Statistiche di base
| LEI | 549300SNASESIFOS6V75 |
| CIK | 805267 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Abrdn Healthcare Investors
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| April 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| November 18, 2024 |
HQH / Abrdn Healthcare Investors / Saba Capital Management, L.P. - FORM SC 13D/A Activist Investment SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* abrdn Healthcare Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911J103 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 |
|
| October 22, 2024 |
HQH / Abrdn Healthcare Investors / Saba Capital Management, L.P. - FORM SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* abrdn Healthcare Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911J103 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-46 |
|
| May 3, 2024 |
HQH / Abrdn Healthcare Investors / Saba Capital Management, L.P. - FORM SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* abrdn Healthcare Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911J103 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-46 |
|
| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
|
| March 15, 2024 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) EX-1 2 exhibit1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agree |
|
| March 15, 2024 |
HQH / Abrdn Healthcare Investors / Saba Capital Management, L.P. - FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* abrdn Healthcare Investors (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 87911J103 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212) 542-4635 ( |
|
| February 12, 2024 |
HQH / Abrdn Healthcare Investors / MORGAN STANLEY - MS AMENDMENT Passive Investment SC 13G/A 1 abrdnHealthcareInvestorsHQH.txt MS AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.14)* abrdn Healthcare Investors - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2023 - (Date Of Event which Requires Filing of this Statement) Che |
|
| October 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| September 27, 2023 |
As filed with the Securities and Exchange Commission on September 27, 2023 As filed with the Securities and Exchange Commission on September 27, 2023 Securities Act File No. |
|
| September 27, 2023 |
BY-LAWS H&Q HEALTHCARE INVESTORS Revised through June 8, 2023 ARTICLE I Exhibit (b) BY-LAWS - OF - H&Q HEALTHCARE INVESTORS - Revised through June 8, 2023 ARTICLE I - Definitions - The terms "Commission," "Custodian," "Declaration," "Distributor," "Investment Adviser," "Majority Shareholder Vote," "1940 Act," "Shareholder," "Shares," "Transfer Agent," "Trust," "Trust Property" and "Trustees" have the respective meanings given them in the Declaration of Trust of H&Q Healthcare Fund dated October 31, 1986 as amended from time to time. |
|
| September 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| September 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| September 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| September 12, 2023 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 12, 2023 (September 6, 2023) Tekla Healthcare Investors (Exact name of Registrant as Specified in Its Charter) Massachusetts 811-04889 04-6564285 (State or other jurisdictio |
|
| September 12, 2023 |
Exhibit 16.1 September 12, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Tekla Healthcare Investors’ Form 8-K dated September 12, 2023, and we agree with the statements made therein. Yours truly, Deloitte & Touche LLP 200 Berkeley Street Boston, MA 02116 USA Tel: 617-437-2625 Fax: 617-437-4625 www.deloitte.com |
|
| September 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| August 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| August 22, 2023 |
Tekla Healthcare Investors Tekla Life Sciences Investors Tekla Healthcare Opportunities Fund Tekla World Healthcare Fund August 22, 2023 Via EDGAR Mindy Rotter U. |
|
| August 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| July 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| July 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
|
| June 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
|
| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| February 24, 2023 |
Tekla Healthcare Investors SCHEDULE OF INVESTMENTS December 31, 2022 NPORT-EX 2 NPORTTN00643264901222.htm Tekla Healthcare Investors SCHEDULE OF INVESTMENTS December 31, 2022 (Unaudited) SHARES CONVERTIBLE PREFERREDS (Restricted)(a)(b) – 7.1% of Net Assets VALUE Biotechnology – 4.4% 82,076 Arbor Biotechnologies Series B, 8.00% $ 1,359,999 2,353,932 Arkuda Therapeutics, Inc. Series A, 6.00% (c) 4,162,222 487,526 Arkuda Therapeutics, Inc. Series B, 6.00% (c) 862,043 |
|
| February 10, 2023 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MS AMENDMENT Passive Investment SC 13G/A 1 TeklaHealthcareHQH.txt MS AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.13)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 30, 2022 - (Date Of Event which Requires Filing of this Statement) Check the ap |
|
| August 26, 2022 |
Tekla Healthcare Investors SCHEDULE OF INVESTMENTS June 30, 2022 (Unaudited) NPORT-EX 2 NPORTTN00938351920622.htm Tekla Healthcare Investors SCHEDULE OF INVESTMENTS June 30, 2022 (Unaudited) SHARES Convertible Preferred (Restricted) (a)(b) – 7.7% of Net Assets VALUE Biotechnology – 4.8% 326,667 Amphivena Therapeutics, Inc. Series B (c) $ 33 525,972 Amphivena Therapeutics, Inc. Series C, 6.00% (c) 53 82,076 Arbor Biotechnologies, Series B, 8.00% 1,359,999 2,353,932 Arkuda T |
|
| July 29, 2022 |
Notice of Change of Trustee, filed herewith Exhibit (a)(xvii) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, upon the death of Oleg M. |
|
| July 29, 2022 |
As filed with the Securities and Exchange Commission on July 29, 2022 As filed with the Securities and Exchange Commission on July 29, 2022 Securities Act File No. |
|
| July 1, 2022 |
Power of Attorney dated June 9, 2022(15) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that W. Mark Watson, whose signature appears below, constitutes and appoints Daniel R. Omstead, Laura Woodward, Christopher Harvey and Kaitlin McGrath and each of them, his or her true and lawful attorney-in-fact and agent, with full power of substitution among himself or herself and each of the persons appointed herein, for him |
|
| July 1, 2022 |
Notice of Change of Trustee, dated June 16th, 2022(15) Exhibit (a)(xvi) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, at a meeting of the shareholders of Tekla Healthcare Investors (the ?Fund?), the shareholders of the Fund appointed W. |
|
| July 1, 2022 |
As filed with the Securities and Exchange Commission on July 1, 2022 As filed with the Securities and Exchange Commission on July 1, 2022 Securities Act File No. |
|
| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
|
| February 23, 2022 |
Tekla Healthcare Investors SCHEDULE OF INVESTMENTS December 31, 2021 Tekla Healthcare Investors SCHEDULE OF INVESTMENTS December 31, 2021 (Unaudited) SHARES CONVERTIBLE PREFERRED (Restricted)(a) (b) – 5. |
|
| February 11, 2022 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.12)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2021 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| December 22, 2021 |
As filed with the Securities and Exchange Commission on December 22, 2021 POS EX 1 tm2134557d1posex.htm POS EX As filed with the Securities and Exchange Commission on December 22, 2021 Securities Act File No. 333-195327 Investment Company Act File No. 811-04889 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. Post-Effective Amendment No. 8 REGISTRATION S |
|
| December 22, 2021 |
Notice of Change of Trustee, dated December 13, 2021(14) Exhibit (a)(xv) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, by Action of Written Consent, the Trustees of Tekla Healthcare Investors (?The Fund?), the Trustees of the Fund appointed Kathleen L. |
|
| December 22, 2021 |
Power of Attorney dated November 30, 2021(14) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Kathleen L. |
|
| August 26, 2021 |
Tekla Healthcare Investors SCHEDULE OF INVESTMENTS June 30, 2021 Tekla Healthcare Investors SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) SHARES CONVERTIBLE PREFERRED (Restricted) (a)(b) – 5. |
|
| July 2, 2021 |
Notice of Change of Trustee, dated June 16, 2021(13) Exhibit (a)(xiv) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, Lucinda H. |
|
| July 2, 2021 |
As filed with the Securities and Exchange Commission on July 2, 2021 As filed with the Securities and Exchange Commission on July 2, 2021 Securities Act File No. |
|
| April 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| February 26, 2021 |
TEKLA HEALTHCARE INVESTORS SCHEDULE OF INVESTMENTS DECEMBER 31, 2020 TEKLA HEALTHCARE INVESTORS SCHEDULE OF INVESTMENTS DECEMBER 31, 2020 SHARES VALUE CONVERTIBLE PREFERRED AND WARRANTS (Restricted)(a) (b) - 4. |
|
| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.11)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2020 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| January 5, 2021 |
By-Laws of the Registrant, as amended(12) Exhibit (b) BY-LAWS OF H&Q HEALTHCARE INVESTORS Revised through December 10, 2020 ARTICLE I Definitions The terms "Commission," "Custodian," "Declaration," "Distributor," "Investment Adviser," "Majority Shareholder Vote," "1940 Act," "Shareholder," "Shares," "Transfer Agent," "Trust," "Trust Property" and "Trustees" have the respective meanings given them in the Declaration of Trust of H&Q Healthcare Fund dated October 31, 1986 as amended from time to time. |
|
| January 5, 2021 |
As filed with the Securities and Exchange Commission on January 5, 2021 Securities Act File No. |
|
| September 10, 2020 |
As filed with the Securities and Exchange Commission on September 10, 2020 Securities Act File No. |
|
| September 10, 2020 |
Notice of Change of Trustee, dated August 27, 2020(11) Exhibit (a)(xiii) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, by Action of Written Consent, the Trustees of Tekla Healthcare Investors (“The Fund”), the Trustees of the Fund appointed Jeffrey A. |
|
| September 10, 2020 |
Power of Attorney dated August 27, 2020(11) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Jeffrey A. |
|
| August 25, 2020 |
Tekla Healthcare Investors SCHEDULE OF INVESTMENTS June 30, 2020 Tekla Healthcare Investors SCHEDULE OF INVESTMENTS June 30, 2020 (Unaudited) SHARES VALUE CONVERTIBLE PREFERRED AND WARRANTS (Restricted) (a) (b) - 3. |
|
| May 8, 2020 |
Tekla Healthcare Investors Tekla Life Sciences Investors 100 Federal Street, 19th Floor Tekla Healthcare Opportunities Fund Boston, Massachusetts 02110 Tekla World Healthcare Fund Tel: (617) 772-8500 May 8, 2020 Via EDGAR Jeff Long U. |
|
| April 14, 2020 |
HQH / Tekla Healthcare Investors DEF 14A - - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| February 27, 2020 |
TEKLA HEALTHCARE INVESTORS SCHEDULE OF INVESTMENTS DECEMBER 31, 2019 TEKLA HEALTHCARE INVESTORS SCHEDULE OF INVESTMENTS DECEMBER 31, 2019 (Unaudited) SHARES VALUE CONVERTIBLE PREFERRED AND WARRANTS(a) - 1. |
|
| February 13, 2020 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.10)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2019 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| August 29, 2019 |
HQH / Tekla Healthcare Investors NPORT-EX - - TEKLA HEALTHCARE INVESTORS SCHEDULE OF INVESTMENTS JUNE 30, 2019 (Unaudited) SHARES VALUE CONVERTIBLE PREFERRED AND WARRANTS(a) - 3. |
|
| June 20, 2019 |
HQH / Tekla Healthcare Investors POS EX - - POST-EFFECTIVE AMENDMENT FILED SOLELY TO ADD EXHIBITS As filed with the Securities and Exchange Commission on June 20, 2019 Securities Act File No. |
|
| June 20, 2019 |
Notice of Change of Trustee, dated June 13, 2019(9) Exhibit (a)(xii) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, Dr. |
|
| April 15, 2019 |
HQH / Tekla Healthcare Investors DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| March 12, 2019 |
HQH / Tekla Healthcare Investors POST-EFFECTIVE AMENDMENT FILED SOLELY TO ADD EXHIBITS As filed with the Securities and Exchange Commission on March 12, 2019 Securities Act File No. |
|
| March 12, 2019 |
Notice of Change of Trustee, dated December 13, 2018(8) Exhibit (a)(xi) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, Michael Bonney tendered his resignation as a Trustee of Tekla Healthcare Investors (the “Fund”) effective November 1, 2018, the Fund issues this notice in accordance with the terms of the Declaration of Trust of the Fund, dated and filed with the Secretary of State of the Commonwealth of Massachusetts on October 31, 1986, as amended; WHEREAS, at a meeting of the Trustees of Tekla Healthcare Investors (“the Fund”), the Trustees of the Fund appointed Dr. |
|
| March 12, 2019 |
Power of Attorney dated December 13, 2018(8) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Elizabeth G. |
|
| February 26, 2019 |
Tekla Healthcare Investors - N-Q OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 UNITED STATES Estimated average burden hours per response . |
|
| February 26, 2019 |
EX-99.CERT 2 a19-21611ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under wh |
|
| February 13, 2019 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MSSB AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.9)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2018 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| August 28, 2018 |
HQH / Tekla Healthcare Investors N-Q (Quarterly Schedule of Portfolio Holdings) OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 UNITED STATES Estimated average burden hours per response . |
|
| August 28, 2018 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading w |
|
| April 18, 2018 |
HQH / Tekla Healthcare Investors DEF 14A DEF 14A 1 a18-77151def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
|
| April 18, 2018 |
By-Laws of the Registrant, as amended (7) Exhibit (b) BY-LAWS OF TEKLA HEALTHCARE INVESTORS Revised through April 4, 2018 ARTICLE I Definitions The terms “Commission,” “Custodian,” “Declaration,” “Distributor,” “Investment Adviser,” “Majority Shareholder Vote,” “1940 Act,” “Shareholder,” “Shares,” “Transfer Agent,” “Trust,” “Trust Property” and “Trustees” have the respective meanings given them in the Amended and Restated Declaration of Trust of Tekla Healthcare Investors dated April 21, 1987 as amended from time to time. |
|
| April 18, 2018 |
Notice of Change of Trustee, dated December 20, 2017(7) Exhibit (a)(x) TEKLA HEALTHCARE INVESTORS Amendment to Declaration of Trust Notice of Change of Trustee WHEREAS, upon the death of Uwe E. |
|
| April 18, 2018 |
Exhibit (k)(vi) Destra Capital Management LLC One North Wacker Drive 48th Floor Chicago, Illinois 60606 April 2, 2018 VIA EMAIL Tekla Funds 100 Federal Street, 19th Floor Boston, MA 02110 Re: Assignment/Written Consent Dear Laura Woodward: Due to an internal business matter, the management at Destra Capital Management LLC (“DCM”), the parent company of Destra Capital Investments LLC (“Destra”), ha |
|
| April 18, 2018 |
HQH / Tekla Healthcare Investors POST-EFFECTIVE AMENDMENT FILED SOLELY TO ADD EXHIBITS As filed with the Securities and Exchange Commission on April 18, 2018 Securities Act File No. |
|
| April 18, 2018 |
Power of Attorney dated April 9, 2018(7) Exhibit (n)(ii) POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that Thomas M. |
|
| February 23, 2018 |
Tekla Healthcare Investors - N-Q OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 UNITED STATES Estimated average burden hours per response . |
|
| February 23, 2018 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading w |
|
| February 13, 2018 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.8)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 29, 2017 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| August 25, 2017 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading w |
|
| August 25, 2017 |
Tekla Healthcare Investors - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of registrant as specified in chart |
|
| July 18, 2017 |
Tekla Healthcare Investors ESP CORRESP 1 filename1.htm Tekla Healthcare Investors 100 Federal Street, 19th Floor Tekla Life Sciences Investors Boston, Massachusetts 02110 Tekla Healthcare Opportunities Fund Tel: (617) 772-8500 July 18, 2017 VIA EDGAR Kathy Churko U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure Review and Accounting 100 F Street, NE Washington, DC 20549 Re: Tekla He |
|
| June 19, 2017 |
Exhibit (k)(v) SUPPORT SERVICES AGREEMENT This Agreement is made as of January 1, 2016, by and among Tekla World Healthcare Fund, Tekla Healthcare Opportunities Fund, Tekla Healthcare Investors and Tekla Life Sciences Investors, Massachusetts business trusts (together, the ?Tekla Funds? or the ?Funds?), and Destra Capital Investments LLC, a Delaware limited liability company (?Destra?). |
|
| June 19, 2017 |
Tekla Healthcare Investors POS EX As filed with the Securities and Exchange Commission on June 19, 2017 Securities Act File No. |
|
| June 19, 2017 |
Tekla Healthcare Investors ESP Tekla Healthcare Investors Tekla Life Sciences Investors 100 Federal Street, 19th Floor Tekla Healthcare Opportunities Fund Boston, Massachusetts 02110 Tel: (617) 772-8500 June 19, 2017 VIA EDGAR Kathy Churko U. |
|
| April 18, 2017 |
Tekla Healthcare Investors PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| February 24, 2017 |
Tekla Healthcare Investors - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of registrant as specified in chart |
|
| February 24, 2017 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading w |
|
| February 13, 2017 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MSSB YE AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.6)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2016 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| August 26, 2016 |
Tekla Healthcare Investors N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a16-157451nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of regis |
|
| August 26, 2016 |
Tekla Healthcare Investors N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a16-157451nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2019 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of regis |
|
| August 26, 2016 |
EX-99.CERT 2 a16-157451ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under w |
|
| April 18, 2016 |
Tekla Healthcare Investors DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| April 18, 2016 |
Tekla Healthcare Investors ESP One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
|
| April 4, 2016 |
Tekla Healthcare Investors PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
|
| February 26, 2016 |
Tekla Healthcare Investors N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a16-17091nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of regi |
|
| February 26, 2016 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading w |
|
| February 11, 2016 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MSSB AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.5)* TEKLA HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2015 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| August 27, 2015 |
Tekla Healthcare Investors N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of registrant as specified in cha |
|
| August 27, 2015 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading w |
|
| August 27, 2015 |
Tekla Healthcare Investors N-Q/A (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of registrant as specified in cha |
|
| August 27, 2015 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading w |
|
| April 20, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| February 26, 2015 |
Tekla Healthcare Investors - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 Tekla Healthcare Investors (Exact name of registrant as specified in cha |
|
| February 26, 2015 |
EX-99.CERT 2 a15-12371ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of Tekla Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under wh |
|
| February 17, 2015 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - ST MSSB AMENDMENT Passive Investment SC 13G/A 1 teklahealthcareinvest4.txt ST MSSB AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.4)* TEKLA HEALTHCARE INVESTORS f/k/a H&Q HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2014 - (Date Of Event which Requires |
|
| January 12, 2015 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 12, 2015 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Tekla Healthcare Investors - (Name of Issuer) Common - (Title of Class of Securities) 87911J103 - (CUSIP Number) December 31, 2014 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
|
| August 27, 2014 |
HQH / Tekla Healthcare Investors N-Q - Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in chart |
|
| August 27, 2014 |
EX-99.CERT 2 a14-185841ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under whi |
|
| July 21, 2014 |
HQH / Tekla Healthcare Investors CORRESP - - CORRESP 1 filename1.htm July 17, 2014 Ms. Christina DiAngelo Fettig Senior Staff Accountant Division of Investment Management Office of Disclosure Review U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: H&Q Healthcare Investors (SEC File Number: 811-4889) H&Q Life Sciences Investors (SEC File Number: 811-6565) Dear Ms. DiAngelo: This letter sets forth the responses |
|
| July 9, 2014 |
May 16, 2014 Joseph R. Fleming Dechert LLP One International Place, 40th Floor 100 Oliver Street Boston, MA 02110 Re: H&Q Healthcare Investors (“H&Q Healthcare”) File Nos. 333-195327, 811-04889 Dear Mr. Fleming: On April 16, 2014, H&Q Healthcare filed a registration statement on Form N-2 under the Securities Act of 1933 (the “Securities Act”) for the registration of shares of beneficial interest o |
|
| May 23, 2014 |
CORRESP 1 filename1.htm One International Place, 40th Floor 100 Oliver Street Boston, MA 02110 +1 617 728 7100 Main +1 617 275 8405 Fax www.dechert.com JOSEPH R. FLEMING [email protected] +1 617 728 7161 Direct +1 617 275 8392 Fax May 23, 2014 Stephanie D. Hui Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-0504 Re: Registrati |
|
| April 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| April 9, 2014 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - MSSB AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.3)* H&Q HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 404052102 - (CUSIP Number) March 31, 2014 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
|
| February 24, 2014 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| February 24, 2014 |
Quarterly Schedule of Portfolio Holdings - N-Q N-Q 1 a14-45611nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of regist |
|
| February 10, 2014 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - ST MSSB AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* H&Q HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 404052102 - (CUSIP Number) December 31, 2013 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
|
| January 13, 2014 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* H&Q Healthcare Investors - (Name of Issuer) Common - (Title of Class of Securities) 404052102 - (CUSIP Number) December 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
|
| January 13, 2014 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
|
| August 23, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: January 31, 2016 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in chart |
|
| August 23, 2013 |
EX-99.CERT 2 a13-179721ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under whi |
|
| July 10, 2013 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| July 10, 2013 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* H&Q Healthcare Investors - (Name of Issuer) Common - (Title of Class of Securities) 404052102 - (CUSIP Number) June 30, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
|
| April 25, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| March 25, 2013 |
Financial Statements and Exhibits, Other Events 8-K 1 a13-828918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2013 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 8 |
|
| March 25, 2013 |
H&Q HEALTHCARE INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q HEALTHCARE INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM BOSTON, MA, March 22, 2013 — H&Q Healthcare Investors (NYSE: HQH) (the “Fund”) announced today that the Board of Trustees authorized a renewal of its share repurchase program. The current share repurchase program allows the Fund to purchase in the open market up to 12% of its outstanding commo |
|
| February 22, 2013 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| February 22, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| February 14, 2013 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - ST MSSB AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* H&Q HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 404052102 - (CUSIP Number) December 31, 2012 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
|
| February 4, 2013 |
HQH / Tekla Healthcare Investors / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* H&Q Healthcare Investors - (Name of Issuer) Common - (Title of Class of Securities) 404052102 - (CUSIP Number) December 31, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
|
| February 4, 2013 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
|
| August 28, 2012 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| August 28, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| August 2, 2012 |
August 2, 2012 Ms. Christina DiAngelo Senior Staff Accountant Division of Investment Management Office of Disclosure Review U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: H&Q Healthcare Investors (SEC File Number: 811-4889) H&Q Life Sciences Investors (SEC File Number: 811-6565) Dear Ms. DiAngelo: This letter sets forth the responses of H&Q Healthcare Investors ( |
|
| May 18, 2012 |
DEFA14A 1 a12-124571defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a |
|
| May 8, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
|
| April 30, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| March 23, 2012 |
H&Q HEALTHCARE INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q HEALTHCARE INVESTORS ANNOUNCES RENEWAL OF SHARE REPURCHASE PROGRAM BOSTON, MA, March 23, 2012 — H&Q Healthcare Investors (NYSE: HQH) (the “Fund”) announced today that the Board of Trustees authorized a renewal of its share repurchase program. The current share repurchase program allows the Fund to purchase in the open market up to 12% of its outstanding commo |
|
| March 23, 2012 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 23, 2012 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-04889 04-6564285 (Commi |
|
| February 28, 2012 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| February 28, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| February 10, 2012 |
HQH / Tekla Healthcare Investors / MORGAN STANLEY - ST MSSB INITIAL Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* H&Q HEALTHCARE INVESTORS - (Name of Issuer) Common Stock - (Title of Class of Securities) 404052102 - (CUSIP Number) December 31, 2011 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
|
| August 22, 2011 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| August 22, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| July 8, 2011 |
H&Q HEALTHCARE INVESTORS ANNOUNCES APPROVAL OF DECLARATION AMENDMENT Exhibit 99.1 H&Q HEALTHCARE INVESTORS ANNOUNCES APPROVAL OF DECLARATION AMENDMENT BOSTON, MA, July 8, 2011—H&Q Healthcare Investors (NYSE: HQH) (the “Fund”) announced today that the Fund’s shareholders approved an amendment to the Fund’s Amended and Restated Declaration of Trust (the “Declaration Amendment”) at its annual meeting. The Declaration Amendment removes certain limitations on the Truste |
|
| July 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 8, 2011 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-04889 04-6564285 (Commiss |
|
| June 30, 2011 |
H&Q HEALTHCARE INVESTORS ANNOUNCES SHARE REPURCHASE PROGRAM Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q HEALTHCARE INVESTORS ANNOUNCES SHARE REPURCHASE PROGRAM BOSTON, MA, June 30, 2011 — H&Q Healthcare Investors (NYSE: HQH) (the “Fund”) announced today that the Board of Trustees authorized a share repurchase program. The program will allow the Fund to purchase in the open market up to 12% of its outstanding common shares for a one year period beginning July 11 |
|
| June 30, 2011 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2011 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-04889 04-6564285 (Commis |
|
| June 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| May 20, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: ý Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
|
| February 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response........5.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| February 28, 2011 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| November 2, 2010 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2010 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-04889 04-6564285 (Com |
|
| November 2, 2010 |
H&Q HEALTHCARE INVESTORS ANNOUNCES INCREASE OF DISTRIBUTION RATE UNDER MANAGED DISTRIBUTION POLICY Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q HEALTHCARE INVESTORS ANNOUNCES INCREASE OF DISTRIBUTION RATE UNDER MANAGED DISTRIBUTION POLICY BOSTON, MA, November 1, 2010 — H&Q Healthcare Investors announced today that it will increase the rate it pays pursuant to its managed distribution policy (the “Policy”) to 2% of net assets each quarter, up from the previous distribution rate of 1.25% each quarter. |
|
| August 27, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: March 31, 2012 Estimated average burden hours per response........9.6 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| August 27, 2010 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| April 27, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| April 6, 2010 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 5, 2010 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-04889 04-6564285 (Commis |
|
| April 6, 2010 |
Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q HEALTHCARE INVESTORS ANNOUNCES REINSTATEMENT OF DISTRIBUTION UNDER MANAGED DISTRIBUTION POLICY BOSTON, MA, April 5, 2010 — H&Q Healthcare Investors announced today the reinstatement of distributions pursuant to its managed distribution policy (the “Policy”). The Policy will provide for quarterly distributions at an annualized rate equal to 5% of net assets. T |
|
| March 1, 2010 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| March 1, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter |
|
| September 30, 2009 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2009 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-04889 04-6564285 (C |
|
| September 30, 2009 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q HEALTHCARE INVESTORS ANNOUNCES SHARE REPURCHASE PROGRAM BOSTON, MA, September 30, 2009 — H&Q Healthcare Investors (NYSE: HQH) announced today that the Board of Trustees authorized a share repurchase program. The program will allow the Fund to purchase in the open market up to 10% of its outstanding common shares for a one year period beginning October 9, 2009 |
|
| August 28, 2009 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
|
| August 28, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter |
|
| August 4, 2009 |
EX-99.1 2 a09-203861ex99d1.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE H&Q HEALTHCARE INVESTORS ANNOUNCES SUSPENSION OF DISTRIBUTION POLICY BOSTON, MA, August 4, 2009 — H&Q Healthcare Investors announced today that it will suspend its managed distribution policy (the “Policy”) and payment of quarterly distributions until further notice. The suspension of the Policy is effective immediately. As |
|
| August 4, 2009 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2009 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 811-04889 04-6564285 (Commi |
|
| May 1, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| March 2, 2009 |
EX-99.CERT 2 a09-46221ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under whic |
|
| March 2, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter |
|
| August 28, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter |
|
| August 28, 2008 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
|
| July 18, 2008 |
– The Board of Trustees of H&Q Healthcare Investors Adopts Amendments to the By-laws of the Fund Exhibit 99.1 07/18/2008 ? The Board of Trustees of H&Q Healthcare Investors Adopts Amendments to the By-laws of the Fund On July 17, 2008, the Board of Trustees of H&Q Healthcare Investors (the ?Fund?) adopted amendments to the By-laws of the Fund. The Trustees determined that the By-laws should be updated in order to ensure an orderly and informed shareholder meeting process for all participating |
|
| July 18, 2008 |
Financial Statements and Exhibits, Other Events 8-K 1 a08-1946718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2008 H&Q HEALTHCARE INVESTORS (Exact name of Registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 8 |
|
| May 5, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
|
| February 29, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter |
|
| February 29, 2008 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
|
| August 29, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response........10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter |
|
| August 29, 2007 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
|
| May 10, 2007 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0059 Washington, D. |
|
| April 5, 2007 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0059 Washington, D. |
|
| March 1, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: May 31, 2007 Estimated average burden hours per response........21.09 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04889 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| March 1, 2007 |
EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
|
| August 29, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: May 31, 2007 Estimated average burden hours per response........21.09 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| August 29, 2006 |
Exhibit 99CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
|
| May 8, 2006 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0059 Washington, D. |
|
| February 28, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: May 31, 2007 Estimated average burden hours per response........21.09 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Healthcare Investors (Exact name of registrant as specified in charter) |
|
| February 28, 2006 |
Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
|
| August 26, 2005 |
EX-99.CERT 2 a05-151771ex99dcert.htm EX-99.CERT Exhibit 99.CERT EXHIBIT 1 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
|
| August 26, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: February 28, 2006 Estimated average burden hours per response........20.00 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Healthcare Investors (Exact name of registrant as specified in cha |
|
| May 16, 2005 |
OMB Approval OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden Hours per response. |
|
| May 10, 2005 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| March 1, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: February 28, 2006 Estimated average burden hours per response........20.00 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-06565 H&Q Healthcare Investors (Exact name of registrant as specified in cha |
|
| March 1, 2005 |
Fund Name Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 99.CERT Fund Name Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 CERTIFICATIONS I, Daniel Omstead, certify that: 1. I have reviewed this report on Form N-Q of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
|
| February 14, 2005 |
SNOW CAPITAL MANAGEMENT, L.P./ H&Q HEALTHCARE INVESTORS SC 13G OMB Approval - OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden Hours per response. |
|
| February 4, 2005 |
- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION - OMB Number: 3235-0145 WASHINGTON, D.C. 20549 - Expires: December 31, 2005 - Estimated average burden SCHEDULE 13G hours per response...11 - UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Biofield Corp. - (Name of Issuer) Common - (Title of Class of Securities) 090591108 - (CUSIP Number) 12/31/04 - |
|
| February 4, 2005 |
- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION - OMB Number: 3235-0145 WASHINGTON, D.C. 20549 - Expires: December 31, 2005 - Estimated average burden SCHEDULE 13G hours per response...11 - UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Bioject Medical Technologies, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 09059T206 - (CUSIP Number) 12/31/04 - |
|
| February 4, 2005 |
- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION - OMB Number: 3235-0145 WASHINGTON, D.C. 20549 - Expires: December 31, 2005 - Estimated average burden SCHEDULE 13G hours per response...11 - UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Orthovita, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 68750U102 - (CUSIP Number) 12/31/04 - |
|
| February 4, 2005 |
- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION - OMB Number: 3235-0145 WASHINGTON, D.C. 20549 - Expires: December 31, 2005 - Estimated average burden SCHEDULE 13G hours per response...11 - UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Endocardial Solutions Inc. - (Name of Issuer) Common - (Title of Class of Securities) 292962107 - (CUSIP Number) 12/31/04 - |
|
| February 4, 2005 |
- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION - OMB Number: 3235-0145 WASHINGTON, D. |
|
| February 4, 2005 |
- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION - OMB Number: 3235-0145 WASHINGTON, D.C. 20549 - Expires: December 31, 2005 - Estimated average burden SCHEDULE 13G hours per response...11 - UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Biotransplant, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 09066Y107 - (CUSIP Number) 12/31/04 - |
|
| August 17, 2004 |
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 - Check Here if Amendment /X/; Amendment Number: 1 - This Amendment (Check only one.): /X/ is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hambrecht & Quist Capital Management LL |
|
| June 1, 2004 |
June 1, 2004 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Commissioners: We have read the statements made by Ms. Kimberley Carroll, Treasurer of H&Q Healthcare Investors (copy attached), which we understand will be filed with the Commission, pursuant to Item 77K of Form N-SAR, as part of the Fund's Form N-SAR report for the period ending March 31, 2004. We agree |
|
| May 24, 2004 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| May 18, 2004 |
- - SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 (6- CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM 00) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| May 18, 2004 |
- - SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 (6- CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM 00) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| May 10, 2004 |
FORM 13F as of 3/31/04 (SEC USE ONLY) Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ITEM 6: ITEM 7: ITEM 8: - - - - - - - - - VOTING AUTHORITY INVESTMENT DISCRETION (SHARES) - - (b) SHARES OF SHARED-AS (c) MANAGERS TITLE OF CUSIP FAIR MARKET PRINCIPAL (a) DEFINED IN SHARED- SEE (a) (b) (c) NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SOLE INSTR. |
|
| February 6, 2004 |
- - SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM (6-00) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| February 6, 2004 |
- - SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM (6-00) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| February 6, 2004 |
- - SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 (6- CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM 00) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| February 6, 2004 |
- - SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM (6-00) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| February 6, 2004 |
- - SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION 1745 CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM (6-00) DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| February 4, 2004 |
1 as of 12/31/03 FORM 13F Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC (SEC USE ONLY) ITEM 6: INVESTMENT DISCRETION - (b) ITEM 5: SHARED- ITEM 7: ITEM 8: ITEM 2: ITEM 3: ITEM 4: SHARES OF AS (c) MANAGERS VOTING AUTHORITY (SHARES) ITEM 1: TITLE OF CUSIP FAIR MARKET PRINCIPAL DEFINED IN SHARED- SEE - NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (a) SOLE INSTR. |
|
| November 13, 2003 |
as of 9/30/03 FORM 13F Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC (SEC USE ONLY) Page 1 of 2 ITEM 6: INVESTMENT DISCRETION - (B) ITEM 8: SHARED- VOTING AUTHORITY ITEM 2: ITEM 5: AS ITEM 7: (SHARES) ITEM 1: TITLE ITEM 3: ITEM 4: SHARES OF DEFINED (C) MANAGERS - NAME OF ISSUER OF CUSIP FAIR MARKET PRINCIPAL (A) IN SHARED- SEE (A) (B) (C) CLASS NUMBER VALUE AMOUNT SOLE INSTR. |
|
| July 31, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/03 - Check Here if Amendment / /; Amendment Number: - This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hambrecht & Quist Capital Management LLC - Addr |
|
| May 30, 2003 |
CERTIFICATIONS I,Daniel R. Omstead, certify that: 1. I have reviewed this report on Form N-SAR of H&Q Healthcare Investors; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the perio |
|
| May 12, 2003 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| May 9, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/03 - Check Here if Amendment / /; Amendment Number: - This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hambrecht & Quist Capital Management LLC - Addr |
|
| February 25, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - LYNX THERAPEUTICS, INC. - - (Name of Issuer) Common - - (Title of Class of Securities) 551812407 - (CUSIP Number) 12/31/02 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
|
| January 28, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - EnDocarDial Solutions - - (Name of Issuer) Common - - (Title of Class of Securities) 292962107 - (CUSIP Number) 12/31/02 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
|
| January 28, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - EP MedSystems - - (Name of Issuer) Common - - (Title of Class of Securities) 026881P103 - (CUSIP Number) 12/31/02 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
|
| January 28, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - ORTHOVITA - - (Name of Issuer) Common - - (Title of Class of Securities) 68750U102 - (CUSIP Number) 12/31/02 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
|
| January 28, 2003 |
as of 12/31/02 FORM 13F Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC Page 1 of 1 (SEC USE ONLY) / - - ITEM 6: ITEM 5: INVESTMENT DISCRETION ITEM 1: ITEM 2: ITEM 3: ITEM 4: SHARES OF - NAME OF ISSUER TITLE OF CLASS CUSIP FAIR MARKET PRINCIPAL (b) SHARED- NUMBER VALUE AMOUNT (a) SOLE AS DEFINED (c) SHARED- IN INSTR. |
|
| January 28, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - Biofield - - (Name of Issuer) Common - - (Title of Class of Securities) 090591207 - (CUSIP Number) 12/31/02 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
|
| October 17, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/02 - Check Here if Amendment / /; Amendment Number: - This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hambrecht & Quist Capital Management LLC - Addr |
|
| July 31, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/02 - Check Here if Amendment / /; Amendment Number: - This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hambrecht & Quist Capital Management Inc. - Add |
|
| May 20, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - LYNX THERAPEUTICS - - (Name of Issuer) Common - - (Title of Class of Securities) 000551812308 - (CUSIP Number) 5/17/02 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
|
| May 17, 2002 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| May 10, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/02 - Check Here if Amendment / /; Amendment Number: - This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hambrecht & Quist Capital Management Inc. - Add |
|
| May 6, 2002 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| January 29, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - ORTHOVITA - - (Name of Issuer) Common - - (Title of Class of Securities) 68750U102 - (CUSIP Number) 12/31/01 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
|
| January 29, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - BioTransplant Inc. - - (Name of Issuer) Common - - (Title of Class of Securities) 09066Y107 - (CUSIP Number) 12/31/01 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| January 29, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - Biofield - - (Name of Issuer) Common - - (Title of Class of Securities) 090591207 - (CUSIP Number) 12/31/01 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
|
| January 29, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - EP MedSystems - - (Name of Issuer) Common - - (Title of Class of Securities) 026881P103 - (CUSIP Number) 12/31/01 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
|
| January 29, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - EnDocarDial Solutions - - (Name of Issuer) Common - - (Title of Class of Securities) 292962107 - (CUSIP Number) 12/31/01 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
|
| January 23, 2002 |
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 - Check Here if Amendment / /; Amendment Number: - This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hambrecht & Quist Capital Management Inc. - |
|
| November 13, 2001 |
As of 9/30/01 FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - - - - - - - - - VALUE SHRS OR SH/ PUT/ INVSTMNT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - - - - - - - - - - - - - Abgenix Common 00039B107 5,675,000 250,000 X NA X Affymetrix Common 00826T108 1,605,000 100, |
|
| August 6, 2001 |
as of 6/30/01 FORM 13F (SEC USE ONLY) Page of Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT - - Item 5: Item 6: Item 1: Item 2: Item 3: Item 4: Shares of Investment Discretion Name of Issuer Title of Class CUSIP Fair Market Principal (b) Shared- Number Value Amount (a) Sole As Defined (c) Shared- in Instr. |
|
| May 18, 2001 |
PAGE 1 000 A000000 03/31/2001 000 C000000 0000805267 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6. |
|
| May 15, 2001 |
H&Q HEALTHCARE INVESTORS H&Q LIFE SCIENCES INVESTORS 30 Rowes Wharf, Fourth Floor Boston, Massachusetts 02110-3328 (617) 310-0567 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To the Shareholders of H&Q HEALTHCARE INVESTORS and H&Q LIFE SCIENCES INVESTORS: An Annual Meeting of Shareholders of H&Q Healthcare Investors and of H&Q Life Sciences Investors (each a "Fund") will be held on Friday, June 8, 2001, at 9:00 a. |
|
| May 2, 2001 |
FORM 13F - (SEC USE ONLY) - Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT Item 5: Item 3: Item 4: Shares of Item 1: Item 2: CUSIP Fair Market Principal Name of Issuer Title of Class Number Value Amount - - - - - Affymetrix Common 00826T108 2,781,250 100,000 Aradigm Common 038505103 2,012,500 350,000 ATS Medical Common 002083103 6,125,003 636,364 Biofield Common 090591207 325,143 |
|
| April 26, 2001 |
SEC 1745 POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION (6-00) CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
|
| February 12, 2001 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No. 6 H&Q HEALTHCARE INVESTORS (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 404052-10-2 (CUSIP Number) Check the appropriate box to designate the rule purusant to which this Schedule is filed: [X] Rule 13d-2(b) 1) Name and I.R.S. Iden |
|
| February 2, 2001 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - Martek Biosciences - - (Name of Issuer) Common - - (Title of Class of Securities) 572901 106 - (CUSIP Number) 12/31/01 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
|
| February 2, 2001 |
FORM 13F - (SEC USE ONLY) Page of - Name of Reporting Manager: HAMBRECHT & QUIST CAPITAL MANAGEMENT - - Item 5: Item 1: Item 2: Item 3: Item 4: Shares of Name of Issuer Title of Class CUSIP Fair Market Principal Number Value Amount - - Affymetrix Common 00826T108 7,443,750 100,000 - - Amgen Common 031162100 9,590,625 150,000 - - |
|
| February 2, 2001 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - Cubist Pharmaceuticals - - (Name of Issuer) Common - - (Title of Class of Securities) 229678107 - (CUSIP Number) 12/31/00 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
|
| February 2, 2001 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* - EP Medsystems Inc. - - (Name of Issuer) Common - - (Title of Class of Securities) 026881P103 - (CUSIP Number) 12/31/00 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
