-----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, NuEW6nwEOFmXASiliAzRaB/vnhrbkPOVj5ui/liar5U3eYSywIjd2m85MMg6jBHV 5Kl2CVBq9Py/eMwZ4mwTNQ== 0001047469-06-014134.txt : 20061114 0001047469-06-014134.hdr.sgml : 20061114 20061114131336 ACCESSION NUMBER: 0001047469-06-014134 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041231 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: 061213201 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 a2174605z13f-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 December 31, 2004 Check here if Amendment [ X ] Amendment No.: 1 This Amendment (Check only one): [ X ] is a restatement. [ ] 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 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 168 Form 13F Information Table Value Total: $758,539 (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. None. HALE AND DORR CAPITAL MANAGEMENT LLC FORM 13F INFORMATION TABLE QUARTER ENDED DECEMBER 31, 2004
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHARES/ SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE CLASS 3M COMPANY COM 88579Y101 21,962 267,602 SH Sole 255,317 0 12,285 ABBOTT LABORATORIES COM 002824100 2,054 44,030 SH Sole 44,030 0 AFLAC INC COM 001055102 5,004 125,606 SH Sole 105,401 0 20,205 AIR PRODUCTS & CHEMICALS INC COM 009158106 504 8,700 SH Sole 8,700 0 AKAMAI TECHNOLOGIES INC COM 00971T101 1,127 86,500 SH Sole 86,500 0 ALBERTO-CULVER COMPANY CL B COM 013068101 3,127 64,383 SH Sole 50,766 0 13,617 ALCOA INC COM 013817101 2,331 74,191 SH Sole 74,191 0 ALLSTATE CORP COM 020002101 3,398 65,699 SH Sole 53,574 0 12,125 ALTRIA GROUP INC COM 02209S103 293 4,800 SH Sole 4,800 0 AMBAC FINANCIAL GROUP INC COM 023139108 3,349 40,775 SH Sole 33,735 0 7,040 AMERICAN CAPITAL STRATEGIES COM 024937104 1,080 32,372 SH Sole 18,817 0 13,555 AMERICAN EXPRESS COMPANY COM 025816109 13,983 248,062 SH Sole 232,962 0 15,100 AMERICAN INTERNATIONAL GROUP COM 026874107 17,121 260,708 SH Sole 244,589 0 16,119 AMGEN INC COM 031162100 8,748 136,375 SH Sole 123,840 0 12,535 ANALOG DEVICES INC COM 032654105 6,360 172,273 SH Sole 89,607 0 82,666 ANHEUSER BUSCH COMPS INC COM 035229103 960 18,918 SH Sole 18,918 0 APACHE CORP COM 037411105 4,571 90,394 SH Sole 71,794 0 18,600 ARIAD PHARMACEUTICALS INC COM 04033A100 371 50,000 SH Sole 50,000 0 AUTOMATIC DATA PROCESS INC COM 053015103 4,039 91,070 SH Sole 91,070 0 AVERY DENNISON CORP COM 053611109 4,729 78,852 SH Sole 78,852 0 BANK OF AMERICA CORP COM 060505104 11,945 254,193 SH Sole 225,778 0 28,415 BARD (C.R.) INC COM 067383109 3,399 53,126 SH Sole 41,781 0 11,345 BAUSCH & LOMB INC COM 071707103 748 11,608 SH Sole 11,608 0 BAXTER INTERNATIONAL INC COM 071813109 2,900 83,964 SH Sole 83,964 0 BECKMAN COULTER INC COM 075811109 3,729 55,670 SH Sole 43,640 0 12,030 BECTON DICKINSON & COMPANY COM 075887109 3,375 59,418 SH Sole 59,418 0 BELLSOUTH CORP COM 079860102 6,395 230,114 SH Sole 230,114 0
BERKSHIRE HATHAWAY INC CL A Class A 084670108 7,120 81 SH Sole 81 0 BERKSHIRE HATHAWAY INC CL B Class B 084670207 675 230 SH Sole 230 0 BIOMET INC COM 090613100 835 19,255 SH Sole 19,255 0 BJ SERVICES COMPANY COM 055482103 2,872 61,710 SH Sole 43,260 0 18,450 BOSTON SCIENTIFIC CORP COM 101137107 1,997 56,167 SH Sole 41,212 0 14,955 BP PLC-SPONS ADR Spon ADR 055622104 7,778 133,193 SH Sole 133,193 0 BRISTOL MYERS SQUIBB COM 110122108 1,030 40,212 SH Sole 40,212 0 CABOT CORP COM 127055101 1,035 26,750 SH Sole 26,750 0 CARNIVAL CORP COM 143658300 642 11,132 SH Sole 11,132 0 CATERPILLAR INC COM 149123101 1,173 12,030 SH Sole 12,030 0 CHEVRONTEXACO CORP COM 166764100 3,449 65,688 SH Sole 65,688 0 CHUBB CORP COM 171232101 2,107 27,394 SH Sole 27,394 0 CIGNA CORP COM 125509109 2,003 24,550 SH Sole 24,550 0 CISCO SYSTEMS INC COM 17275R102 12,181 630,463 SH Sole 574,888 0 55,575 CITIGROUP INC COM 172967101 14,455 300,012 SH Sole 275,119 0 24,893 COACH INC COM 189754104 4,151 73,592 SH Sole 57,172 0 16,420 COCA COLA COMPANY COM 191216100 2,324 55,823 SH Sole 55,823 0 COLGATE-PALMOLIVE COMPANY COM 194162103 7,147 139,707 SH Sole 139,707 0 CONSTELLATION ENERGY COM 210371100 2,380 54,457 SH Sole 49,917 0 4,540 CSX CORP COM 126408103 315 7,856 SH Sole 7,856 0 D R HORTON INC COM 23331A109 3,825 94,888 SH Sole 75,498 0 19,390 DANAHER CORP COM 235851102 1,108 19,304 SH Sole 19,304 0 DELL INC COM 24702R101 13,077 310,319 SH Sole 286,384 0 23,935 DENTSPLY INTERNATIONAL INC COM 249030107 3,697 65,783 SH Sole 54,793 0 10,990 DISNEY, THE WALT COMPANY COM 254687106 1,637 58,899 SH Sole 58,899 0 DOLLAR TREE STORES COM 256747106 255 8,870 SH Sole 8,870 0 DOMINION RESOURCES INC/VA COM 25746U109 6,629 97,856 SH Sole 88,571 0 9,285 DONALDSON INC COM 257651109 413 12,665 SH Sole 12,665 0 DOW CHEMICAL COMPANY COM 260543103 2,008 40,550 SH Sole 40,550 0 DU PONT EI DE NEMOURS COM 263534109 2,003 40,843 SH Sole 40,843 0 DUKE ENERGY CORP COM 264399106 445 17,558 SH Sole 17,558 0 E*TRADE FINANCIAL CORP COM 269246104 2,366 158,230 SH Sole 115,365 0 42,865 EATON CORP COM 278058102 5,756 79,546 SH Sole 66,101 0 13,445 ELECTRONICS ARTS INC COM 285512109 3,398 55,087 SH Sole 41,267 0 13,820 ELI LILLY & COMPANY COM 532457108 1,153 20,319 SH Sole 20,319 0 EMC CORP/MASS COM 268648102 2,686 180,635 SH Sole 137,450 0 43,185 EMERSON ELECTRIC COMPANY COM 291011104 1,646 23,479 SH Sole 23,479 0
ENTERGY CORP COM 29364G103 5,525 81,749 SH Sole 72,019 0 9,730 EXXON MOBIL CORP COM 30231G102 40,573 791,518 SH Sole 759,293 0 32,225 FIRST DATA CORP COM 319963104 5,044 118,572 SH Sole 100,257 0 18,315 FISERV INC COM 337738108 2,329 57,955 SH Sole 45,820 0 12,135 FORTUNE BRANDS INC COM 349631101 5,577 72,254 SH Sole 63,704 0 8,550 GANNETT INC COM 364730101 946 11,578 SH Sole 11,578 0 GENERAL ELECTRIC COMPANY COM 369604103 41,570 1,138,893 SH Sole 1,091,348 0 47,545 GENERAL MILLS INC COM 370334104 2,907 58,487 SH Sole 58,487 0 GILEAD SCIENCES INC COM 375558103 3,087 88,220 SH Sole 65,890 0 22,330 GILLETTE COMPANY COM 375766102 1,786 39,878 SH Sole 39,878 0 GLAXOSMITHKLINE PLC-SPONS ADR Spon ADR 37733W105 2,678 56,500 SH Sole 56,500 0 HARTFORD FINANCIAL SERVICES GR COM 416515104 685 9,885 SH Sole 9,885 0 HEINZ HJ COMPANY COM 423074103 452 11,580 SH Sole 11,580 0 HEWLETT PACKARD COMPANY COM 428236103 1,229 58,585 SH Sole 58,585 0 HOME DEPOT INC COM 437076102 1,830 42,809 SH Sole 42,809 0 HONEYWELL INTERNATIONAL INC COM 438516106 2,745 77,509 SH Sole 77,509 0 IBM CORP COM 459200101 27,404 277,991 SH Sole 269,026 0 8,965 ILLINOIS TOOL WORKS INC COM 452308109 344 3,710 SH Sole 3,710 0 INGERSOLL-RAND COMP CLASS A Class A G4776G101 5,262 65,535 SH Sole 55,490 0 10,045 INTEL CORP COM 458140100 15,163 648,250 SH Sole 602,080 0 46,170 INTERNATIONAL FLAVORS & FRAGRANCES COM 459506101 275 6,415 SH Sole 6,415 0 INTERNATIONAL PAPER COMPANY COM 460146103 914 21,765 SH Sole 21,765 0 ISHARES DJ US Real Est 464287739 3,412 27,695 SH Sole 27,695 0 ISHARES DJ US Utils 464287697 578 8,413 SH Sole 8,413 0 ISHARES US TIPS BD FD 464287176 971 9,173 SH Sole 9,173 0 ISHARES S&P500/BAR Grw 464287309 247 4,275 SH Sole 4,275 0 ISHARES S&P500/BAR Val 464287408 253 4,025 SH Sole 4,025 0 J P MORGAN CHASE & COMPANY COM 46625H100 2,696 69,107 SH Sole 69,107 0 JM SMUCKER COMPANY COM 832696405 407 8,639 SH Sole 8,639 0 JOHNSON & JOHNSON COM 478160104 33,341 525,711 SH Sole 510,746 0 14,965 JOHNSON CONTROLS INC COM 478366107 542 8,540 SH Sole 8,540 0 KIMBERLY CLARK CORP COM 494368103 3,192 48,497 SH Sole 48,497 0 KINDER MORGAN INC COM 49455P101 5,391 73,713 SH Sole 59,513 0 14,200 L-3 COMMUNICATIONS HOLDINGS IN COM 502424104 6,471 88,356 SH Sole 72,791 0 15,565 LEGG MASON INC COM 524901105 4,017 54,830 SH Sole 44,115 0 10,715 MANULIFE FINANCIAL CORP COM 56501R106 1,086 23,505 SH Sole 23,505 0 MARSH & MCLENNAN COMPS INC COM 571748102 1,765 53,648 SH Sole 53,648 0
MAY DEPT STORES COMPANY COM 577778103 229 7,800 SH Sole 7,800 0 MCCORMICK & COMPANY, INC COM NON VTG 579780206 2,814 72,907 SH Sole 52,672 0 20,235 MCDONALDS CORP COM 580135101 733 22,863 SH Sole 22,863 0 MCGRAW-HILL COMPANIES INC COM 580645109 11,104 121,304 SH Sole 114,934 0 6,370 MEDCO HEALTH SOLUTIONS INC COM 58405U102 357 8,583 SH Sole 8,583 0 MEDTRONIC INC COM 585055106 1,773 35,688 SH Sole 35,688 0 MERCK & COMPANY INC COM 589331107 2,645 82,299 SH Sole 82,299 0 MERRILL LYNCH & COMPANY INC COM 590188108 239 4,000 SH Sole 4,000 0 MICROSOFT CORP COM 594918104 16,481 616,794 SH Sole 555,134 0 61,660 MOTOROLA INC COM 620076109 662 38,490 SH Sole 38,490 0 NEWMONT MINING CORP COM 651639106 353 7,947 SH Sole 7,947 0 NEW YORK TIMES COMPANY CL A Class A 650111107 649 15,896 SH Sole 15,896 0 NIKE INC Class B 654106103 2,938 32,395 SH Sole 24,750 0 7,645 NOKIA CORP-SPONS ADR Spon ADR 654902204 354 22,600 SH Sole 22,600 0 NORDSTROM INC COM 655664100 3,385 72,440 SH Sole 56,365 0 16,075 NORFOLK SOUTHERN CORP COM 655844108 847 23,415 SH Sole 23,415 0 NORTEL NETWORKS CORP COM 656568102 71 20,398 SH Sole 20,398 0 NSTAR COM 67019E107 243 4,482 SH Sole 4,482 0 OCCIDENTAL PETROLEUM CORP COM 674599105 6,011 103,000 SH Sole 85,600 0 17,400 OMNICOM GROUP INC COM 681919106 732 8,686 SH Sole 8,686 0 PATTERSON COMPANIES INC COM 703395103 1,367 31,494 SH Sole 31,494 0 PEPSICO INC COM 713448108 10,468 200,537 SH Sole 185,727 0 14,810 PETROLEUM DEV CORP COM 716578109 559 14,500 SH Sole 14,500 0 PETSMART INC COM 716768106 3,995 112,440 SH Sole 89,080 0 23,360 PFIZER INC COM 717081103 16,108 599,046 SH Sole 599,046 0 PITNEY BOWES INC COM 724479100 971 20,975 SH Sole 20,975 0 PROCTER & GAMBLE COMPANY COM 742718109 31,486 571,634 SH Sole 557,464 0 14,170 QUESTAR CORP COM 748356102 5,613 110,145 SH Sole 92,240 0 17,905 RENAISSANCERE HOLDINGS LTD COM G7496G103 2,725 52,325 SH Sole 39,825 0 12,500 ROCKWELL AUTOMATION INC COM 773903109 4,564 92,112 SH Sole 72,827 0 19,285 ROYAL DUTCH PETROLEUM COMP-NY Spon ADR 780257804 4,019 70,036 SH Sole 70,036 0 SARA LEE CORP COM 803111103 924 38,287 SH Sole 38,287 0 SBC COMMUNICATIONS INC COM 78387g103 2,118 82,189 SH Sole 82,189 0 SCANA CORP COM 80589M102 357 9,068 SH Sole 9,068 0 SCHERING PLOUGH CORP COM 806605101 490 23,480 SH Sole 23,480 0 SCHLUMBERGER LTD COM 806857108 1,571 23,470 SH Sole 23,470 0 SHERWIN WILLIAMS COMPANY COM 824348106 3,527 79,020 SH Sole 64,295 0 14,725
SLM CORP COM 78442P106 5,435 101,795 SH Sole 80,675 0 21,120 ST PAUL TRAVELERS COMPANIES IN COM 792860108 506 13,651 SH Sole 13,651 0 STANDEX INTERNATIONAL CORP COM 854231107 11,418 400,760 SH Sole 400,760 0 STATE STREET CORP COM 857477103 1,574 32,037 SH Sole 32,037 0 STRYKER CORP COM 863667101 588 12,180 SH Sole 12,180 0 SYSCO CORP COM 871829107 599 15,700 SH Sole 15,700 0 TARGET CORP COM 87612E106 429 8,253 SH Sole 8,253 0 TEVA PHARMACEUTICAL-SPONS ADR ADR 881624209 4,428 148,290 SH Sole 127,505 0 20,785 TEXAS INSTRUMENTS INC COM 882508104 5,166 209,833 SH Sole 176,073 0 33,760 THE HERSHEY FOODS CORP COM 427866108 3,626 65,284 SH Sole 51,129 0 14,155 TIME WARNER INC COM 887317105 304 15,620 SH Sole 15,620 0 UNION PACIFIC CORP COM 907818108 916 13,619 SH Sole 13,619 0 UNITED TECHNOLOGIES CORP COM 913017109 19,640 190,033 SH Sole 180,493 0 9,540 UNITEDHEALTH GROUP INC COM 91324P102 6,979 79,278 SH Sole 67,458 0 11,820 US BANCORP COM 902973304 3,771 120,393 SH Sole 97,378 0 23,015 VARIAN MEDICAL SYSTEMS INC COM 92220P105 5,757 133,151 SH Sole 114,826 0 18,325 VERIZON COMMUNICATIONS INC COM 92343V104 3,726 91,978 SH Sole 91,978 0 VIACOM INC Class B 92553P201 2,634 72,388 SH Sole 72,388 0 WACHOVIA CORP COM 929903102 210 4,000 SH Sole 4,000 0 WAL MART STORES INC COM 931142103 10,260 194,247 SH Sole 182,267 0 11,980 WALGREEN COMPANY COM 931422109 5,635 146,859 SH Sole 146,859 0 WASHINGTON MUTUAL INC COM 939322103 327 7,730 SH Sole 7,730 0 WELLS FARGO & COMPANY COM 949746101 5,350 86,080 SH Sole 77,335 0 8,745 WEYERHAEUSER COMPANY COM 962166104 1,866 27,767 SH Sole 27,767 0 WHITE MOUNTAINS INSURANCE GROUP COM G9618E107 646 1,000 SH Sole 1,000 0 WILEY JOHN & SONS INC CL A Class A 968223206 314 9,000 SH Sole 9,000 0 WM WRIGLEY JR COMPANY COM 982526105 3,013 43,550 SH Sole 43,550 0 WYETH COM 983024100 10,692 251,039 SH Sole 251,039 0 YAHOO INC COM 984332106 301 8,001 SH Sole 8,001 0 ZIMMER HOLDINGS INC COM 98956P102 880 10,982 SH Sole 10,982 0 758,539
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