UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended:
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. 5/25/99
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: 149
Form 13F Information Table Value Total: $214,348,687
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FORM 13F
INFORMATION
TABLE
NAME OF ISSUER TITLE OF CUSIP VALUE SHARES SH/P
CLASS RN
ACSYS INC COMMON STOCK 00087X- $304,000 76,000 SH
103
ABIOMED COMMON STOCK 003654- $2,500,000 200,000 SH
100
ACCENT COLOR SCIENCES COMMON STOCK 004305- $20,000 80,000 SH
108
ACCESS WORLDWIDE COMMON STOCK 004319- $1,627,500 210,000 SH
109
ADVANCED DIGITAL INFO COMMON STOCK 007525- $3,312,500 200,000 SH
108
ALLIANCE COMMON STOCK 018773- $192,500 70,000 SH
PHARMACEUTICAL 101
AMERICA SERVICE GROUP COMMON STOCK 02364L- $1,781,300 151,600 SH
109
AMERICAN COIN MERCH COMMON STOCK 02516B- $1,086,800 271,700 SH
INC 108
ANIKA THERAPEUTICS COMMON STOCK 035255- $525,000 100,000 SH
INC 108
APPLIED SCI & TECH COMMON STOCK 038236- $879,375 70,000 SH
105
AQUILA COMMON STOCK 03839F- $66,299 32,145 SH
BIOPHARMACEUTICALS 107
ARRYTHMEA RESEARCH COMMON STOCK 042698- $138,300 138,300 SH
308
ARTECON COMMON STOCK 043003- $185,000 185,000 SH
102
ASANTE TECHNOLOGIES COMMON STOCK 043412- $389,531 415,500 SH
105
AUSPEX COMMON STOCK 052116- $2,297,813 215,000 SH
100
AUTOIMMUNE INC COMMON STOCK 052776- $787,500 350,000 SH
101
AVIATION SALES COMMON STOCK 053672- $4,450,000 100,000 SH
COMPANY 101
BACK BAY RESTAURANTS COMMON STOCK 05635V- $1,924,763 190,100 SH
103
BEST SOFTWARE COMMON STOCK 086579- $2,227,500 165,000 SH
109
BIG BUCK BREWERY WARRANTS 089072- $25,000 200,000 SH
110
BIOJECT INC COMMON STOCK 09059T- $150,000 240,000 SH
107
BLONDER TONGUE COMMON STOCK 093698- $1,188,000 237,600 SH
108
CALCOMP TECHNOLOGY COMMON STOCK 128701- $7,980 228,000 SH
109
CALYPTE BIOMEDICAL COMMON STOCK 131722- $1,656,875 602,500 SH
100
CAMBIO COMMON STOCK 13200N- $41,595 221,250 SH
100
CARDIAC SCIENCES INC COMMON STOCK 141410- $71,532 32,813 SH
209
CASTLE DENTAL COMMON STOCK 14844P- $1,959,438 293,000 SH
105
CENTRAL EUROPEAN COMMON STOCK 153435- $1,288,000 184,000 SH
DISTRIB 102
CERPLEX GROUP COMMON STOCK 156913- $29,550 55,650 SH
501
CHICOS COMMON STOCK 168615- $3,117,500 145,000 SH
102
COLORADO MEDTECH COMMON STOCK 19652U- $3,893,750 350,000 SH
104
CREE RESEARCH COMMON STOCK 225447- $4,693,750 100,000 SH
101
CYBEX COMPUTER COMMON STOCK 235522- $5,953,008 331,875 SH
PRODUCTS 102
DIGITAL LAVA COMMON STOCK 253928- $2,563,875 227,900 SH
105
DIGITAL LAVA WARRANTS COMMON STOCK 253928- $258,750 60,000 SH
113
DUNN COMPUTER COMMON STOCK 265771- $61,625 29,000 SH
105
DYNAMEX COMMON STOCK 26784F- $712,500 300,000 SH
103
EA ENGR SCIENCE & COMMON STOCK 267911- $268,594 238,750 SH
TECH 105
DYNAMIC HEALTHCARE COMMON STOCK 267927- $440,000 220,000 SH
TECH 101
EPL TECHNOLOGIES COMMON STOCK 268920- $1,046,875 250,000 SH
204
EATERIES INC COMMON STOCK 277851- $637,500 170,000 SH
100
ECO SOIL SYSTEMS COMMON STOCK 278858- $1,040,625 150,000 SH
105
ENDOCARE COMMON STOCK 29264P- $1,429,688 375,000 SH
104
ENOCARDIAL SOLUTIONS COMMON STOCK 292962- $1,264,500 140,500 SH
107
ENTREMED COMMON STOCK 29382F- $2,112,500 100,000 SH
103
EVANS & SUTHERLAND COMMON STOCK 299096- $446,760 37,230 SH
COMP 107
FLANDERS CORP COMMON STOCK 338494- $576,563 225,000 SH
107
FOURTH SHIFT CORP COMMON STOCK 351128- $3,735,625 695,000 SH
103
FRIES ENTMT INC DEL COMMON STOCK 358616- $0 304,600 SH
100
GSE SYSTEMS COMMON STOCK 36227K- $1,595,125 364,600 SH
106
GENELABS TECHNOLOGIES COMMON STOCK 368706- $1,367,844 673,400 SH
107
GSI LUMONICS COMMON STOCK 36229U- $1,245,975 269,400 SH
102
GENOME THERAPEUTICS COMMON STOCK 372430- $687,500 220,000 SH
108
GREEN MOUNTAIN COFFEE COMMON STOCK 393122- $1,593,750 250,000 SH
106
HAPPY KIDS COMMON STOCK 411391- $2,000,000 200,000 SH
105
HASKEL INTERNATIONAL COMMON STOCK 418106- $1,485,000 120,000 SH
100
HAWAII LAND & FARMING COMMON STOCK 41975N- $42,188 112,500 SH
104
HEALTHWORLD COMMON STOCK 42222E- $1,350,000 100,000 SH
103
HORIZON HEALTH CORP COMMON STOCK 44041Y- $1,430,669 215,950 SH
100
HOSPITALITY WW COMMON STOCK 44106N- $1,403,500 561,400 SH
SERVICES 104
ICN PHARMACEUTICALS COMMON STOCK 448924- $8,668,125 345,000 SH
INC 100
ICU MEDICAL COMMON STOCK 44930G- $1,462,500 90,000 SH
107
ITI TECHNOLOGIES COMMON STOCK 450564- $2,100,000 70,000 SH
109
IMALL INC COMMON STOCK 45244X- $3,023,438 187,500 SH
306
INFINIUM SOFTWARE COMMON STOCK 45662Y- $1,462,500 325,000 SH
100
INFONAUTICS COMMON STOCK 456662- $319,688 82,500 SH
105
INFORMATION RECOURCE COMMON STOCK 45675F- $1,101,563 70,500 SH
ENG 303
INTEGRAMED COMMON STOCK 45810N- $525,000 175,000 SH
104
INTERLINK COMMON STOCK 458747- $2,385,000 360,000 SH
102
INTERFERON SCIENCES COMMON STOCK 458903- $87,500 100,000 SH
100
INTERNATIONAL COMMON STOCK 45972C- $1,868,500 202,000 SH
ISOTOPES 102
INVESTMENT TECH GROUP COMMON STOCK 461450- $7,333,375 144,500 SH
108
INVIVO COMMON STOCK 461858- $1,755,000 130,000 SH
102
IRWIN NATURALS COMMON STOCK 464142- $1,632,813 475,000 SH
108
ISOCOR COMMON STOCK 464902- $1,931,250 300,000 SH
105
KENDLE INTERNATIONAL COMMON STOCK 48880L- $1,408,750 70,000 SH
107
KENSEY NASH COMMON STOCK 490057- $1,047,375 133,000 SH
106
KOALA CORP COMMON STOCK 499866- $2,075,000 100,000 SH
101
KOS PHARMACEUTICALS COMMON STOCK 500648- $935,000 170,000 SH
100
LMI AEROSPACE COMMON STOCK 502079- $920,000 160,000 SH
106
LANDMARK SYSTEMS CORP COMMON STOCK 51506S- $2,718,750 300,000 SH
100
LEVEL 8 SYSTEMS COMMON STOCK 52729M- $913,500 116,000 SH
102
LINCOLN SNACKS COMMON STOCK 534744- $212,500 200,000 SH
COMPANY 107
LODGENET COMMON STOCK 540211- $1,171,406 178,500 SH
ENTERTAINMENT 109
MACKIE DESIGNS COMMON STOCK 554541- $310,000 62,000 SH
102
MADE2MANAGE SYSTEMS COMMON STOCK 556466- $1,780,625 203,500 SH
INC 100
MEDAREX COMMON STOCK 583916- $956,250 300,000 SH
101
MED DESIGN COMMON STOCK 583926- $1,750,000 500,000 SH
100
MEDSTONE COMMON STOCK 58505C- $3,025,000 440,000 SH
INTERNATIONAL 101
MERIDIAN NAT'L COMMON COMMON STOCK 589774- $16,800 120,000 SH
405
METROCALL COMMON STOCK 591647- $606,250 200,000 SH
102
METROLOGIC COMMON STOCK 591676- $945,000 70,000 SH
101
MICROLOG COMMON STOCK 595079- $338,031 373,000 SH
104
MIKHON GAMING CORP COMMON STOCK 59862K- $1,590,000 530,000 SH
108
MOSAIX INC COMMON STOCK 619454- $2,244,500 268,000 SH
100
NEOPROBE COMMON STOCK 640518- $688,875 668,000 SH
106
NEORX COMMON STOCK 640520- $589,531 385,000 SH
300
NETRIX COMMON STOCK 641148- $268,750 100,000 SH
101
NEUROBIOLOGICAL TECH COMMON STOCK 64124W- $92,500 185,000 SH
106
NEXTHEALTH INC COMMON STOCK 65333G- $98,438 90,000 SH
105
NITINOL MEDICAL COMMON STOCK 65476T- $919,406 233,500 SH
104
NORTHSTAR HEALTH SVCS COMMON STOCK 666903- $125,000 200,000 SH
109
OSI SYSTEMS COMMON STOCK 671044- $674,375 130,000 SH
105
ONSITE ENERGY COMMON STOCK 68284P- $25,000 40,000 SH
108
OPTIKA IMAGING COMMON STOCK 683973- $1,167,469 296,500 SH
SYSTEMS 101
PHYSIOMETRIX INC COMMON STOCK 718928- $331,250 265,000 SH
104
PHYSICIANS SPECIALTY COMMON STOCK 718934- $1,616,625 239,500 SH
102
PHOTOELECTRON COMMON STOCK 719320- $206,719 67,500 SH
103
PIERCING PAGODA COMMON STOCK 720773- $2,681,250 300,000 SH
103
PLAY BY PLAY TOYS COMMON STOCK 72811K- $750,000 120,000 SH
103
PRINTRAK COMMON STOCK 742574- $1,368,800 188,800 SH
106
PROGRAMMER'S PARADISE COMMON STOCK 743205- $2,303,750 190,000 SH
106
QLOGIC COMMON STOCK 747277- $4,698,750 70,000 SH
101
QUADRAMED COMMON STOCK 74730W- $533,750 70,000 SH
101
QUEST EDUCATION CORP COMMON STOCK 74835F- $3,536,850 387,600 SH
102
QUICKSILVER INC COMMON STOCK 74838C- $9,911,850 234,600 SH
106
RADIANT SYSTEMS COMMON STOCK 75025N- $1,235,000 130,000 SH
102
RAINBOW RENTALS COMMON STOCK 750857- $2,000,000 200,000 SH
104
RAYTEL MEDICAL COMMON STOCK 755107- $1,699,500 412,000 SH
109
RIDELL SPORTS INC COMMON STOCK 765670- $462,188 127,500 SH
104
ROCKY SHOES & BOOTS COMMON STOCK 774830- $568,750 100,000 SH
INC 103
SCB COMPUTER SYSTEMS COMMON STOCK 78388N- $1,368,750 300,000 SH
INC 107
SECURE COMPUTING INC COMMON STOCK 813705- $1,890,000 180,000 SH
100
SEEC INC COMMON STOCK 784110- $984,375 250,000 SH
108
SOS STAFFING SERVICES COMMON STOCK 78462X- $2,411,719 315,000 SH
104
SAFETY COMPONENTS COMMON STOCK 786474- $840,938 97,500 SH
INT'L 106
SATCON TECHNOLOGY COMMON STOCK 803893- $666,563 135,000 SH
106
SCANSOURCE COMMON STOCK 806037- $715,000 40,000 SH
107
SEMX CORP COMMON STOCK 816854- $146,250 90,000 SH
103
SIGA PHARMACEUTICAL COMMON STOCK 826917- $337,500 300,000 SH
106
STRATESEC COMMON STOCK 862792- $80,781 117,500 SH
108
SURMODICS COMMON STOCK 868873- $2,100,000 150,000 SH
100
SYNBIOTICS CORP COMMON STOCK 871566- $910,000 260,000 SH
105
SYSTEMS & COMPUTER COMMON STOCK 871873- $13,360,00 1,336,0 SH
TECHN 105 0 00
THINK NEW IDEAS INC COMMON STOCK 884094- $1,640,625 105,000 SH
103
TRANSACT TECHNOLOGIES COMMON STOCK 892918- $431,250 150,000 SH
103
U.S. HOMECARE CORP COMMON STOCK 911819- $1,720 215,000 SH
100
UNIVERSAL STD COMMON STOCK 913839- $100,000 400,000 SH
HEALTHCARE 106
UROGEN COMMON STOCK 917271- $123,750 375,000 SH
108
VIISAGE COMMON STOCK 92675K- $94,031 88,500 SH
106
VISION TWENTY-ONE INC COMMON STOCK 92831N- $1,125,000 300,000 SH
101
WPI GROUP INC COMMON STOCK 92930K- $1,210,344 352,100 SH
107
WATERLINK COMMON STOCK 94155N- $680,000 160,000 SH
105
WELCOME HOME COMMON STOCK 949116- $56,480 353,000 SH
107
WEST COAST COMMON STOCK 952182- $269,063 717,500 SH
ENTERTAINMENT 100
WILLIAMS CONTROLS COMMON STOCK 969465- $1,127,500 440,000 SH
103
XICOR COMMON STOCK 984903- $300,000 200,000 SH
104
ZEBRA TECHNOLOGIES COMMON STOCK 989207- $2,137,500 90,000 SH
105
ZYMETX COMMON STOCK 989859- $495,000 220,000 SH
103
REPORT TOTALS 149 ITEMS $214,348,6
87
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