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,
1999
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: Hathaway & Associates, Ltd.
Address: 119 Rowayton Avenue
Rowayton, CT 06853
13 File Number:
The institutional investment manager filing this report and
the person by whom it is signed hereby represent that the
person signing the report is authorized to submit it, that
all information contained herein is true, correct, and
complete, and that it is understood that all required items,
statements, schedules, list, and tables, are considered
integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Carl E. Hathaway
Title: President
Phone: 203 838-5309
Signature, Place and Date of Signing: Carl E. Hathaway,
Rowayton, Ct. 7/11/99
Report Type (Check only one):
(x) 13F HOLDINGS REPORT
( ) 13F NOTICE
( ) 13F COMBINATION REPORT
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES
EXCHANGE ACT OF 1934
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 154
Form 13F Information Table Value Total: $258,987,425
<TABLE> <C> <C>
FORM 13F
INFORMATION
TABLE
COMPANY TITLE OF CUSIP VALUE SHARES SH/PRN
CLASS
ACSYS INC COMMON 00087X103 $407,938 107,000 SH
STOCK
ABIOMED COMMON 003654100 $2,750,000 200,000 SH
STOCK
ACCENT COLOR SCIENCES COMMON 004305108 $52,000 80,000 SH
STOCK
ACCESS WORLDWIDE COMMON 004319109 $1,343,750 215,000 SH
STOCK
ADVANCED DIGITAL INFO COMMON 007525108 $8,100,000 200,000 SH
STOCK
ALLIANCE COMMON 018773101 $183,750 70,000 SH
PHARMACEUTICAL STOCK
AMERICA SERVICE GROUP COMMON 02364L109 $2,311,900 151,600 SH
STOCK
AMERICAN COIN MERCH COMMON 02516B100 $1,766,050 271,700 SH
INC STOCK
ANIKA THERAPEUTICS COMMON 035255108 $850,000 100,000 SH
INC STOCK
APPLIED SCI & TECH COMMON 038236105 $1,230,750 54,700 SH
STOCK
AQUILA COMMON 03839F107 $52,236 32,145 SH
BIOPHARMACEUTICALS STOCK
ARRYTHMEA RESEARCH COMMON 042698308 $172,875 138,300 SH
STOCK
ARTECON COMMON 043003102 $416,250 185,000 SH
STOCK
ASANTE TECHNOLOGIES COMMON 043412105 $311,625 415,500 SH
STOCK
@PLAN COMMON 04962Q100 $1,942,500 129,500 SH
STOCK
AUSPEX COMMON 052116100 $2,338,125 215,000 SH
STOCK
AUTOIMMUNE INC COMMON 052776101 $831,250 350,000 SH
STOCK
AVIATION SALES COMMON 053672101 $3,950,000 100,000 SH
COMPANY STOCK
BEST SOFTWARE COMMON 086579109 $3,225,000 200,000 SH
STOCK
BIG BUCK BREWERY WARRANTS 089072110 $6,250 200,000 SH
Warrants
BIOJECT INC COMMON 09059T107 $127,500 240,000 SH
STOCK
BLONDER TONGUE COMMON 093698108 $99,259 15,570 SH
STOCK
CALYPTE BIOMEDICAL COMMON 131722100 $1,054,375 602,500 SH
STOCK
CAMBIO COMMON 13200N100 $152,220 221,250 SH
STOCK
CARDIAC SCIENCES INC COMMON 141410209 $118,947 32,813 SH
STOCK
CASTLE DENTAL COMMON 14844P105 $1,831,250 293,000 SH
STOCK
CENTRAL EUROPEAN COMMON 153435102 $1,564,000 184,000 SH
DISTRIB STOCK
CERPLEX GROUP COMMON 156913501 $55,650 55,650 SH
STOCK
CHICOS COMMON 168615102 $3,407,500 145,000 SH
STOCK
COLORADO MEDTECH COMMON 19652U104 $7,678,125 350,000 SH
STOCK
CREE RESEARCH COMMON 225447101 $2,615,875 34,000 SH
STOCK
CYBEX COMPUTER COMMON 235522102 $9,251,016 331,875 SH
PRODUCTS STOCK
DIGITAL LAVA COMMON 253928105 $1,438,619 227,900 SH
STOCK
DIGITAL LAVA WARRANTS WARRANTS 253928113 $119,213 56,100 SH
DYNAMEX COMMON 26784F103 $862,500 300,000 SH
STOCK
EA ENGR SCIENCE & COMMON 267911105 $253,672 238,750 SH
TECH STOCK
DYNAMIC HEALTHCARE COMMON 267927101 $481,250 220,000 SH
TECH STOCK
EPL TECHNOLOGIES COMMON 268920204 $937,500 250,000 SH
STOCK
EATERIES INC COMMON 277851100 $637,500 170,000 SH
STOCK
ECO SOIL SYSTEMS COMMON 278858100 $1,021,250 190,000 SH
STOCK
EDGAR ONLINE COMMON 279765101 $2,400,000 300,000 SH
STOCK
ENDOCARE COMMON 29264P104 $2,250,000 375,000 SH
STOCK
ENOCARDIAL SOLUTIONS COMMON 292962107 $1,325,969 140,500 SH
STOCK
ENTREMED COMMON 29382F103 $2,250,000 100,000 SH
STOCK
EVANS & SUTHERLAND COMMON 299096107 $486,317 37,230 SH
COMPUTER STOCK
FASHIONMALL.COM COMMON 31186K106 $2,156,250 300,000 SH
STOCK
FLANDERS CORP COMMON 338494107 $787,500 225,000 SH
STOCK
FOURTH SHIFT CORP COMMON 351128103 $2,562,813 695,000 SH
STOCK
FRIES ENTMT INC DEL COMMON 358616100 $0 304,600 SH
STOCK
GSE SYSTEMS COMMON 36227K106 $2,187,600 364,600 SH
STOCK
GSI LUMONICS COMMON 36229U102 $1,027,088 269,400 SH
STOCK
GENELABS TECHNOLOGIES COMMON 368706107 $1,136,363 673,400 SH
STOCK
GENOME THERAPEUTICS COMMON 372430108 $660,000 220,000 SH
STOCK
GREEN MOUNTAIN COFFEE COMMON 393122106 $1,710,938 250,000 SH
STOCK
HAPPY KIDS COMMON 411391105 $1,911,250 220,000 SH
STOCK
HAWAII LAND & FARMING COMMON 41975N104 $42,188 112,500 SH
STOCK
HEALTHWORLD COMMON 42222E103 $1,473,750 131,000 SH
STOCK
HORIZON HEALTH CORP COMMON 44041Y100 $1,565,638 215,950 SH
STOCK
HOSPITALITY WW COMMON 44106N100 $2,035,075 561,400 SH
SERVICES STOCK
ICN PHARMACEUTICALS COMMON 448924100 $11,040,313 343,000 SH
INC STOCK
ICU MEDICAL COMMON 44930G107 $1,591,875 90,000 SH
STOCK
ITI TECHNOLOGIES COMMON 450564109 $1,583,750 70,000 SH
STOCK
IMALL INC COMMON 45244X306 $3,585,938 187,500 SH
STOCK
INFINIUM SOFTWARE COMMON 45662Y100 $1,706,250 325,000 SH
STOCK
INFONAUTICS COMMON 456662105 $422,813 82,500 SH
STOCK
INFORMATION RECOURCE COMMON 45675F303 $2,123,813 70,500 SH
ENG STOCK
INTEGRAMED COMMON 45810N104 $743,750 175,000 SH
STOCK
INTERFERON SCIENCES COMMON 458903100 $7,840 28,000 SH
STOCK
INTERNATIONAL COMMON 45972C102 $1,868,500 202,000 SH
ISOTOPES STOCK
INVESTMENT TECH GROUP COMMON 46145F105 $6,603,262 205,549 SH
STOCK
INVIVO COMMON 461858102 $1,968,750 150,000 SH
STOCK
IRWIN NATURALS COMMON 464142108 $993,750 530,000 SH
STOCK
ISOCOR COMMON 464902105 $1,812,500 290,000 SH
STOCK
KENDLE INTERNATIONAL COMMON 48880L107 $2,320,000 145,000 SH
STOCK
KENSEY NASH COMMON 490057106 $1,064,000 133,000 SH
STOCK
KOALA CORP COMMON 499866101 $2,675,000 100,000 SH
STOCK
KOS PHARMACEUTICALS COMMON 500648100 $860,625 170,000 SH
STOCK
LMI AEROSPACE COMMON 502079106 $690,000 160,000 SH
STOCK
LANDMARK SYSTEMS CORP COMMON 51506S100 $3,112,500 300,000 SH
STOCK
LEVEL 8 SYSTEMS COMMON 52729M102 $1,363,000 116,000 SH
STOCK
LINCOLN SNACKS COMMON 534744107 $200,000 200,000 SH
COMPANY STOCK
LODGENET COMMON 540211109 $3,010,500 216,000 SH
ENTERTAINMENT STOCK
LOG ON AMERICA COMMON 540473105 $1,413,750 87,000 SH
STOCK
MACKIE DESIGNS COMMON 554541102 $294,500 62,000 SH
STOCK
MADE2MANAGE SYSTEMS COMMON 556466100 $1,640,719 203,500 SH
INC STOCK
MEDAREX COMMON 583916101 $1,237,500 300,000 SH
STOCK
MED DESIGN COMMON 583926100 $3,468,750 500,000 SH
STOCK
MEDSTONE COMMON 58505C101 $3,245,000 440,000 SH
INTERNATIONAL STOCK
METROCALL COMMON 591647102 $550,000 200,000 SH
STOCK
METROLOGIC COMMON 591676101 $796,250 70,000 SH
STOCK
MICROLOG COMMON 595079104 $606,125 373,000 SH
STOCK
MIKHON GAMING CORP COMMON 59862K108 $1,954,375 530,000 SH
STOCK
NMT MEDICAL COMMON 629294109 $685,906 233,500 SH
STOCK
NEOPROBE COMMON 640518106 $417,500 668,000 SH
STOCK
NEORX COMMON 640520300 $589,531 385,000 SH
STOCK
NETRIX COMMON 641148101 $356,250 100,000 SH
STOCK
NEUROBIOLOGICAL TECH COMMON 64124W106 $161,875 185,000 SH
STOCK
NEXTHEALTH INC COMMON 65333G105 $168,750 150,000 SH
STOCK
NOVEN PHARMACEUTICAL COMMON 666903109 $483,750 80,000 SH
STOCK
NORTHSTAR HEALTH SVCS COMMON 666903109 $68,800 200,000 SH
STOCK
OSI SYSTEMS COMMON 671044105 $650,000 130,000 SH
STOCK
ONSITE ENERGY COMMON 68284P108 $13,200 40,000 SH
STOCK
OPTIMAL ROBOTICS COMMON 68388R208 $2,235,938 225,000 SH
STOCK
OPTIKA IMAGING COMMON 683973101 $1,684,688 299,500 SH
SYSTEMS STOCK
PHYSIOMETRIX INC COMMON 718928104 $149,195 265,000 SH
STOCK
PHYSICIANS SPECIALTY COMMON 718934102 $2,290,219 239,500 SH
STOCK
PHOTOELECTRON COMMON 719320103 $210,938 67,500 SH
STOCK
PIERCING PAGODA COMMON 720773103 $3,787,500 300,000 SH
STOCK
PLAY BY PLAY TOYS COMMON 72811K103 $491,250 120,000 SH
STOCK
PRINTRAK COMMON 742574106 $1,475,000 200,000 SH
STOCK
PROGRAMMER'S PARADISE COMMON 743205106 $2,327,500 190,000 SH
STOCK
QLOGIC COMMON 747277101 $660,000 5,000 SH
STOCK
QUADRAMED COMMON 74730W101 $1,523,438 187,500 SH
STOCK
QUEPASA.COM COMMON 74833W107 $3,231,250 235,000 SH
STOCK
QUEST EDUCATION CORP COMMON 74835F102 $4,094,025 387,600 SH
STOCK
QUICKSILVER INC COMMON 74838C106 $8,600,625 330,000 SH
STOCK
RADIANT SYSTEMS COMMON 75025N102 $1,852,500 130,000 SH
STOCK
RAINBOW RENTALS COMMON 750857104 $2,300,000 200,000 SH
STOCK
RAYTEL MEDICAL COMMON 755107109 $1,998,000 432,000 SH
STOCK
RIDELL SPORTS INC COMMON 765670104 $462,188 127,500 SH
STOCK
ROCKY SHOES & BOOTS COMMON 774830103 $831,250 100,000 SH
INC STOCK
SCB COMPUTER SYSTEMS COMMON 78388N107 $1,575,000 300,000 SH
INC STOCK
SEEC INC COMMON 784110108 $1,062,500 250,000 SH
STOCK
SOS STAFFING SERVICES COMMON 78462X104 $1,653,750 315,000 SH
STOCK
SAFETY COMPONENTS COMMON 786474106 $487,500 97,500 SH
INT'L STOCK
SATCON TECHNOLOGY COMMON 803893106 $1,046,250 135,000 SH
STOCK
SCANSOURCE COMMON 806037107 $865,000 40,000 SH
STOCK
SECURE COMPUTING INC COMMON 813705100 $247,163 101,400 SH
STOCK
SEMX CORP COMMON 816854103 $281,250 90,000 SH
STOCK
SIGA PHARMACEUTICAL COMMON 826917106 $337,500 300,000 SH
STOCK
SOFTWORKS COMMON 83404P102 $2,200,000 200,000 SH
STOCK
STRATESEC COMMON 862792108 $139,531 117,500 SH
STOCK
SURMODICS COMMON 868873100 $1,752,125 107,000 SH
STOCK
SYNBIOTICS CORP COMMON 871566105 $1,023,750 260,000 SH
STOCK
SYSTEMS & COMPUTER COMMON 871873105 $19,455,500 1,336,00 SH
TECHN STOCK 0
TAKE-TWO INTERACTIVE COMMON 874054100 $2,287,500 300,000 SH
STOCK
THINK NEW IDEAS INC COMMON 884094103 $1,660,313 105,000 SH
STOCK
TRANSACT TECHNOLOGIES COMMON 892918103 $993,750 150,000 SH
STOCK
TREX COMPANY COMMON 89531P105 $2,905,438 114,500 SH
STOCK
TRIMERIS COMMON 896263100 $725,000 50,000 SH
STOCK
UNIVERSAL STD COMMON 913839106 $50,000 400,000 SH
HEALTHCARE INC STOCK
UROGEN COMMON 917271900 $93,750 375,000 SH
STOCK
VIISAGE COMMON 92675K106 $105,094 88,500 SH
STOCK
VISION TWENTY-ONE INC COMMON 92831N101 $2,493,750 300,000 SH
STOCK
WPI GROUP INC COMMON 92930K107 $1,133,322 352,100 SH
STOCK
WATERLINK COMMON 94155N105 $515,200 179,200 SH
STOCK
WELCOME HOME COMMON 949116107 $52,950 353,000 SH
STOCK
WEST COAST COMMON 952182100 $224,578 717,500 SH
ENTERTAINMENT STOCK
WILLIAMS CONTROLS COMMON 969465103 $1,546,875 500,000 SH
STOCK
WOMEN'S FIRST COMMON 978150100 $1,855,000 140,000 SH
HEALTHCARE STOCK
XICOR COMMON 984903104 $793,750 200,000 SH
STOCK
ZEBRA TECHNOLOGIES COMMON 989207105 $3,459,375 90,000 SH
STOCK
ZIPLINK COMMON 989741103 $1,250,000 100,000 SH
STOCK
ZYMETX COMMON 989859103 $440,000 220,000 SH
STOCK
REPORT TOTALS 154 ITEMS $258,987,42
5
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