13F-HR 1 a2069184z13f-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: December 31, 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 01/30/02 ---------------------- -------------------- -------- [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: 144 ----------- Form 13F Information Table Value Total: $ 2,022,856 ----------- (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 12/31/01

------------------------------------------------------------------------------------------------------------------------ TITLE OF VALUE SHARES/ SH/ PUT/ ~~INVESTMENT OTHER VOTING AUTHORITY~~ NAME OF ISSUER ~~TITLE OF~~ CLASS CUSIP (x$1000) PRN AMT PRN CALL ~~DISCRETION MANAGERS SOLE SHARED NONE~~ ------------------------------------------------------------------------------------------------------------------------~~-----------~~ @ Road, Inc. Common Stock 04648K105 $ ~~463~~1,887 ~~223~~321,~~500~~000 SH ~~SOLE 223,500~~ Adobe Common Stock 00724F101 $ 124,~~379~~889 57800,~~500~~845 SH ~~SOLE 57,500 Advanced Fibre Communications, Inc. Common Stock 00754A105 $ 15 1,000 SH SOLE 1,000~~ Aeroflex, Inc. Common Stock 007768104 $ 216,~~971~~465 ~~270~~869,~~055~~800 SH ~~SOLE 270,055~~ Agile Software Corp. Common Stock 00846X105 $ 2,~~236~~514 ~~246~~146,000 SH ~~SOLE 246,000~~ Agilent Technologies, Inc. Common Stock 00846U101 $ 811,~~048~~799 ~~411~~399,~~680~~404 SH ~~SOLE~~Allegiance ~~384~~Telecom,~~921~~ ~~26,759 Alpha Industries,~~ Inc. Common Stock ~~020753109~~01747T102 $ ~~14,786~~742 ~~763~~89,~~335~~500 SH ~~SOLE 763,335~~ Alpha Industries, Inc. ~~Oct~~Common 30Stock ~~Call~~020753109 ~~Call 020753909~~ $ 1524,521 771,~~000~~124,800 SH ~~CALL SOLE 77,000~~ Altera Corp. Common Stock 021441100 $ 79,~~529~~742 ~~456~~442,~~567~~799 SH ~~SOLE~~Alvarion, ~~425~~Ltd. Common Stock 002567075 $ 1,~~975~~903 30515,~~592~~700 SH Amgen, Inc. Common Stock 031162100 $ 814,~~477~~639 ~~144~~259,~~266~~366 SH ~~SOLE 144,266~~ Amkor Technology, Inc. Common Stock 031652100 $ 1219,~~651~~361 1,~~202~~172,~~524~~594 SH ~~SOLE~~Anadigics, Inc. Common Stock 032515108 $ 29,788 1,~~137~~953,~~190~~300 ~~65,334~~SH ~~Anadigics~~Anaren Microwave, Inc. Common Stock ~~032515108~~032744104 $ ~~384~~16,234 31937,~~445~~300 SH ~~SOLE 31,445~~ AOL Time Warner, Inc. Common Stock 00184A105 $ 12,~~470~~254 ~~376~~368,~~746~~460 SH ~~SOLE 352,020 24,726~~ Applied Materials, Inc. Common Stock 038222105 $ 69,~~361~~008 ~~223~~216,~~652~~377 SH ~~SOLE 208,170 15,482~~ Applied Micro Circuits Corp. Common Stock 03822W109 $ 2036,~~433~~695 23,~~923~~241,~~146~~646 SH ~~SOLE 2,923,146~~ ARM Holdings plc- ADR ADR 042068106 $ 111,~~724~~945 ~~163~~766,~~400~~200 SH ~~SOLE 163,400~~ ASM Lithography Holding N.V. Common Stock N07059111 $ 1017,~~513~~034 ~~937~~997,~~780~~993 SH ~~SOLE~~BEA ~~936~~Systems,~~886~~ ~~894~~Inc. ~~AT&T Wireless Services~~ Common Stock ~~00209A106~~073325102 $ 313,~~434~~866 ~~229~~875,~~845~~283 SH ~~SOLE~~BioMarin ~~229~~Pharmaceutical,~~845~~ ~~Avici Systems Common Stock 05367L109 $ 24 19,000 SH SOLE 19,000 BEA Systems,~~ Inc. Common Stock ~~073325102~~09061G101 $ 92,~~090~~016 ~~947~~150,~~823~~000 SH ~~SOLE 901,475 46,348~~ Brio Technology, Inc. Common Stock 109704106 $ ~~486~~576 200,000 SH ~~SOLE 200,000 Brocade Communications Systems, Inc. Common Stock 111621108 $ 208 14,800 SH SOLE 14,800~~ Cadence Design Systems, Inc. Common Stock 127387108 $ 7567,~~312~~266 43,~~523~~067,~~215~~749 SH ~~SOLE 4,473,530 49,685~~ Celeritek, Inc. Common Stock 150926103 $ 67,~~215~~034 525,353 SH ~~SOLE 525,353~~ Check Point Software Technologies, Ltd. Common Stock M22465104 $ 14,~~210~~707 54118,~~945~~000 SH ~~SOLE 54,945~~ CIENA Corp. Common Stock 171779101 $ 1722,~~251~~176 1,~~676~~549,~~510~~710 SH ~~SOLE 1,676,510~~ Cisco Systems, Inc. Common Stock 17275R102 $ 3849,~~855~~319 32,~~190~~707,~~077~~717 SH ~~SOLE 3,156,560 33,517~~ Comcast Corp. - Special CL A Common Stock 200300200 $ 1,~~997~~552 5543,~~670~~100 SH ~~SOLE 55,670~~ Concord Communications, Inc. Common Stock 206186108 $ 1629,~~422~~644 1,~~845~~435,~~130~~530 SH ~~SOLE~~Concord 1EFS,~~845,130~~ ~~Conexant Systems,~~ Inc. Common Stock ~~207142100~~206197105 $ 102,~~603~~613 179,~~277,440~~700 SH ~~SOLE 1,277,440~~ Corning, Inc. Common Stock 219350105 $ 33,~~020~~426 3,~~743~~723,~~784~~754 SH ~~SOLE~~Cox ~~3,700,050 43,734 CoSine~~ Communications, Inc. - A Common Stock ~~221222102~~224044107 $ 41,664 1139,~~000~~700 SH ~~SOLE~~Cyras 11Systems,~~000~~ ~~Cox Communications,~~ Inc. -Convertible ABond ~~Common~~23281WAA9 ~~Stock 224044107~~ $ 2,~~094~~330 502,~~165~~000,000 SH ~~SOLE~~DMC ~~50,165~~Stratex ~~Cree Research~~Networks, Inc. Common Stock ~~225447101~~23322L106 $ 447,~~141~~831 ~~280~~6,~~200~~147,954 SH ~~SOLE 280~~Earthlink,~~200~~ ~~Crosswave Communications,~~ Inc. -Common ~~ADR~~Stock ~~ADR~~270321102 ~~227686102~~ $ 65993 ~~180~~81,~~000~~600 SH ~~SOLE~~Edo ~~180,000 DMC Stratex Networks, Inc~~Corp. Common Stock ~~23322L106~~281347104 $ 371,~~562~~227 746,~~279,504~~400 SH ~~SOLE~~EMC ~~7,279,504 Dobson Communications~~ Corp. Common Stock ~~256069105~~268648102 $ ~~351~~2,829 33208,~~955~~770 SH ~~SOLE~~Enterasys 33Networks,~~955~~ ~~Earthlink,~~ Inc. Common Stock ~~270321102~~293637104 $ ~~276~~39,598 184,~~100~~474,390 SH ~~SOLE~~EPCOS ~~18,100~~AG ~~Edo~~- ~~Corp.~~ADR ~~Common~~ADR ~~Stock~~29410P107 ~~281347104~~ $ ~~1,334~~947 4618,~~400~~900 SH ~~SOLE 46~~ePlus,~~400~~ ~~EMC Corp~~Inc. Common Stock ~~268648102~~294268107 $ 32,~~095~~617 ~~263~~274,~~409~~000 SH ~~SOLE~~Ericsson ~~245~~- ADR ADR 294821400 $ 1,~~545~~084 17207,~~864~~600 ~~EMS~~SH ~~Technologies~~Extreme Networks, Inc. Common Stock ~~26873N108~~30226D106 $ ~~401~~8,013 28621,~~970~~200 SH ~~SOLE~~FEI ~~28,970~~Company ~~Enterasys Networks, Inc.~~ Common Stock ~~293637104~~30241L109 $ 281,~~860~~705 454,~~474,390~~100 SH ~~SOLE 4,474,390~~

Foundry Networks, Inc. Common Stock 35063R100 $ 3,505 430,000 SH Gemstar-TV Guide International, Inc. Common Stock 36866W106 $ 7,004 250,838 SH Genesis Microchip, Inc. Common Stock 371933102 $ 25,217 381,382 SH Genuity, Inc. - A Common Stock 37248E103 $ 14,540 9,202,716 SH GlobespanVirata, Inc. Common Stock 379571102 $ 17,790 1,373,763 SH Globix Corp. Common Stock 37957F101 $ 739 5,030,234 SH Harmonic, Inc. Common Stock 413160102 $ 1,503 125,000 SH Herley Industries, Inc. Common Stock 427398102 $ 4,245 249,700 SH Hybrid Networks, Inc. Common Stock 44860K102 $ 648 1,271,200 SH i2 Technologies, Inc. Common Stock 465754109 $ 3,951 500,102 SH Ilog S.A. Common Stock 452360100 $ 482 41,700 SH Intel Corp. Common Stock 458140100 $ 47,467 1,509,300 SH Interliant, Inc. Common Stock 458742103 $ 545 1,555,400 SH Interwoven, Inc. Common Stock 46114T102 $ 974 100,000 SH Intrado, Inc. Common Stock 46117A100 $ 2,626 98,000 SH Inverness Medical Innovations, Inc. Common Stock 461268104 $ 1,271 70,420 SH Invitrogen Corp. Common Stock 46185R100 $ 24,927 402,500 SH ITT Industries, Inc. Common Stock 450911102 $ 14,246 282,100 SH KLA-Tencor Corp. Common Stock 482480100 $ 9,997 194,409 SH Kopin Corp. Common Stock 500600101 $ 12,834 916,700 SH Legato Systems, Inc. Common Stock 524651106 $ 71,105 5,482,266 SH Liberty Media Corp. - A Common Stock 530718105 $ 4,708 336,300 SH Macromedia, Inc. Common Stock 556100105 $ 3,026 170,000 SH Magma Design Automation, Inc. Common Stock 559181102 $ 7,307 323,495 SH Manhattan Associates, Inc. Common Stock 526750109 $ 1,746 59,900 SH Manugistics Group, Inc. Common Stock 565011103 $ 2,350 111,500 SH McData Corp. Common Stock 580031102 $ 12,999 517,700 SH Medtronic, Inc. Common Stock 585055106 $ 31,885 622,637 SH Mercury Interactive Corp. Common Stock 589405109 $ 1,023 30,100 SH Metro One Telecommunications Common Stock 59163F105 $ 983 32,500 SH Micromuse, Inc. Common Stock 595094103 $ 19,557 1,303,800 SH Microsoft Corp. Common Stock 594918104 $ 15,997 236,231 SH Motorola, Inc. Common Stock 620076109 $ 37,706 2,510,400 SH Nassda Corp. Common Stock 63172M101 $ 337 15,000 SH NetIQ Corp. Common Stock 64115P102 $ 2,133 60,500 SH Netscreen Technologies, Inc. Common Stock 64117V107 $ 111 5,000 SH NETsilicon, Inc. Common Stock 64115X105 $ 4,869 1,264,701 SH Nippon Telegraph and Telephone Corp. - ADR ADR 654624105 $ 1,636 101,000 SH Nokia Corp. - ADR ADR 654902204 $ 10,906 431,499 SH Numerical Technologies, Inc. Common Stock 67053T101 $ 12,320 350,000 SH O2 Micro International Ltd. Common Stock G6797E106 $ 2,131 88,600 SH OmniVision Technologies, Inc. Common Stock 682128103 $ 1,851 206,100 SH ONI Systems Corp. Common Stock 68273F103 $ 63 10,000 SH Oracle Corp. Common Stock 68389X105 $ 10,713 753,950 SH P-Com, Inc. Common Stock 693262107 $ 3,829 11,602,370 SH PEC Solutions Common Stock 705107100 $ 2,836 75,400 SH PeopleSoft, Inc. Common Stock 712713106 $ 102,526 2,550,390 SH PerkinElmer, Inc. Common Stock 714046109 $ 56,665 1,618,068 SH Pervasive Software, Inc. Common Stock 715710109 $ 5,114 1,751,423 SH PMC-Sierra, Inc. Common Stock 69344F106 $ 33,749 1,585,578 SH

Foundry Networks, Inc. SOLE 430,000 Gemstar-TV Guide International, Inc. SOLE 249,135 1,703 Genesis Microchip, Inc. SOLE 381,382 Genuity, Inc. - A SOLE 9,202,716 GlobespanVirata, Inc. SOLE 1,373,763 Globix Corp. SOLE 5,030,234 Harmonic, Inc. SOLE 125,000 Herley Industries, Inc. SOLE 249,700 Hybrid Networks, Inc. SOLE 1,271,200 i2 Technologies, Inc. SOLE 500,102 Ilog S.A. SOLE 41,700 Intel Corp. SOLE 1,509,300 Interliant, Inc. SOLE 1,555,400 Interwoven, Inc. SOLE 100,000 Intrado, Inc. SOLE 98,000 Inverness Medical Innovations, Inc. SOLE 70,420 Invitrogen Corp. SOLE 402,500 ITT Industries, Inc. SOLE 282,100 KLA-Tencor Corp. SOLE 187,370 7,039 Kopin Corp. SOLE 916,700 Legato Systems, Inc. SOLE 5,482,266 Liberty Media Corp. - A SOLE 336,300 Macromedia, Inc. SOLE 170,000 Magma Design Automation, Inc. SOLE 323,495 Manhattan Associates, Inc. SOLE 59,900 Manugistics Group, Inc. SOLE 111,500 McData Corp. SOLE 517,700 Medtronic, Inc. SOLE 622,637 Mercury Interactive Corp. SOLE 30,100 Metro One Telecommunications SOLE 32,500 Micromuse, Inc. SOLE 1,303,800 Microsoft Corp. SOLE 231,275 4,956 Motorola, Inc. SOLE 2,510,400 Nassda Corp. SOLE 15,000 NetIQ Corp. SOLE 60,500 Netscreen Technologies, Inc. SOLE 5,000 NETsilicon, Inc. SOLE 1,264,701 Nippon Telegraph and Telephone Corp. - ADR SOLE 101,000 Nokia Corp. - ADR SOLE 418,860 12,639 Numerical Technologies, Inc. SOLE 350,000 O2 Micro International Ltd. SOLE 88,600 OmniVision Technologies, Inc. SOLE 206,100 ONI Systems Corp. SOLE 10,000 Oracle Corp. SOLE 732,895 21,055 P-Com, Inc. SOLE 11,602,370 PEC Solutions SOLE 75,400 PeopleSoft, Inc. SOLE 2,550,390 PerkinElmer, Inc. SOLE 1,618,068 Pervasive Software, Inc. SOLE 1,751,423 PMC-Sierra, Inc. SOLE 1,584,005 1,573

Polycom, Inc. Common Stock 73172K104 $ 2,436 70,800 SH Powerwave Technologies, Inc. Common Stock 739363109 $ 19,089 1,104,700 SH QUALCOMM, Inc. Common Stock 747525103 $ 12,182 232,648 SH Raindance Communications, Inc. Common Stock 75086X106 $ 4,611 807,600 SH Raytheon Company Common Stock 755111507 $ 69,963 2,143,024 SH Read-Rite Corp. Common Stock 755246105 $ 32,916 4,979,782 SH Redback Networks, Inc. Common Stock 757209101 $ 1,179 298,430 SH Retalix Limited Common Stock M7945W108 $ 1,182 71,950 SH Retek, Inc. Common Stock 76128Q109 $ 3,611 120,900 SH Riverstone Networks, Inc. Common Stock 769320102 $ 42,427 2,555,861 SH SAP AG - ADR ADR 803054204 $ 3,726 116,700 SH Scientific-Atlanta, Inc. Common Stock 808655104 $ 9,358 378,281 SH SeaChange International, Inc. Common Stock 811699107 $ 2,225 65,200 SH Siebel Systems, Inc. Common Stock 826170102 $ 12,225 424,196 SH Silicon Image, Inc. Common Stock 82705T102 $ 2,056 546,800 SH SkillSoft Corp. Common Stock 83066P101 $ 778 30,000 SH SpectraLink Corp. Common Stock 847580107 $ 16,368 955,500 SH Speechworks International Common Stock 8476M101 $ 788 70,000 SH Sprint Corp. - PCS Group Common Stock 852061506 $ 1,440 59,000 SH Stratos Lightwave, Inc. Common Stock 863100103 $ 16,832 2,736,934 SH Sun Microsystems, Inc. Common Stock 866810104 $ 25,650 2,048,298 SH SunGard Data Systems, Inc. Common Stock 867363103 $ 1,886 65,200 SH Surmodics, Inc. Common Stock 868873100 $ 3,672 100,700 SH Symantec Corp. Common Stock 871503108 $ 2,554 38,500 SH Synopsys, Inc. Common Stock 871607107 $ 72,960 1,224,486 SH Taiwan Semiconductor Manufacturing Co. - ADR ADR 874039100 $ 2,961 172,460 SH Tekelec, Inc. Common Stock 879101103 $ 21,232 1,172,365 SH TeleCommunication Systems, Inc. - A Common Stock 87929J103 $ 7,813 1,433,597 SH Teradyne, Inc. Common Stock 880770102 $ 8,068 258,088 SH Three-Five Systems, Inc. Common Stock 88554L108 $ 17,522 1,101,300 SH TranSwitch Corp. Common Stock 894065101 $ 21,483 4,774,106 SH Tripath Technology Common Stock 89672P104 $ 539 315,000 SH TriQuint Semiconductor, Inc. Common Stock 89674K103 $ 17,842 1,455,300 SH TRW, Inc. Common Stock 872649108 $ 24,224 654,000 SH United Microelectronics - ADR ADR 910873207 $ 3,174 330,600 SH UTStarcom, Inc. Common Stock 918076100 $ 11,790 413,700 SH VeriSign, Inc. Common Stock 92343E102 $ 3,819 100,400 SH Verisity Ltd. Common Stock 002743530 $ 1,990 105,000 SH VERITAS Software Corp. Common Stock 923436109 $ 34,179 761,742 SH ViaSat, Inc. Common Stock 92552V100 $ 2,407 154,300 SH Vignette Corp. Common Stock 926734104 $ 940 175,100 SH Virage Logic Corp. Common Stock 92763R104 $ 192 10,000 SH Visual Networks, Inc. Common Stock 928444108 $ 6,638 1,436,899 SH Vitesse Semiconductor Corp. Common Stock 928497106 $ 33,910 2,721,540 SH Webex Communications, Inc. Common Stock 94767L109 $ 4,918 197,900 SH Websense, Inc. Common Stock 947684106 $ 31,858 993,400 SH Western Digital Corp. Common Stock 958102105 $ 21,955 3,501,605 SH Wind River Systems, Inc. Common Stock 973149107 $ 66,284 3,677,664 SH WorldCom, Inc. - WorldCom Group Common Stock 98157D106 $ 727 51,600 SH Xilinx, Inc. Common Stock 983919101 $ 5,633 143,105 SH

Polycom, Inc. SOLE 70,800 Powerwave Technologies, Inc. SOLE 1,104,700 QUALCOMM, Inc. SOLE 224,370 8,278 Raindance Communications, Inc. SOLE 807,600 Raytheon Company SOLE 2,131,760 11,264 Read-Rite Corp. SOLE 4,979,782 Redback Networks, Inc. SOLE 298,430 Retalix Limited SOLE 71,950 Retek, Inc. SOLE 120,900 Riverstone Networks, Inc. SOLE 2,555,861 SAP AG - ADR SOLE 116,700 Scientific-Atlanta, Inc. SOLE 366,135 12,146 SeaChange International, Inc. SOLE 65,200 Siebel Systems, Inc. SOLE 411,940 12,256 Silicon Image, Inc. SOLE 546,800 SkillSoft Corp. SOLE 30,000 SpectraLink Corp. SOLE 955,500 Speechworks International SOLE 70,000 Sprint Corp. - PCS Group SOLE 59,000 Stratos Lightwave, Inc. SOLE 2,736,934 Sun Microsystems, Inc. SOLE 2,018,790 29,508 SunGard Data Systems, Inc. SOLE 65,200 Surmodics, Inc. SOLE 100,700 Symantec Corp. SOLE 38,500 Synopsys, Inc. SOLE 1,214,235 10,251 Taiwan Semiconductor Manufacturing Co. - ADR SOLE 172,460 Tekelec, Inc. SOLE 1,172,365 TeleCommunication Systems, Inc. - A SOLE 1,433,597 Teradyne, Inc. SOLE 248,855 9,233 Three-Five Systems, Inc. SOLE 1,101,300 TranSwitch Corp. SOLE 4,774,106 Tripath Technology SOLE 315,000 TriQuint Semiconductor, Inc. SOLE 1,455,300 TRW, Inc. SOLE 654,000 United Microelectronics - ADR SOLE 330,600 UTStarcom, Inc. SOLE 413,700 VeriSign, Inc. SOLE 100,400 Verisity Ltd. SOLE 105,000 VERITAS Software Corp. SOLE 761,049 693 ViaSat, Inc. SOLE 154,300 Vignette Corp. SOLE 175,100 Virage Logic Corp. SOLE 10,000 Visual Networks, Inc. SOLE 1,436,899 Vitesse Semiconductor Corp. SOLE 2,721,540 Webex Communications, Inc. SOLE 197,900 Websense, Inc. SOLE 993,400 Western Digital Corp. SOLE 3,501,605 Wind River Systems, Inc. SOLE 3,655,149 22,515 WorldCom, Inc. - WorldCom Group SOLE 51,600 Xilinx, Inc. SOLE 142,145 960

XM Satellite Radio Holdings Common Stock 983759101 $ 1,285 70,000 SH Zoran Corp. Common Stock 98975F101 $ 44,214 1,354,586 SH REPORT SUMMARY: 144 $ 2,022,856

~~XM Satellite Radio Holdings SOLE 70,000 Zoran Corp. SOLE 1,354,586~~

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