UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: Sep.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. 11/15/99
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: 159
Form 13F Information Table Value Total: $235,115,433
<TABLE> <C> <C>
FORM 13F
INFORMATION
TABLE
COMPANY TITLE OF CUSIP VALUE SHARES SH/PRN
CLASS
ACSYS INC COMMON 00087X103 $280,875 107,000 SH
STOCK
ABIOMED COMMON 003654100 $3,100,000 200,000 SH
STOCK
ACCENT COLOR SCIENCES COMMON 004305108 $34,400 80,000 SH
STOCK
ACCESS WORLDWIDE COMMON 004319109 $376,250 215,000 SH
STOCK
ADAPTIVE BROADBAND COMMON 0650M104 $2,120,550 63,300 SH
STOCK
ADVANCED DIGITAL INFO COMMON 007525108 $10,123,750 364,000 SH
STOCK
ALLIANCE COMMON 018773101 $354,375 70,000 SH
PHARMACEUTICAL STOCK
AMERICA SERVICE GROUP COMMON 02364L109 $2,046,600 151,600 SH
STOCK
AMERICAN COIN MERCH COMMON 02516B100 $984,913 271,700 SH
INC STOCK
ANIKA THERAPEUTICS COMMON 035255108 $562,500 100,000 SH
INC STOCK
APPLIED SCI & TECH COMMON 038236105 $870,375 42,200 SH
STOCK
AQUILA COMMON 03839F107 $58,263 32,145 SH
BIOPHARMACEUTICALS STOCK
ARRYTHMEA RESEARCH COMMON 042698308 $311,175 138,300 SH
STOCK
ASANTE TECHNOLOGIES COMMON 043412105 $831,000 415,500 SH
STOCK
@PLAN COMMON 04962Q100 $1,432,594 129,500 SH
STOCK
AUSPEX COMMON 052116100 $1,908,125 215,000 SH
STOCK
AUTOIMMUNE INC COMMON 052776101 $196,875 350,000 SH
STOCK
AVIATION SALES COMMON 053672101 $2,090,000 110,000 SH
COMPANY STOCK
BEST SOFTWARE COMMON 086579109 $3,634,000 184,000 SH
STOCK
BIG BUCK BREWERY WARRANTS 089072110 $6,250 200,000 SH
Warrants
BIOJECT INC COMMON 09059T107 $120,000 240,000 SH
STOCK
BLONDER TONGUE COMMON 093698108 $96,000 12,000 SH
STOCK
CALYPTE BIOMEDICAL COMMON 131722100 $658,984 602,500 SH
STOCK
CAMBIO COMMON 13200N100 $55,313 221,250 SH
STOCK
CARDIAC SCIENCES INC COMMON 141410209 $133,319 32,813 SH
STOCK
CASTLE DENTAL COMMON 14844P105 $842,375 293,000 SH
STOCK
CENTRAL EUROPEAN COMMON 153435102 $1,150,000 184,000 SH
DISTRIB STOCK
CERPLEX GROUP COMMON 156913501 $41,738 55,650 SH
STOCK
CHICOS COMMON 168615102 $4,087,500 150,000 SH
STOCK
COLORADO MEDTECH COMMON 19652U104 $5,053,125 350,000 SH
STOCK
COULTER COMMON 222116105 $1,115,000 80,000 SH
PHARMACEUTICALS STOCK
CYBEX COMPUTER COMMON 235522102 $11,076,328 331,875 SH
PRODUCTS STOCK
DIGITAL LAVA COMMON 253928105 $1,139,600 246,400 SH
STOCK
DIGITAL LAVA WARRANTS WARRANTS 253928113 $63,113 56,100 SH
DOT HILL COMMON 25848T109 $589,625 89,000 SH
STOCK
DYNAMEX COMMON 26784F103 $656,250 300,000 SH
STOCK
EA ENGR SCIENCE & COMMON 267911105 $238,750 238,750 SH
TECH STOCK
DYNAMIC HEALTHCARE COMMON 267927101 $330,000 220,000 SH
TECH STOCK
ECCS COMMON 26825H100 $733,125 172,500 SH
STOCK
EPL TECHNOLOGIES COMMON 268920204 $450,000 450,000 SH
STOCK
EATERIES INC COMMON 277851100 $446,250 170,000 SH
STOCK
ECO SOIL SYSTEMS COMMON 278858100 $1,318,125 190,000 SH
STOCK
EDGAR ONLINE COMMON 279765101 $2,231,250 300,000 SH
STOCK
ENDOCARE COMMON 29264P104 $2,367,188 375,000 SH
STOCK
ENOCARDIAL SOLUTIONS COMMON 292962107 $1,405,000 140,500 SH
STOCK
ENTREMED COMMON 29382F103 $2,162,500 100,000 SH
STOCK
EVANS & SUTHERLAND COMMON 299096107 $460,721 37,230 SH
STOCK
FASHIONMALL.COM COMMON 31186K106 $1,612,500 300,000 SH
STOCK
FLANDERS CORP COMMON 338494107 $583,594 225,000 SH
STOCK
FOURTH SHIFT CORP COMMON 351128103 $2,041,563 695,000 SH
STOCK
FRIES ENTMT INC DEL COMMON 358616100 $0 304,600 SH
STOCK
GSE SYSTEMS COMMON 36227K106 $1,458,400 364,600 SH
STOCK
GSI LUMONICS COMMON 36229U102 $1,599,563 269,400 SH
STOCK
GENELABS TECHNOLOGIES COMMON 368706107 $1,914,981 673,400 SH
STOCK
GENOME THERAPEUTICS COMMON 372430108 $880,000 220,000 SH
STOCK
GREEN MOUNTAIN COFFEE COMMON 393122106 $2,265,625 250,000 SH
STOCK
HAPPY KIDS COMMON 411391105 $2,050,000 205,000 SH
STOCK
HAWAII LAND & FARMING COMMON 41975N104 $45,675 112,500 SH
STOCK
HEALTHWORLD COMMON 42222E103 $1,834,000 131,000 SH
STOCK
HORIZON HEALTH CORP COMMON 44041Y100 $1,268,706 215,950 SH
STOCK
HOSPITALITY WW COMMON 44106N100 $1,614,025 561,400 SH
SERVICES STOCK
ICN PHARMACEUTICALS COMMON 448924100 $5,895,313 343,000 SH
INC STOCK
ICU MEDICAL COMMON 44930G107 $1,350,000 90,000 SH
STOCK
ITI TECHNOLOGIES COMMON 450564109 $2,104,375 70,000 SH
STOCK
IMALL INC COMMON 45244X306 $3,503,906 187,500 SH
STOCK
INFINIUM SOFTWARE COMMON 45662Y100 $1,625,000 325,000 SH
STOCK
INFONAUTICS COMMON 456662105 $694,140 120,720 SH
STOCK
INFORMATION RECOURCE COMMON 45675F303 $1,476,094 70,500 SH
ENG STOCK
INTEGRAMED COMMON 45810N104 $700,000 175,000 SH
STOCK
INTERNATIONAL COMMON 45972C102 $1,540,250 202,000 SH
ISOTOPES STOCK
INTERNATIONAL COMMON 45950T101 $688,800 131,200 SH
FIBERCOM STOCK
INVESTMENT TECH GROUP COMMON 46145F105 $4,692,000 204,000 SH
STOCK
INVIVO COMMON 461858102 $1,903,125 150,000 SH
STOCK
ISOCOR COMMON 464902105 $2,283,750 290,000 SH
STOCK
KENDLE INTERNATIONAL COMMON 48880L107 $1,150,938 145,000 SH
STOCK
KENSEY NASH COMMON 490057106 $2,078,125 133,000 SH
STOCK
KOALA CORP COMMON 499866101 $3,075,000 100,000 SH
STOCK
KOS PHARMACEUTICALS COMMON 500648100 $823,438 170,000 SH
STOCK
LMI AEROSPACE COMMON 502079106 $640,000 160,000 SH
STOCK
LANDMARK SYSTEMS CORP COMMON 51506S100 $2,437,500 300,000 SH
STOCK
LEVEL 8 SYSTEMS COMMON 52729M102 $1,464,500 116,000 SH
STOCK
LINCOLN SNACKS COMMON 534744107 $350,000 200,000 SH
COMPANY STOCK
LODGENET COMMON 540211109 $2,808,000 216,000 SH
ENTERTAINMENT STOCK
LOG ON AMERICA COMMON 540473105 $1,380,000 80,000 SH
STOCK
MACKIE DESIGNS COMMON 554541102 $263,500 62,000 SH
STOCK
MADE2MANAGE SYSTEMS COMMON 556466100 $1,653,438 203,500 SH
INC STOCK
MEDAREX COMMON 583916101 $2,137,500 300,000 SH
STOCK
MED DESIGN COMMON 583926100 $1,906,250 500,000 SH
STOCK
MEDSTONE COMMON 58505C101 $2,860,000 440,000 SH
INTERNATIONAL STOCK
METROCALL COMMON 591647102 $250,000 200,000 SH
STOCK
METROLOGIC COMMON 591676101 $813,750 70,000 SH
STOCK
MICROLOG COMMON 595079104 $722,688 373,000 SH
STOCK
MIKHON GAMING CORP COMMON 59862K108 $2,120,000 530,000 SH
STOCK
MUSICMAKER.COM COMMON 62757C108 $927,094 89,900 SH
STOCK
NMT MEDICAL COMMON 629294109 $605,641 233,500 SH
STOCK
NEOPROBE COMMON 640518106 $605,208 668,000 SH
STOCK
NEORX COMMON 640520300 $649,688 385,000 SH
STOCK
NETRIX COMMON 641148101 $281,250 100,000 SH
STOCK
NEUROBIOLOGICAL TECH COMMON 64124W106 $167,610 185,000 SH
STOCK
NEXTHEALTH INC COMMON 65333G105 $181,250 200,000 SH
STOCK
NORTHSTAR HEALTH SVCS COMMON 666903109 $56,200 200,000 SH
STOCK
NOVEN PHARMACEUTICAL COMMON 670009109 $850,000 100,000 SH
STOCK
OSI SYSTEMS COMMON 671044105 $487,500 130,000 SH
STOCK
OMNI NUTRACEUTICALS COMMON 68212M102 $1,126,250 530,000 SH
STOCK
ONSITE ENERGY COMMON 68284P108 $10,800 40,000 SH
STOCK
OPTIMAL ROBOTICS COMMON 68388R208 $4,050,000 225,000 SH
STOCK
OPTIKA IMAGING COMMON 683973101 $1,123,125 299,500 SH
SYSTEMS STOCK
ORGANOGENESIS COMMON 685906109 $297,750 39,700 SH
STOCK
PHYSIOMETRIX INC COMMON 718928104 $132,500 265,000 SH
STOCK
PHOTOELECTRON COMMON 719320103 $412,500 88,000 SH
STOCK
PIERCING PAGODA COMMON 720773103 $3,900,000 300,000 SH
STOCK
PLAY BY PLAY TOYS COMMON 72811K103 $320,000 80,000 SH
STOCK
PRINTRAK COMMON 742574106 $1,400,000 200,000 SH
STOCK
PROGRAMMER'S PARADISE COMMON 743205106 $1,270,625 190,000 SH
STOCK
QUADRAMED COMMON 74730W101 $1,406,250 187,500 SH
STOCK
QUEPASA.COM COMMON 74833W107 $1,964,844 251,500 SH
STOCK
QUEST EDUCATION CORP COMMON 74835F102 $3,052,350 387,600 SH
STOCK
QUICKSILVER INC COMMON 74838C106 $6,022,500 330,000 SH
STOCK
RADIANT SYSTEMS COMMON 75025N102 $2,104,375 130,000 SH
STOCK
RAINBOW RENTALS COMMON 750857104 $1,850,000 200,000 SH
STOCK
RAYTEL MEDICAL COMMON 755107109 $1,174,500 432,000 SH
STOCK
RIDELL SPORTS INC COMMON 765670104 $374,531 127,500 SH
STOCK
ROCKY SHOES & BOOTS COMMON 774830103 $671,875 100,000 SH
INC STOCK
SCB COMPUTER SYSTEMS COMMON 78388N107 $1,546,875 300,000 SH
INC STOCK
SEEC INC COMMON 784110108 $875,000 250,000 SH
STOCK
SOS STAFFING SERVICES COMMON 78462X104 $2,141,906 368,500 SH
STOCK
SAFETY COMPONENTS COMMON 786474106 $292,500 97,500 SH
INT'L STOCK
SATCON TECHNOLOGY COMMON 803893106 $1,350,000 135,000 SH
STOCK
SCANSOURCE COMMON 806037107 $264,813 9,500 SH
STOCK
SECURE COMPUTING INC COMMON 813705100 $316,875 101,400 SH
STOCK
SEMX CORP COMMON 816854103 $483,750 90,000 SH
STOCK
SIGA PHARMACEUTICAL COMMON 826917106 $270,000 270,000 SH
STOCK
SOFTWORKS COMMON 83404P102 $1,537,500 300,000 SH
STOCK
STRATESEC COMMON 862792108 $117,500 117,500 SH
STOCK
SURMODICS COMMON 868873100 $1,591,625 107,000 SH
STOCK
SYNBIOTICS CORP COMMON 871566105 $666,250 260,000 SH
STOCK
SYSTEMS & COMPUTER COMMON 871873105 $16,783,500 1,336,00 SH
TECHN STOCK 0
TAKE-TWO INTERACTIVE COMMON 874054100 $2,266,706 204,900 SH
STOCK
THINK NEW IDEAS INC COMMON 884094103 $702,188 105,000 SH
STOCK
THREE D O COMMON 88553W105 $1,257,813 125,000 SH
STOCK
TRANSACT TECHNOLOGIES COMMON 892918103 $796,875 150,000 SH
STOCK
TREX COMPANY COMMON 89531P105 $2,310,938 87,000 SH
STOCK
TRIMERIS COMMON 896263100 $834,375 50,000 SH
STOCK
TUMBLEWEED COMMON 899690101 $1,872,500 70,000 SH
STOCK
UNIVERSAL STD COMMON 913839106 $8,000 400,000 SH
HEALTHCARE STOCK
UROGEN COMMON 917271900 $105,000 375,000 SH
STOCK
VIISAGE COMMON 92675K106 $177,000 88,500 SH
STOCK
VISION TWENTY-ONE INC COMMON 92831N101 $1,912,500 300,000 SH
STOCK
WPI GROUP INC COMMON 92930K107 $1,056,300 352,100 SH
STOCK
WATERLINK COMMON 94155N105 $470,400 179,200 SH
STOCK
WELCOME HOME COMMON 949116107 $0 81,768 SH
STOCK
WEST COAST COMMON 952182100 $193,725 717,500 SH
ENTERTAINMENT STOCK
WILLIAMS CONTROLS COMMON 969465103 $1,234,375 500,000 SH
STOCK
WOMEN'S FIRST COMMON 978150100 $1,412,500 200,000 SH
HEALTHCARE STOCK
XICOR COMMON 984903104 $201,375 36,000 SH
STOCK
YESMAIL.COM COMMON 98583Q101 $429,250 40,400 SH
STOCK
ZEBRA TECHNOLOGIES COMMON 989207105 $3,710,250 81,600 SH
STOCK
ZIPLINK COMMON 989741103 $1,050,000 100,000 SH
STOCK
ZYMETX COMMON 989859103 $495,000 220,000 SH
STOCK
REPORT TOTALS 159 ITEMS $235,115,43
3
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