UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: Dec 29,
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. 1/16/01
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: 157
Form 13F Information Table Value Total: $266,762,026
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FORM 13F
INFORMATION
TABLE
COMPANY TITLE OF CLASS CUSIP Mkt Value SHARES SH/PRN
ABIOMED COMMON STOCK 003654100 $8,972,500 370,000 SH
ACCENT COLOR SCIENCES COMMON STOCK 004305108 $3,360 80,000 SH
ACCESS WORLDWIDE COMMON STOCK 004319109 $156,250 250,000 SH
ADAPTIVE BROADBAND COMMON STOCK 00650M104 $460,600 75,200 SH
ADVANCED DIGITAL INFO COMMON STOCK 007525108 $16,100,000 700,000 SH
ALLIANCE PHARMACEUTICAL COMMON STOCK 018773101 $603,750 70,000 SH
AMERICA SERVICE GROUP COMMON STOCK 02364L109 $5,200,000 200,000 SH
AMERICAN COIN MERCH INC COMMON STOCK 02516B108 $684,250 273,700 SH
ANIKA THERAPEUTICS INC COMMON STOCK 035255108 $78,125 100,000 SH
ANSWERTHINK INC COMMON STOCK 036916104 $305,769 84,350 SH
ANTIGENICS INC COMMON STOCK 037032109 $845,341 76,415 SH
APPLIED SCI & TECH COMMON STOCK 038236105 $506,400 42,200 SH
ARRYTHMEA RESEARCH COMMON STOCK 042698308 $177,613 109,300 SH
ASANTE TECHNOLOGIES COMMON STOCK 043412105 $243,000 450,000 SH
@PLAN COMMON STOCK 04962Q100 $2,363,750 310,000 SH
AUSPEX COMMON STOCK 052116100 $1,505,000 215,000 SH
AVIATION SALES COMPANY COMMON STOCK 053672101 $276,250 110,500 SH
AVOCENT COMMON STOCK 053893103 $9,045,000 335,000 SH
BIOJECT INC COMMON STOCK 09059T107 $1,629,250 266,000 SH
BLUE WAVE SYSTEMS COMMON STOCK 096081104 $2,393,438 555,000 SH
CALYPTE BIOMEDICAL COMMON STOCK 131722100 $804,523 768,500 SH
CARDIAC SCIENCES INC COMMON STOCK 141410209 $266,955 62,813 SH
CASTLE DENTAL COMMON STOCK 14844P105 $133,416 449,400 SH
CENTRAL EUROPEAN DISTRIB COMMON STOCK 153435102 $346,000 173,000 SH
CHICOS COMMON STOCK 168615102 $3,152,125 151,000 SH
COLLECTORS UNIVERSE COMMON STOCK 19421R101 $1,110,156 725,000 SH
COLORADO MEDTECH COMMON STOCK 19652U104 $1,211,250 380,000 SH
CORIXA CORP COMMON STOCK 21887F100 $2,068,938 74,222 SH
CRITICAL PATH COMMON STOCK 22674V100 $3,690,000 120,000 SH
DIGIMARC COMMON STOCK 253807101 $1,138,500 69,000 SH
DIGITAL LAVA COMMON STOCK 253928105 $776,875 226,000 SH
DIGITAL LAVA WARRANTS WARRANTS 253928113 $20,700 27,600 SH
DOT HILL COMMON STOCK 25848T109 $271,250 70,000 SH
DYNAMEX COMMON STOCK 26784F103 $487,500 300,000 SH
EA ENGR SCIENCE & TECH COMMON STOCK 267911105 $268,594 238,750 SH
DYNAMIC HEALTHCARE TECH COMMON STOCK 267927101 $191,250 340,000 SH
ECCS COMMON STOCK 26825H100 $62,500 200,000 SH
EON COMMUNICATIONS COMMON STOCK 268763109 $217,194 182,900 SH
EPL TECHNOLOGIES COMMON STOCK 268920204 $225,000 450,000 SH
EATERIES INC COMMON STOCK 277851101 $425,000 170,000 SH
ECO SOIL SYSTEMS COMMON STOCK 278858105 $154,375 190,000 SH
EDGAR ONLINE COMMON STOCK 279765101 $1,056,656 663,000 SH
ENDOCARE COMMON STOCK 29264P104 $4,598,925 360,700 SH
ENOCARDIAL SOLUTIONS COMMON STOCK 292962107 $328,236 107,179 SH
EPOCH BIOSCIENCES COMMON STOCK 294273107 $4,200,000 640,000 SH
EVANS & SUTHERLAND COMP COMMON STOCK 299096107 $3,100,000 400,000 SH
FASHIONMALL.COM COMMON STOCK 31186K106 $1,237,500 300,000 SH
FASTNET CORP COMMON STOCK 311877104 $175,000 350,000 SH
FLANDERS CORP COMMON STOCK 338494107 $494,175 239,600 SH
FOURTH SHIFT CORP COMMON STOCK 351128103 $868,750 695,000 SH
GSE SYSTEMS COMMON STOCK 36227K106 $504,075 366,600 SH
GSI LUMONICS COMMON STOCK 36229U102 $1,680,000 210,000 SH
GAIAM COMMON STOCK 36268Q103 $995,719 64,500 SH
GENELABS TECHNOLOGIES COMMON STOCK 368706107 $2,756,731 673,400 SH
GENOME THERAPEUTICS COMMON STOCK 372430108 $1,533,125 220,000 SH
GENSTAR PHARMACEUTICALS COMMON STOCK 37248D105 $3,656,250 375,000 SH
GERALD STEVENS INC COMMON STOCK 37369G200 $77,648 92,000 SH
GREEN MOUNTAIN COFFEE COMMON STOCK 393122106 $2,750,000 55,000 SH
HARRIS INTERACTIVE COMMON STOCK 414549105 $1,014,063 275,000 SH
HORIZON HEALTH CORP COMMON STOCK 44041Y104 $1,322,694 215,950 SH
HOTELWORKS.COM COMMON STOCK 441473105 $300,000 800,000 SH
ICN PHARMACEUTICALS INC COMMON STOCK 448924100 $10,525,813 343,000 SH
ICU MEDICAL COMMON STOCK 44930G107 $2,711,250 90,000 SH
INFINIUM SOFTWARE COMMON STOCK 45662Y109 $507,813 325,000 SH
INFONAUTICS COMMON STOCK 456662105 $86,768 120,720 SH
INTEGRAMED COMMON STOCK 45810N104 $328,125 175,000 SH
INTERLEUKEN GENETICS COMMON STOCK 458738101 $4,911,938 1,541,000 SH
INTERLOGIX INC COMMON STOCK 458763109 $604,491 32,026 SH
INTERNATIONAL ISOTOPES COMMON STOCK 45972C102 $31,563 202,000 SH
INVESTMENT TECH GROUP COMMON STOCK 46145F105 $8,517,000 204,000 SH
INVIVO COMMON STOCK 461858102 $2,831,250 300,000 SH
KENDLE INTERNATIONAL COMMON STOCK 48880L107 $1,440,938 145,000 SH
KENSEY NASH COMMON STOCK 490057106 $3,037,500 300,000 SH
KOALA CORP COMMON STOCK 499866101 $2,125,000 250,000 SH
KOS PHARMACEUTICALS COMMON STOCK 500648100 $2,996,250 170,000 SH
LMI AEROSPACE COMMON STOCK 502079106 $350,000 160,000 SH
LANDMARK SYSTEMS CORP COMMON STOCK 51506S100 $512,500 200,000 SH
LEVEL 8 SYSTEMS COMMON STOCK 52729M102 $304,688 50,000 SH
LIVE PERSON.COM COMMON STOCK 538146101 $425,000 400,000 SH
LODGENET ENTERTAINMENT COMMON STOCK 540211109 $5,569,500 316,000 SH
LOG ON AMERICA COMMON STOCK 540473105 $20,594 65,900 SH
MACKIE DESIGNS COMMON STOCK 554541102 $488,250 93,000 SH
MADE2MANAGE SYSTEMS INC COMMON STOCK 556466100 $368,125 190,000 SH
MCK COMMUNICATIONS COMMON STOCK 581243102 $995,625 118,000 SH
MEDAREX COMMON STOCK 583916101 $3,667,500 90,000 SH
MED DESIGN COMMON STOCK 583926100 $9,498,013 598,300 SH
MEDSTONE INTERNATIONAL COMMON STOCK 58505C101 $2,937,500 500,000 SH
MERIDIAN MEDICAL TECH COMMON STOCK 589658103 $2,325,400 211,400 SH
METROCALL COMMON STOCK 591647102 $145,313 310,000 SH
METROLOGIC COMMON STOCK 591676101 $420,000 70,000 SH
MICROLOG COMMON STOCK 595079104 $209,813 373,000 SH
MIKHON GAMING CORP COMMON STOCK 59862K108 $1,590,000 530,000 SH
MOBILITY ELECTRONICS COMMON STOCK 60741U101 $1,897,350 778,400 SH
MUSICMAKER.COM COMMON STOCK 62757C207 $156,250 50,000 SH
NMT MEDICAL COMMON STOCK 629294109 $269,984 233,500 SH
NX NETWORKS COMMON STOCK 629478108 $37,500 60,000 SH
NEOPROBE COMMON STOCK 640518106 $280,560 668,000 SH
NEORX COMMON STOCK 640520300 $1,974,000 376,000 SH
NETGATEWAY COMMON STOCK 641111109 $62,500 400,000 SH
NETRADIO.COM COMMON STOCK 64114E108 $11,438 61,000 SH
NETZEE COMMON STOCK 64122W108 $10,125 27,000 SH
NEUROBIOLOGICAL TECH COMMON STOCK 64124W106 $740,000 185,000 SH
NEXTHEALTH INC COMMON STOCK 65333G105 $675,000 200,000 SH
NEXIQ COMMON STOCK 65334M101 $429,210 352,100 SH
NOVEN PHARMACEUTICAL COMMON STOCK 670009109 $3,573,050 95,600 SH
OSI SYSTEMS COMMON STOCK 671044105 $796,250 130,000 SH
ON TECHNOLOGY COMMON STOCK 68219P108 $656,250 1,400,000 SH
ONSITE ENERGY COMMON STOCK 68284P108 $2,800 40,000 SH
OPTIMAL ROBOTICS COMMON STOCK 68388R208 $7,215,938 215,000 SH
OPTIKA IMAGING SYSTEMS COMMON STOCK 683973101 $233,984 299,500 SH
ORGANOGENESIS COMMON STOCK 685906109 $4,060,783 451,700 SH
PARTSBASE.COM COMMON STOCK 70214P109 $400,000 200,000 SH
PHYSIOMETRIX INC COMMON STOCK 718928104 $4,940,625 310,000 SH
PHOTOELECTRON COMMON STOCK 719320103 $308,000 88,000 SH
PLAY BY PLAY TOYS COMMON STOCK 72811K103 $20,000 80,000 SH
PROGRAMMER'S PARADISE COMMON STOCK 743205106 $486,875 190,000 SH
QUADRAMED COMMON STOCK 74730W101 $152,344 187,500 SH
QUEPASA.COM COMMON STOCK 74833W107 $24,375 260,000 SH
QUICKSILVER INC COMMON STOCK 74838C106 $6,289,125 324,600 SH
RADIANT SYSTEMS COMMON STOCK 75025N102 $3,874,500 189,000 SH
RAINBOW RENTALS COMMON STOCK 750857104 $2,625,000 500,000 SH
RAYTEL MEDICAL COMMON STOCK 755107109 $594,750 732,000 SH
RIDELL SPORTS INC COMMON STOCK 765670104 $382,500 127,500 SH
ROCKY SHOES & BOOTS INC COMMON STOCK 774830103 $387,500 100,000 SH
SCB COMPUTER SYSTEMS INC COMMON STOCK 78388N107 $90,000 300,000 SH
SEEC INC COMMON STOCK 784110108 $816,563 335,000 SH
SOS STAFFING SERVICES COMMON STOCK 78462X104 $1,050,000 600,000 SH
SAFENET COMMON STOCK 78645R107 $3,313,500 70,500 SH
SAFETY COMPONENTS INT'L COMMON STOCK 786474205 $260 2,082 SH
SAFETY COMPONENTS Wrnts WARRANTS 786474114 $0 8,917 SH
SATCON TECHNOLOGY COMMON STOCK 803893106 $957,875 97,000 SH
SECURE COMPUTING INC COMMON STOCK 813705100 $1,001,325 101,400 SH
SEMX CORP COMMON STOCK 816854103 $405,000 90,000 SH
SIGA TECHNOLOGIES COMMON STOCK 826917106 $852,188 270,000 SH
STRATESEC COMMON STOCK 862792108 $271,800 120,800 SH
SURMODICS COMMON STOCK 868873100 $7,362,500 200,000 SH
SYNBIOTICS CORP COMMON STOCK 871566105 $113,750 260,000 SH
SYSTEMS & COMPUTER TECHN COMMON STOCK 871873105 $16,449,500 1,336,000 SH
TAKE-TWO INTERACTIVE COMMON STOCK 874054109 $1,578,950 137,300 SH
TELYNX COMMON STOCK 87972E100 $6,416 221,250 SH
TIDEL TECHNOLOGIES COMMON STOCK 886368109 $1,628,400 283,200 SH
TRANSACT TECHNOLOGIES COMMON STOCK 892918103 $787,500 150,000 SH
TREX COMPANY COMMON STOCK 89531P105 $1,763,125 70,000 SH
TRIMERIS COMMON STOCK 896263100 $2,085,250 38,000 SH
TRUE TIME COMMON STOCK 897868105 $209,925 93,300 SH
UNIVERSAL ELECTRONICS COMMON STOCK 913483103 $4,291,625 278,000 SH
UNIVERSAL STD HEALTHCARE COMMON STOCK 913839106 $4,000 400,000 SH
VIISAGE COMMON STOCK 92675K106 $77,438 88,500 SH
VISION TWENTY-ONE INC COMMON STOCK 92831N101 $3,000 300,000 SH
WATERLINK COMMON STOCK 94155N105 $196,638 504,200 SH
WEST COAST ENTERTAINMENT COMMON STOCK 952182103 $789 717,500 SH
WILLIAMS CONTROLS COMMON STOCK 969465103 $457,294 504,600 SH
WOMEN'S FIRST HEALTHCARE COMMON STOCK 978150100 $922,669 314,100 SH
WORLDQUEST NETWORKS COMMON STOCK 98156W105 $705,469 262,500 SH
XCARE.NET COMMON STOCK 98388Y101 $615,000 120,000 SH
ZEBRA TECHNOLOGIES COMMON STOCK 989207105 $3,182,156 78,000 SH
ZYMETX COMMON STOCK 989859103 $288,750 220,000 SH
REPORT TOTALS 157 ITEMS $266,762,026
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