-----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, C7FbvNZa2j3InEAWq187Xxpaw0PGifskfTmRwP66MeUV+SOtjrhLM3U1u9pfGfG3 mh0kX8e3jXyKPhabuNr9uw== 0001047469-07-010204.txt : 20071220 0001047469-07-010204.hdr.sgml : 20071220 20071220082017 ACCESSION NUMBER: 0001047469-07-010204 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071220 DATE AS OF CHANGE: 20071220 EFFECTIVENESS DATE: 20071220 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: 071317823 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 a2181796z13f-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, 2007 Check here if Amendment |_| 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: Stephen E. Prostano Title: Chief Compliance Officer Phone: 617-526-5871 Signature, place and date of signing: /s/ Stephen E. Prostano Boston, Massachusetts December 19, 2007 - ------------------------------------ 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: None. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 173 Form 13F Information Table Value Total: $772,069 (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.
SHARES VOTING AUTHORITY VALUE /PRN SH/ PUT/ INVSTMT OTHER ------------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE - -------------------------------- -------------- --------- -------- --------- --- ---- ------- ----- --------- ------ ------- 3M COMPANY COM 88579Y101 13,390 143,087 SH Sole 143,087 ABBOTT LABORATORIES COM 002824100 965 18,000 SH Sole 18,000 ACCENTURE LTD CL A Class A G1150G111 8,688 215,861 SH Sole 181,676 34,185 ACE LIMITED ORD G0070K103 4,707 77,715 SH Sole 57,050 20,665 AFLAC INC COM 001055102 10,315 180,843 SH Sole 153,168 27,675 AIR PRODUCTS & CHEMICALS INC COM 009158106 831 8,500 SH Sole 8,500 ALCOA INC COM 013817101 1,054 26,950 SH Sole 26,950 ALLSCRIPTS HEALTHCARE SOLUTION COM 01988P108 2,644 97,817 SH Sole 97,817 ALLSTATE CORP COM 020002101 6,444 112,684 SH Sole 92,804 19,880 ALTRIA GROUP INC COM 02209S103 5,533 79,572 SH Sole 64,507 15,065 AMERICAN CAPITAL STRATEGIES COM 024937104 798 18,675 SH Sole 18,675 AMERICAN EXPRESS COMPANY COM 025816109 15,514 261,303 SH Sole 240,753 20,550 AMERICAN INTERNATIONAL GROUP COM 026874107 7,401 109,398 SH Sole 109,398 AMERIPRISE FINANCIAL INC COM 03076C106 318 5,041 SH Sole 5,041 AMGEN INC COM 031162100 9,290 164,223 SH Sole 144,923 19,300 ANALOG DEVICES INC COM 032654105 96,692 2,673,992 SH Sole 2,333,141 340,851 ANHEUSER BUSCH COMPS INC COM 035229103 5,857 117,164 SH Sole 93,484 23,680 APACHE CORP COM 037411105 2,080 23,101 SH Sole 23,101 APPLE INC COM 037833100 4,413 28,753 SH Sole 20,723 8,030 ASTRAZENECA PLC-SPONS ADR Spon ADR 046353108 4,868 97,232 SH Sole 78,562 18,670 AT&T INC COM 00206R102 2,334 55,174 SH Sole 55,174 AUTOMATIC DATA PROCESS INC COM 053015103 1,636 35,625 SH Sole 35,625 AVERY DENNISON CORP COM 053611109 542 9,500 SH Sole 9,500 BANK OF AMERICA CORP COM 060505104 13,827 275,050 SH Sole 245,020 30,030 BARRICK GOLD CORP COM 067901108 250 6,200 SH Sole 6,200 BAXTER INTERNATIONAL INC COM 071813109 1,609 28,595 SH Sole 28,595 BECTON DICKINSON & COMPANY COM 075887109 1,717 20,923 SH Sole 20,923 BERKSHIRE HATHAWAY INC CL A Class A 084670108 4,740 40 SH Sole 40 BERKSHIRE HATHAWAY INC CL B Class B 084670207 842 213 SH Sole 213 BJ SERVICES COMPANY COM 055482103 902 33,978 SH Sole 33,978 BP PLC-SPONS ADR Spon ADR 055622104 4,216 60,799 SH Sole 60,799 BRISTOL MYERS SQUIBB COM 110122108 900 31,239 SH Sole 31,239 CABOT CORP COM 127055101 350 9,850 SH Sole 9,850 CARNIVAL CORP COM 143658300 491 10,132 SH Sole 10,132 CATERPILLAR INC COM 149123101 269 3,435 SH Sole 3,435 CHEVRONTEXACO CORP COM 166764100 10,807 115,481 SH Sole 100,306 15,175 CHUBB CORP COM 171232101 1,244 23,200 SH Sole 23,200 CIGNA CORP COM 125509109 1,608 30,173 SH Sole 30,173 CISCO SYSTEMS INC COM 17275R102 12,960 391,177 SH Sole 367,372 23,805 CITIGROUP INC COM 172967101 6,548 140,309 SH Sole 140,309
SHARES VOTING AUTHORITY VALUE /PRN SH/ PUT/ INVSTMT OTHER ------------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE - -------------------------------- -------------- --------- -------- --------- --- ---- ------- ----- --------- ------ ------- COACH INC COM 189754104 6,903 146,043 SH Sole 124,928 21,115 COCA COLA COMPANY COM 191216100 1,244 21,648 SH Sole 21,648 COLGATE-PALMOLIVE COMPANY COM 194162103 11,941 167,435 SH Sole 147,890 19,545 CONOCOPHILLIPS COM 20825C104 1,812 20,650 SH Sole 20,650 COVIDIEN LTD SPNS ADR G2552x108 903 21,747 SH Sole 21,747 CSX CORP COM 126408103 464 10,870 SH Sole 10,870 CVS CORP COM 126650100 674 17,000 SH Sole 17,000 DELL INC COM 24702R101 1,007 36,479 SH Sole 36,479 DISNEY, THE WALT COMPANY COM 254687106 1,036 30,120 SH Sole 30,120 DOLLAR TREE STORES COM 256747106 360 8,870 SH Sole 8,870 DOMINION RESOURCES INC/VA COM 25746U109 500 5,936 SH Sole 5,936 DOW CHEMICAL COMPANY COM 260543103 775 17,990 SH Sole 17,990 DU PONT, E.I. DE NEMOURS COM 263534109 529 10,666 SH Sole 10,666 EATON CORP COM 278058102 7,380 74,513 SH Sole 62,973 11,540 ELI LILLY & COMPANY COM 532457108 587 10,310 SH Sole 10,310 EMERSON ELECTRIC COMPANY COM 291011104 640 12,030 SH Sole 12,030 ENSCO INTL INC COM 26874Q100 2,091 37,270 SH Sole 25,670 11,600 ENERGY SELECT SECTOR SPDR ETF SBI Int-Energy 81369Y506 426 5,690 SH Sole 5,690 ENTERGY CORP COM 29364G103 590 5,450 SH Sole 5,450 EXELON CORP COM 30161N101 1,380 18,310 SH Sole 18,310 EXXON MOBIL CORP COM 30231G102 47,853 516,998 SH Sole 490,103 26,895 FIRST MARBLEHEAD CORP COM 320771108 569 15,000 SH Sole 15,000 FORTUNE BRANDS INC COM 349631101 2,935 36,012 SH Sole 36,012 FRANKLIN STREET PROPERTIES C COM 35471R106 2,437 141,282 SH Sole 141,282 FREEPORT-MCMORAN COPPER & GO COM 35671D857 2,736 26,087 SH Sole 18,177 7,910 GENENTECH INC COM New 368710406 468 6,000 SH Sole 6,000 GENERAL ELECTRIC COMPANY COM 369604103 38,211 922,983 SH Sole 870,788 52,195 GENERAL GROWTH PROPERTIES COM 370021107 268 5,000 SH Sole 5,000 GENERAL MILLS INC COM 370334104 419 7,230 SH Sole 7,230 GENZYME CORP COMP COM 372917104 2,630 42,450 SH Sole 42,450 GILEAD SCIENCES INC COM 375558103 1,442 35,280 SH Sole 35,280 GLAXOSMITHKLINE PLC-SPONS ADR Spon ADR 37733W105 6,910 129,881 SH Sole 111,411 18,470 GOLDCORP INC COM 380956409 335 10,967 SH Sole 10,967 GOLDMAN SACHS GROUP COM 38141G104 3,756 17,330 SH Sole 14,650 2,680 HARLEY DAVIDSON INC COM 412822108 403 8,730 SH Sole 8,730 HARRIS CORP COM 413875105 3,742 64,755 SH Sole 48,750 16,005 HARTFORD FINANCIAL SERVICES GR COM 416515104 655 7,080 SH Sole 7,080 HEINZ HJ COMPANY COM 423074103 219 4,738 SH Sole 4,738 HEWLETT PACKARD COMPANY COM 428236103 1,572 31,576 SH Sole 31,576 HOME DEPOT INC COM 437076102 205 6,317 SH Sole 6,317
SHARES VOTING AUTHORITY VALUE /PRN SH/ PUT/ INVSTMT OTHER ------------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE - -------------------------------- -------------- --------- -------- --------- --- ---- ------- ----- --------- ------ ------- HONEYWELL INTERNATIONAL INC COM 438516106 2,448 41,158 SH Sole 41,158 IBM CORP COM 459200101 24,844 210,899 SH Sole 201,354 9,545 ILLINOIS TOOL WORKS INC COM 452308109 336 5,635 SH Sole 5,635 INGERSOLL-RAND COMP CL A Class A G4776G101 2,597 47,675 SH Sole 47,675 INTEL CORP COM 458140100 13,696 529,624 SH Sole 478,874 50,750 INTERNATIONAL PAPER COMPANY COM 460146103 249 6,951 SH Sole 6,951 ISHARES FTSE/XINHUA CHINA 25 FTSE XNHUA Idx 464287184 360 2,000 SH Sole 2,000 ISHARES LEHMAN 1-3 YEAR TREASU CLS END 464287457 216 2,660 SH Sole 2,660 ISHARES LEHMAN US TREAS INFL P CLS END 464287176 4,855 47,587 SH Sole 8,192 39,395 ISHARES MORNINGSTAR SMALL CORE Smll Core Idx 464288505 288 3,300 SH Sole 3,300 ISHARES MSCI EAFE MSCI EAFE Idx 464287465 6,629 80,270 SH Sole 80,270 ISHARES MSCI EMERGING MARKETS CLS END 464287234 3,463 23,171 SH Sole 23,171 ISHARES MSCI PACIFIC EX-JAPAN MSCI PAC J Idx 464286665 254 1,530 SH Sole 1,530 ISHARES RUSSELL 2000 Russell 2000 464287655 1,092 13,645 SH Sole 13,645 ISHARES RUSSELL 3000 INDEX FUN Russell 3000 464287689 440 5,005 SH Sole 5,005 ISHARES S&P 500/GROWTH S&P 500 Grw 464287309 655 9,205 SH Sole 9,205 ISHARES S&P 500/VALUE S&P 500 Value 464287408 638 7,835 SH Sole 7,835 ISHARES S&P MIDCAP 400 S&P Midcap 400 464287507 433 4,915 SH Sole 4,915 ISHARES S&P MIDCAP 400/GROWTH S&P 400 Grw 464287606 383 4,230 SH Sole 4,230 ISHARES S&P MIDCAP 400/VALUE S&P 400 Val 464287705 202 2,408 SH Sole 2,408 ISHARES S&P WORLD ex-U.S. PROP CLS END 464288422 882 16,275 SH Sole 16,025 250 JOHNSON & JOHNSON COM 478160104 28,108 427,822 SH Sole 405,237 22,585 JOHNSON CONTROLS INC COM 478366107 530 4,490 SH Sole 4,490 JP MORGAN CHASE & COMPANY COM 46625H100 2,769 60,434 SH Sole 60,434 KIMBERLY CLARK CORP COM 494368103 1,177 16,756 SH Sole 16,756 KIMCO REALTY CORP COM 49446R109 2,740 60,600 SH Sole 60,600 KRAFT FOODS INC CL A COM 50075N104 272 7,872 SH Sole 7,872 L-3 COMMUNICATIONS HLDGS INC COM 502424104 8,831 86,463 SH Sole 74,553 11,910 MANULIFE FINANCIAL CORP COM 56501R106 9,593 232,498 SH Sole 197,943 34,555 MCDONALDS CORP COM 580135101 471 8,649 SH Sole 8,649 MCGRAW-HILL COMPANIES INC COM 580645109 10,870 213,514 SH Sole 197,834 15,680 MEDCO HEALTH SOLUTIONS INC COM 58405U102 995 11,008 SH Sole 11,008 MEDTRONIC INC COM 585055106 9,086 161,064 SH Sole 138,674 22,390 MEMC ELECTRONIC MATERIALS COM 552715104 5,082 86,338 SH Sole 67,313 19,025 MERCK & COMPANY INC COM 589331107 556 10,753 SH Sole 10,753
SHARES VOTING AUTHORITY VALUE /PRN SH/ PUT/ INVSTMT OTHER ------------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE - -------------------------------- -------------- --------- -------- --------- --- ---- ------- ----- --------- ------ ------- MERRILL LYNCH & COMPANY INC COM 590188108 973 13,650 SH Sole 13,650 MICROSOFT CORP COM 594918104 13,802 468,494 SH Sole 426,649 41,845 MONSANTO CO NEW COM 61166W101 221 2,572 SH Sole 2,572 MOTOROLA INC COM 620076109 1,186 64,001 SH Sole 64,001 NETWORK APPLIANCE INC COM 64120L104 456 16,950 SH Sole 16,950 NEWMONT MINING CORP COM 651639106 931 20,815 SH Sole 20,815 NIKE INC CL B Class B 654106103 9,361 159,581 SH Sole 139,716 19,865 NOBLE CORP COM G65422100 245 5,000 SH Sole 5,000 NORDSTROM INC COM 655664100 8,025 171,141 SH Sole 152,696 18,445 NORFOLK SOUTHERN CORP COM 655844108 912 17,560 SH Sole 17,560 OCCIDENTAL PETROLEUM CORP COM 674599105 4,507 70,333 SH Sole 70,333 ORACLE CORP COM 68389X105 3,140 145,054 SH Sole 145,054 PATTERSON COMPANIES INC COM 703395103 274 7,100 SH Sole 7,100 PEPSICO INC COM 713448108 13,742 187,575 SH Sole 168,895 18,680 PETROLEUM DEVELOPMENT CORP COM 716578109 264 5,950 SH Sole 5,950 PFIZER INC COM 717081103 3,293 134,773 SH Sole 134,773 PPL CORP COM 69351T106 2,076 44,840 SH Sole 44,840 PROCTER & GAMBLE COMPANY COM 742718109 32,231 458,216 SH Sole 437,501 20,715 QUEST DIAGNOSTICS INC COM 74834L100 5,050 87,410 SH Sole 66,925 20,485 QUESTAR CORP COM 748356102 2,866 54,565 SH Sole 54,565 REALTY INCOME CORP COM 756109104 212 7,600 SH Sole 7,600 ROCKWELL COLLINS INC COM 774341101 6,913 94,646 SH Sole 77,051 17,595 ROYAL DUTCH SHELL PLC-ADR A Spon ADR A 780259206 1,977 24,052 SH Sole 24,052 SCHLUMBERGER LTD COM 806857108 1,133 10,790 SH Sole 10,790 SHERWIN WILLIAMS CO COM 824348106 2,643 40,222 SH Sole 40,222 SIMON PROPERTY GROUP INC COM 828806109 690 6,900 SH Sole 6,900 STANDEX INTERNATIONAL CORP COM 854231107 5,449 263,483 SH Sole 263,483 STATE STREET CORP COM 857477103 860 12,618 SH Sole 12,618 STREETTRACKS GOLD TRUST Gold SHS 863307104 551 7,500 SH Sole 7,500 STRYKER CORP COM 863667101 368 5,350 SH Sole 5,350 SYSCO CORP COM 871829107 367 10,300 SH Sole 10,300 TEVA PHARMACEUTICAL-SPONS ADR ADR 881624209 7,334 164,913 SH Sole 148,323 16,590 TEXAS INSTRUMENTS INC COM 882508104 1,713 46,812 SH Sole 46,812 TEXTRON INC SER A $2.08 CONV PFD 883203200 273 500 SH Sole 500 THE HERSHEY FOODS CORP COM 427866108 4,709 101,460 SH Sole 84,100 17,360 ST PAUL, THE TRAVELERS COMPANIES COM 89417e109 373 7,400 SH Sole 7,400 TRANSOCEAN INC COM G90078109 464 4,100 SH Sole 4,100 TYCO INTERNATIONAL LTD COM G9143X208 966 21,797 SH Sole 21,797 UNION PACIFIC CORP COM 907818108 1,158 10,239 SH Sole 10,239 UNITED TECHNOLOGIES CORP COM 913017109 22,263 276,631 SH Sole 258,856 17,775 UNITEDHEALTH GROUP INC COM 91324P102 8,120 167,672 SH Sole 152,617 15,055
SHARES VOTING AUTHORITY VALUE /PRN SH/ PUT/ INVSTMT OTHER ------------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE - -------------------------------- -------------- --------- -------- --------- --- ---- ------- ----- --------- ------ ------- US BANCORP COM 902973304 551 16,941 SH Sole 16,941 VALERO ENERGY CORP COM 91913Y100 5,147 76,621 SH Sole 60,176 16,445 VANGUARD ENERGY VIPERS ETF Energy Vipers 92204A306 424 3,900 SH Sole 3,900 VARIAN MEDICAL SYSTEMS INC COM 92220P105 247 5,900 SH Sole 5,900 VERIZON COMMUNICATIONS INC COM 92343V104 999 22,552 SH Sole 22,552 WACHOVIA CORP COM 929903102 222 4,434 SH Sole 4,434 WAL MART STORES INC COM 931142103 509 11,663 SH Sole 11,663 WALGREEN COMPANY COM 931422109 2,239 47,390 SH Sole 47,390 WASHINGTON MUTUAL INC COM 939322103 1,781 50,430 SH Sole 50,430 WELLS FARGO & COMPANY COM 949746101 9,257 259,895 SH Sole 222,855 37,040 WESTERN UNION COMPANY COM 959802109 1,104 52,659 SH Sole 52,659 WEYERHAEUSER COMPANY COM 962166104 714 9,869 SH Sole 9,869 WHITE MOUNTAINS INSURANCE GROUP COM G9618E107 520 1,000 SH Sole 1,000 WILEY JOHN & SONS INC CL A Class A 968223206 404 9,000 SH Sole 9,000 WM WRIGLEY JR COMPANY COM 982526105 256 3,987 SH Sole 3,987 WYETH COM 983024100 718 16,120 SH Sole 16,120 ZIMMER HOLDINGS INC COM 98956P102 245 3,021 SH Sole 3,021
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