UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March31,
2000
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. 4/27/00
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: 163
Form 13F Information Table Value Total: $414,989,415
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FORM 13F
INFORMATION
TABLE
COMPANY TITLE OF CLASS CUSIP VALUE SHARES SH/PRN
ACSYS INC COMMON STOCK 00087X103 $401,250 107,000 SH
ABIOMED COMMON STOCK 003654100 $7,492,500 185,000 SH
ACCENT COLOR SCIENCES COMMON STOCK 004305108 $64,800 80,000 SH
ACCESS WORLDWIDE COMMON STOCK 004319109 $524,063 215,000 SH
ADAPTIVE BROADBAND COMMON STOCK 00650M104 $5,350,000 100,000 SH
ADVANCED DIGITAL INFO COMMON STOCK 007525108 $23,975,000 700,000 SH
ALLIANCE PHARMACEUTICAL COMMON STOCK 018773101 $1,045,625 70,000 SH
AMERICA SERVICE GROUP COMMON STOCK 02364L109 $2,274,000 151,600 SH
AMERICAN COIN MERCH INC COMMON STOCK 02516B108 $806,609 271,700 SH
ANIKA THERAPEUTICS INC COMMON STOCK 035255108 $881,250 100,000 SH
ANSWER THINK COMMON STOCK 036916104 $2,061,303 84,350 SH
APPLIED SCI & TECH COMMON STOCK 038236105 $1,276,550 42,200 SH
AQUILA COMMON STOCK 03839F107 $188,852 32,145 SH
BIOPHARMACEUTICALS
ARRYTHMEA RESEARCH COMMON STOCK 042698308 $273,250 109,300 SH
ASANTE TECHNOLOGIES COMMON STOCK 043412105 $986,813 415,500 SH
@PLAN COMMON STOCK 04962Q100 $1,068,375 129,500 SH
AUSPEX COMMON STOCK 052116100 $2,365,000 215,000 SH
AVIATION SALES COMPANY COMMON STOCK 053672101 $725,156 110,500 SH
BIG BUCK BREWERY WARRANTS 089072110 $25,000 200,000 SH
Warrants
BIOJECT INC COMMON STOCK 09059T107 $543,000 48,000 SH
BLUE WAVE SYSTEMS COMMON STOCK 096081104 $2,880,000 180,000 SH
CALYPTE BIOMEDICAL COMMON STOCK 131722100 $1,749,914 568,500 SH
CAMBIO COMMON STOCK 13200N100 $207,533 221,250 SH
CARDIAC SCIENCES INC COMMON STOCK 141410209 $427,945 62,813 SH
CASTLE DENTAL COMMON STOCK 14844P105 $1,123,500 449,400 SH
CENTRAL EUROPEAN DISTRIB COMMON STOCK 153435102 $929,875 173,000 SH
CERPLEX GROUP COMMON STOCK 156913501 $31,331 55,650 SH
CHICOS COMMON STOCK 168615102 $2,712,500 160,000 SH
COLLECTORS UNIVERSE COMMON STOCK 19421R101 $2,600,000 400,000 SH
COLORADO MEDTECH COMMON STOCK 19652U104 $2,756,250 350,000 SH
COULTER PHARMACEUTICALS COMMON STOCK 222116105 $2,440,000 80,000 SH
CRITICAL PATH COMMON STOCK 22674V100 $10,442,420 122,852 SH
CYBEX COMPUTER PRODUCTS COMMON STOCK 235522102 $13,827,188 367,500 SH
DIGIMARC COMMON STOCK 253807101 $880,000 20,000 SH
DIGITAL LAVA COMMON STOCK 253928105 $3,025,625 235,000 SH
DIGITAL LAVA WARRANTS WARRANTS 253928113 $230,000 40,000 SH
DOT HILL COMMON STOCK 25848T109 $1,112,500 89,000 SH
DYNAMEX COMMON STOCK 26784F103 $656,250 300,000 SH
EA ENGR SCIENCE & TECH COMMON STOCK 267911105 $268,594 238,750 SH
DYNAMIC HEALTHCARE TECH COMMON STOCK 267927101 $701,250 340,000 SH
ECCS COMMON STOCK 26825H100 $3,081,250 212,500 SH
EON COMMUNICATIONS COMMON STOCK 268763109 $1,468,750 100,000 SH
EPL TECHNOLOGIES COMMON STOCK 268920204 $1,181,250 450,000 SH
EATERIES INC COMMON STOCK 277851101 $552,500 170,000 SH
ECO SOIL SYSTEMS COMMON STOCK 278858100 $629,375 190,000 SH
EDGAR ONLINE COMMON STOCK 279765101 $2,925,000 300,000 SH
ENDOCARE COMMON STOCK 29264P104 $7,171,875 375,000 SH
ENOCARDIAL SOLUTIONS COMMON STOCK 292962107 $991,406 107,179 SH
ENTREMED COMMON STOCK 29382F103 $5,332,500 90,000 SH
EVANS & SUTHERLAND COMMON STOCK 299096107 $418,838 37,230 SH
COMPUTER
FASHIONMALL.COM COMMON STOCK 31186K106 $1,087,500 300,000 SH
FASTNET CORP COMMON STOCK 311877104 $4,243,750 350,000 SH
FLANDERS CORP COMMON STOCK 338494107 $843,750 225,000 SH
FOURTH SHIFT CORP COMMON STOCK 351128103 $4,604,375 695,000 SH
FRIES ENTMT INC DEL COMMON STOCK 358616100 $0 304,600 SH
GSE SYSTEMS COMMON STOCK 36227K106 $2,428,725 366,600 SH
GSI LUMONICS COMMON STOCK 36229U102 $3,883,950 226,800 SH
GAIAM COMMON STOCK 36268Q103 $1,312,500 75,000 SH
GENELABS TECHNOLOGIES COMMON STOCK 368706107 $4,166,663 673,400 SH
GENOME THERAPEUTICS COMMON STOCK 372430108 $5,183,750 220,000 SH
GENSTAR PHARMACEUTICALS COMMON STOCK 37248D105 $3,375,000 375,000 SH
GERALD STEVENS INC COMMON STOCK 37369G101 $1,708,000 213,500 SH
GREEN MOUNTAIN COFFEE COMMON STOCK 393122106 $3,187,500 250,000 SH
HARRIS INTERACTIVE COMMON STOCK 414549105 $1,137,500 175,000 SH
HAWAII LAND & FARMING COMMON STOCK 41975N104 $28,125 112,500 SH
HORIZON HEALTH CORP COMMON STOCK 44041Y100 $1,187,725 215,950 SH
HOTELWORKS.COM COMMON STOCK 441473105 $1,162,500 600,000 SH
ICN PHARMACEUTICALS INC COMMON STOCK 448924100 $9,346,750 343,000 SH
ICU MEDICAL COMMON STOCK 44930G107 $1,620,000 90,000 SH
ITI TECHNOLOGIES COMMON STOCK 450564109 $2,082,500 70,000 SH
INFINIUM SOFTWARE COMMON STOCK 45662Y109 $1,675,781 325,000 SH
INFONAUTICS COMMON STOCK 456662105 $995,940 120,720 SH
INFORMATION RECOURCE ENG COMMON STOCK 45675F303 $2,555,625 70,500 SH
INTEGRAMED COMMON STOCK 45810N104 $503,125 175,000 SH
INTERLEUKEN GENETICS COMMON STOCK 458738101 $9,056,250 900,000 SH
INTERNATIONAL ISOTOPES COMMON STOCK 45972C102 $1,275,125 202,000 SH
INVESTMENT TECH GROUP COMMON STOCK 46145F105 $7,191,000 204,000 SH
INVIVO COMMON STOCK 461858102 $1,800,000 150,000 SH
KENDLE INTERNATIONAL COMMON STOCK 48880L107 $1,576,875 145,000 SH
KENSEY NASH COMMON STOCK 490057106 $2,202,813 133,000 SH
KOALA CORP COMMON STOCK 499866101 $2,662,500 200,000 SH
KOS PHARMACEUTICALS COMMON STOCK 500648100 $2,422,500 170,000 SH
LMI AEROSPACE COMMON STOCK 502079106 $445,000 160,000 SH
LANDMARK SYSTEMS CORP COMMON STOCK 51506S100 $1,000,000 200,000 SH
LEVEL 8 SYSTEMS COMMON STOCK 52729M102 $2,337,500 50,000 SH
LODGENET ENTERTAINMENT COMMON STOCK 540211109 $4,333,500 216,000 SH
LOG ON AMERICA COMMON STOCK 540473105 $741,375 65,900 SH
MACKIE DESIGNS COMMON STOCK 554541102 $395,250 62,000 SH
MADE2MANAGE SYSTEMS INC COMMON STOCK 556466100 $1,638,750 190,000 SH
MCK COMMUNICATIONS COMMON STOCK 581243102 $4,007,138 83,700 SH
MEDAREX COMMON STOCK 583916101 $6,306,375 125,500 SH
MED DESIGN COMMON STOCK 583926100 $8,125,000 500,000 SH
MEDSTONE INTERNATIONAL COMMON STOCK 58505C101 $2,777,500 440,000 SH
METROCALL COMMON STOCK 591647102 $3,100,000 310,000 SH
METROLOGIC COMMON STOCK 591676101 $1,155,000 70,000 SH
MICROLOG COMMON STOCK 595079104 $746,000 373,000 SH
MIKHON GAMING CORP COMMON STOCK 59862K108 $3,842,500 530,000 SH
MUSICMAKER.COM COMMON STOCK 62757C108 $875,000 200,000 SH
NMT MEDICAL COMMON STOCK 629294109 $977,781 233,500 SH
NEOPROBE COMMON STOCK 640518106 $877,084 668,000 SH
NEORX COMMON STOCK 640520300 $7,191,000 376,000 SH
NET CREATIONS COMMON STOCK 64110N102 $369,750 8,700 SH
NETGATEWAY COMMON STOCK 641111109 $2,775,000 300,000 SH
NX NETWORKS COMMON STOCK 641148101 $1,715,938 85,000 SH
NETRADIO.COM COMMON STOCK 64114E108 $266,875 61,000 SH
NETZEE COMMON STOCK 64122W108 $401,625 27,000 SH
NEUROBIOLOGICAL TECH COMMON STOCK 64124W106 $1,110,000 185,000 SH
NEXTHEALTH INC COMMON STOCK 65333G105 $606,250 200,000 SH
NORTHSTAR HEALTH SVCS COMMON STOCK 666903109 $218,800 200,000 SH
NOVEN PHARMACEUTICAL COMMON STOCK 670009109 $1,093,750 100,000 SH
OSI SYSTEMS COMMON STOCK 671044105 $1,917,500 130,000 SH
ONSITE ENERGY COMMON STOCK 68284P108 $10,800 40,000 SH
OPTIMAL ROBOTICS COMMON STOCK 68388R208 $10,105,000 215,000 SH
OPTIKA IMAGING SYSTEMS COMMON STOCK 683973101 $8,386,000 299,500 SH
ORGANOGENESIS COMMON STOCK 685906109 $3,646,494 302,300 SH
PARTSBASE.COM COMMON STOCK 70214P109 $1,862,500 200,000 SH
PHYSIOMETRIX INC COMMON STOCK 718928104 $5,580,000 310,000 SH
PHOTOELECTRON COMMON STOCK 719320103 $308,000 88,000 SH
PIERCING PAGODA COMMON STOCK 720773103 $4,012,500 300,000 SH
PLAY BY PLAY TOYS COMMON STOCK 72811K103 $155,000 80,000 SH
PRINTRAK COMMON STOCK 742574106 $2,600,000 200,000 SH
PROGRAMMER'S PARADISE COMMON STOCK 743205106 $1,104,375 190,000 SH
QUADRAMED COMMON STOCK 74730W101 $1,078,125 187,500 SH
QUEPASA.COM COMMON STOCK 74833W107 $1,755,000 260,000 SH
QUEST EDUCATION CORP COMMON STOCK 74835F102 $3,450,000 400,000 SH
QUICKSILVER INC COMMON STOCK 74838C106 $5,700,788 324,600 SH
RADIANT SYSTEMS COMMON STOCK 75025N102 $7,922,250 126,000 SH
RAINBOW RENTALS COMMON STOCK 750857104 $4,437,500 500,000 SH
RAYTEL MEDICAL COMMON STOCK 755107109 $1,350,000 432,000 SH
RIDELL SPORTS INC COMMON STOCK 765670104 $382,500 127,500 SH
ROCKY SHOES & BOOTS INC COMMON STOCK 774830103 $487,500 100,000 SH
SCB COMPUTER SYSTEMS INC COMMON STOCK 78388N107 $862,500 300,000 SH
SEEC INC COMMON STOCK 784110108 $4,187,500 335,000 SH
SOS STAFFING SERVICES COMMON STOCK 78462X104 $1,635,219 368,500 SH
SAFETY COMPONENTS INT'L COMMON STOCK 786474106 $58,500 97,500 SH
SATCON TECHNOLOGY COMMON STOCK 803893106 $3,440,250 132,000 SH
SECURE COMPUTING INC COMMON STOCK 813705100 $1,723,800 101,400 SH
SEMX CORP COMMON STOCK 816854103 $945,000 90,000 SH
SIGA TECHNOLOGIES COMMON STOCK 826917106 $1,620,000 270,000 SH
STRATESEC COMMON STOCK 862792108 $447,969 117,500 SH
SURMODICS COMMON STOCK 868873100 $2,750,000 100,000 SH
SYNBIOTICS CORP COMMON STOCK 871566105 $910,000 260,000 SH
SYSTEMS & COMPUTER TECHN COMMON STOCK 871873105 $31,229,000 1,336,000 SH
TAKE-TWO INTERACTIVE COMMON STOCK 874054109 $1,987,500 150,000 SH
THREE D O COMMON STOCK 88553W105 $1,210,938 125,000 SH
TRANSACT TECHNOLOGIES COMMON STOCK 892918103 $1,359,375 150,000 SH
TREX COMPANY COMMON STOCK 89531P105 $3,327,750 87,000 SH
TRIMERIS COMMON STOCK 896263100 $2,496,875 50,000 SH
TRUE TIME COMMON STOCK 897868105 $676,425 93,300 SH
UNIVERSAL STD HEALTHCARE COMMON STOCK 913839106 $44,000 400,000 SH
INC
VIISAGE COMMON STOCK 92675K106 $591,844 88,500 SH
VISION TWENTY-ONE INC COMMON STOCK 92831N101 $450,000 300,000 SH
WPI GROUP INC COMMON STOCK 92930K107 $594,345 352,100 SH
WATERLINK COMMON STOCK 94155N105 $1,386,550 504,200 SH
WELCOME HOME COMMON STOCK 949116206 $191,321 109,326 SH
WEST COAST ENTERTAINMENT COMMON STOCK 952182103 $215,250 717,500 SH
WILLIAMS CONTROLS COMMON STOCK 969465103 $1,072,275 504,600 SH
WOMEN'S FIRST HEALTHCARE COMMON STOCK 978150100 $1,045,000 220,000 SH
WORLDQUEST NETWORKS COMMON STOCK 98156W105 $3,712,500 150,000 SH
XCARE.NET COMMON STOCK 98388Y101 $1,437,500 100,000 SH
ZEBRA TECHNOLOGIES COMMON STOCK 989207105 $4,080,000 81,600 SH
ZIPLINK COMMON STOCK 989741103 $1,435,500 95,700 SH
ZYMETX COMMON STOCK 989859103 $591,250 220,000 SH
REPORT TOTALS 163 ITEMS $414,989,415
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