ ------------ ---------- ------ -------- ------ HARTFORD FINANCIAL SERVICES GR COM 416515104 615 9,935 SH Sole 9,935 0 ILLINOIS TOOL WORKS INC COM 452308109 350 3,760 SH Sole 3,760 0 ING PRIME RATE TRUST SH Ben Int 44977w106 127 16,000 SH Sole 16,000 0 ISHARES RUSSELL 2000 464287655 204 1,790 SH Sole 1,790 0 ISHARES DJ US Utils 464287697 575 9,303 SH Sole 9,303 0 ISHARES MSCI EAFE IDX 464287465 481 3,405 SH Sole 3,405 0 ISHARES US TIPS BD FD 464287176 848 8,135 SH Sole 8,135 0 JM SMUCKER COMPANY COM 832696405 377 8,479 SH Sole 8,479 0 LOWES COS INC COM 548661107 341 6,266 SH Sole 6,266 0 MEDCO HEALTH SOLUTION INC COM 58405U102 266 8,621 SH Sole 8,621 0 MORGAN STANLEY COM 617446448 346 7,023 SH Sole 7,023 0 MOTOROLA INC COM 620076109 694 38,490 SH Sole 38,490 0 NATIONAL CITY CORP COM 635405103 261 6,770 SH Sole 6,770 0 NEWMONT MINING CORP COM 651639106 362 7,947 SH Sole 7,947 0 NORFOLK SOUTHERN CORP COM 655844108 696 23,415 SH Sole 23,415 0 NSTAR COM 67019E107 220 4,480 SH Sole 4,480 0 PPG INDUSTRIES INC COM 693506107 313 5,100 SH Sole 5,100 0 ROSS STORES INC COM 778296103 229 9,782 SH Sole 9,617 0 165 SCANA CORP COM 80589M102 600 16,068 SH Sole 16,068 0 SHERWIN WILLIAMS COMPANY COM 824348106 1,011 23,000 SH Sole 23,000 0 ST PAUL TRAVELERS COMPANIES IN COM 792860108 451 13,639 SH Sole 13,639 0 STRYKER CORP COM 863667101 653 13,580 SH Sole 13,580 0 TARGET CORP COM 87612E106 408 9,013 SH Sole 9,013 0 TIER TECHNOLOGIES INC Class B 88650Q100 3,684 381,794 SH Sole 381,794 0 UNION PACIFIC CORP COM 907818108 798 13,619 SH Sole 13,619 0 VAN KAMPEN SENIOR INCOME TRUST COM 920961109 183 21,000 SH Sole 21,000 0 WAINWRIGHT BANK & TRUST COMP COM 930705108 4,345 381,447 SH Sole 0 381,447 WASHINGTON MUTUAL INC COM 939322103 429 10,980 SH Sole 10,980 0 WEYERHAEUSER COMPANY COM 962166104 1,879 28,267 SH Sole 28,267 0 ------ 45,660
-----END PRIVACY-ENHANCED MESSAGE-----