13F-HR 1 a2060732z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2001 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: Firsthand Capital Management, Inc. Address: 125 South Market Suite 1200 San Jose, California 95113 Form 13F File Number: 28-04505 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, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Kevin M. Landis Title: President Phone: (408) 294-2200 Signature, Place, and Date of Signing /s/ Kevin M. Landis SAN JOSE, CALIFORNIA 10/08/01 ----------------------- -------------------- -------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------------------------- Form 13F Information Table Entry Total: 138 ----------------------------- Form 13F Information Table Value Total: $ 1,325,363 ----------------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FIRSTHAND CAPITAL MANAGEMENT, INC. FORM 13F as of 09/30/01

ePlus, Inc. Common Stock 294268107 $ 5,192 726,100 SH SOLE 726,100 EXFO Electro-Optical Engineering, Inc. Common Stock 302043104 $ 2,036 226,200 SH SOLE 226,200 Extreme Networks Common Stock 30226D106 $ 4,292 621,200 SH SOLE 621,200 Gemstar-TV Guide International, Inc. Common Stock 36866W106 $ 5,198 263,714 SH SOLE 248,710 15,004 Genesis Microchip, Inc. Common Stock 371933102 $ 13,828 491,397 SH SOLE 491,397 Genuity, Inc. - A Common Stock 37248E103 $ 15,280 9,732,716 SH SOLE 9,732,716 GlobeSpan, Inc. Common Stock 379571102 $ 12,419 1,373,763 SH SOLE 1,373,763 Globix Corp. Common Stock 37957F101 $ 2,113 5,030,234 SH SOLE 5,030,234 Herley Industries, Inc. Common Stock 427398102 $ 1,607 110,400 SH SOLE 110,400 Hybrid Networks, Inc. Common Stock 44860K102 $ 1,589 1,271,200 SH SOLE 1,271,200 i2 Technologies, Inc. Common Stock 465754109 $ 1,720 500,102 SH SOLE 500,102 Illuminet Holdings, Inc. Common Stock 452334105 $ 1,341 35,000 SH SOLE 35,000 Immunex Corp. Common Stock 452528102 $ 3,414 183,072 SH SOLE 183,072 Interliant, Inc. Common Stock 458742103 $ 311 1,555,400 SH SOLE 1,555,400 Intersil Holding Corp. Common Stock 46069S109 $ 4,085 146,315 SH SOLE 146,315 Interwoven, Inc. Common Stock 46114T102 $ 1,388 359,700 SH SOLE 359,700 Intrado, Inc. Common Stock 46117A100 $ 1,923 74,930 SH SOLE 74,930 Inverness Medical Technology, Inc. Common Stock 461268104 $ 13,010 352,100 SH SOLE 352,100 ITT Industries, Inc. Common Stock 450911102 $ 12,833 286,450 SH SOLE 286,450 Johnson & Johnson Common Stock 478160104 $ 11,154 201,332 SH SOLE 201,332 KLA-Tencor Corp. Common Stock 482480100 $ 6,342 200,825 SH SOLE 187,060 13,765 Legato Systems, Inc. Common Stock 524651106 $ 30,043 5,482,266 SH SOLE 5,482,266 Level 3 Communications, Inc. Common Stock 52729N100 $ 2 650 SH SOLE 650 Liberty Media Corp. - A Common Stock 530718105 $ 475 37,415 SH SOLE 37,415 Macromedia, Inc. Common Stock 556100105 $ 4,602 380,000 SH SOLE 380,000 Manugistics Group, Inc. Common Stock 565011103 $ 649 111,500 SH SOLE 111,500 Marvell Technology Group Ltd. Common Stock G5876H105 $ 6,171 430,000 SH SOLE 430,000 MCI Group Common Stock 98157D304 $ 122 8,000 SH SOLE 8,000 Medtronic, Inc. Common Stock 585055106 $ 27,530 632,882 SH SOLE 632,882 Micromuse, Inc. Common Stock 595094103 $ 8,019 1,411,800 SH SOLE 1,411,800 Microsoft Corp. Common Stock 594918104 $ 758 14,810 SH SOLE 14,810 Motorola, Inc. Common Stock 620076109 $ 55,409 3,551,885 SH SOLE 3,551,885 NaviSite, Inc. Common Stock 63935M109 $ 726 3,819,000 SH SOLE 3,819,000 NETsilicon, Inc. Common Stock 64115X105 $ 2,340 1,264,701 SH SOLE 1,264,701 Network Appliance, Inc. Common Stock 64120L104 $ 338 49,765 SH SOLE 49,765 Network Associates, Inc. Common Stock 640938106 $ 368 28,530 SH SOLE 28,530 Nippon Telegraph and Telephone Corp. - ADR ADR 654624105 $ 2,364 102,100 SH SOLE 102,100 Nokia Corp. - ADR ADR 654902204 $ 7,739 494,483 SH SOLE 470,025 24,458 Nuance Communications, Inc. Common Stock 669967101 $ 2,746 422,500 SH SOLE 422,500 Numerical Technologies, Inc. Common Stock 67053T101 $ 8,300 500,000 SH SOLE 500,000 O2 Micro International Ltd. Common Stock G6797E106 $ 1,165 88,600 SH SOLE 88,600 OmniVision Technologies, Inc. Common Stock 682128103 $ 468 156,100 SH SOLE 156,100 ONI Systems Corp. Common Stock 68273F103 $ 40 10,000 SH SOLE 10,000 Oplink Communications, Inc. Common Stock 68375Q106 $ 66 100,000 SH SOLE 100,000 Oracle Corp. Common Stock 68389X105 $ 16,980 1,349,783 SH SOLE 1,286,030 63,753 P-Com, Inc. Common Stock 693262107 $ 3,133 11602370 SH SOLE 11,602,370 PeopleSoft, Inc. Common Stock 712713106 $ 55,873 3097190 SH SOLE 3,097,190 PerkinElmer, Inc. Common Stock 714046109 $ 42,458 1618068 SH SOLE 1,618,068 Pervasive Software, Inc. Common Stock 715710109 $ 3,553 2179923 SH SOLE 2,179,923 Pfizer, Inc. Common Stock 717081103 $ 28,238 704200 SH SOLE 704,200

PMC-Sierra, Inc. Common Stock 69344F106 $ 16,632 1600767 SH SOLE 1,583,705 17,062 Polycom, Inc. Common Stock 73172K104 $ 5,924 243080 SH SOLE 243,080 QUALCOMM, Inc. Common Stock 747525103 $ 11,973 251843 SH SOLE 235,780 16,063 Raindance Communications, Inc. Common Stock 75086X106 $ 1,533 709600 SH SOLE 709,600 Ramtron International Corp. Common Stock 751907304 $ 24 15000 SH SOLE 15,000 Raytheon Company Common Stock 755111507 $ 74,966 2157285 SH SOLE 2,135,980 21,305 Read-Rite Corp. Common Stock 755246105 $ 14,690 4979782 SH SOLE 4,979,782 Riverstone Networks, Inc. Common Stock 769320102 $ 12,053 2295861 SH SOLE 2,295,861 Sage, Inc. Common Stock 786632109 $ 328 21495 SH SOLE 21,495 SAP AG - ADR ADR 803054204 $ 3,802 146700 SH SOLE 146,700 SBC Communications, Inc. Common Stock 78387G103 $ 424 9000 SH SOLE 9,000 Scientific-Atlanta, Inc. Common Stock 808655104 $ 6,281 358920 SH SOLE 335,680 23,240 Siebel Systems, Inc. Common Stock 826170102 $ 8,233 632805 SH SOLE 599,795 33,010 Silicon Image, Inc. Common Stock 82705T102 $ 1,143 546800 SH SOLE 546,800 SonicWall, Inc. Common Stock 835470105 $ 273 22940 SH SOLE 22,940 SpectraLink Corp. Common Stock 847580107 $ 17,635 1161735 SH SOLE 1,161,735 Sprint PCS Group Common Stock 852061506 $ 4,314 164090 SH SOLE 164,090 Stratos Lightwave, Inc. Common Stock 863100103 $ 9,496 2752334 SH SOLE 2,752,334 Sun Microsystems, Inc. Common Stock 866810104 $ 33,270 4022946 SH SOLE 3,960,645 62,301 Sungard Data Systems Common Stock 867363103 $ 3,157 135090 SH SOLE 135,090 Sycamore Networks Common Stock 871206108 $ 627 180100 SH SOLE 180,100 Symantec Corp. Common Stock 871503108 $ 1,771 51075 SH SOLE 51,075 Synopsis Common Stock 871607107 $ 14,036 349947 SH SOLE 330,620 19,327 Taiwan Semiconductor Manufacturing Co. - ADR ADR 874039100 $ 3,876 408465 SH SOLE 408,465 Tekelec, Inc. Common Stock 879101103 $ 15,440 1172365 SH SOLE 1,172,365 TeleCommunication Systems, Inc. - A Common Stock 87929J103 $ 1,980 1980197 SH SOLE 1,980,197 Teledyne Technologies, Inc. Common Stock 879360105 $ 1,595 100000 SH SOLE 100,000 Teradyne, Inc. Common Stock 880770102 $ 5,195 266395 SH SOLE 248,520 17,875 Three-Five Systems, Inc. Common Stock 88554L108 $ 17,649 1107200 SH SOLE 1,107,200 TranSwitch Corp. Common Stock 894065101 $ 14,609 4774106 SH SOLE 4,774,106 Tripath Technology Common Stock 89672P104 $ 176 315000 SH SOLE 315,000 TriQuint Semiconductor, Inc. Common Stock 89674K103 $ 351 21965 SH SOLE 21,965 TRW, Inc. Common Stock 872649108 $ 19,688 660235 SH SOLE 660,235 UTStarcom, Inc. Common Stock 918076100 $ 9,204 566385 SH SOLE 566,385 VeriSign, Inc. Common Stock 92343E102 $ 5,027 119975 SH SOLE 119,975 VERITAS Software Corp. Common Stock 923436109 $ 17,225 934136 SH SOLE 920,854 13,282 Verizon Communications, Inc. Common Stock 92343V104 $ 698 12900 SH SOLE 12,900 Vignette Corp. Common Stock 926734104 $ 1,373 387900 SH SOLE 387,900 Visual Networks, Inc. Common Stock 928444108 $ 4,306 1888399 SH SOLE 1,888,399 Vitesse Semiconductor Corp. Common Stock 928497106 $ 24,438 3153279 SH SOLE 3,113,380 39,899 Websense, Inc. Common Stock 947684106 $ 5,487 503400 SH SOLE 503,400 Western Digital Corp. Common Stock 958102105 $ 15,773 7268505 SH SOLE 7,268,505 Wind River Systems, Inc. Common Stock 973149107 $ 44,377 4226417 SH SOLE 4,174,834 51,583 WorldCom Group Common Stock 55268B106 $ 3,008 200000 SH SOLE 200,000 Xilinx, Inc. Common Stock 983919101 $ 3,575 151943 SH SOLE 141,955 9,988 Zoran Corp. Common Stock 98975F101 $ 33,215 1371376 SH SOLE 1,371,376 REPORT SUMMARY: 138 $1,325,363

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