-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JGQ4fQhsak9PbZeeCsKCEX7c4IB+8Tt3GmGtm90+nzifOC7iCZandPzaD2EInSg6 VTrjFijpxmegkEump46bhg== 0000919574-09-009832.txt : 20090506 0000919574-09-009832.hdr.sgml : 20090506 20090506101307 ACCESSION NUMBER: 0000919574-09-009832 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090506 DATE AS OF CHANGE: 20090506 EFFECTIVENESS DATE: 20090506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEEDHAM INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001167212 IRS NUMBER: 223408336 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10095 FILM NUMBER: 09799943 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123718300 13F-HR 1 d992662_13f-hr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F Cover Page Report for the Calendar Year or Quarter Ended March 31, 2009 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Needham Investment Management L.L.C. Address: 445 Park Avenue New York, NY 10022 13F File Number: 028-10095 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: Glen W. Albanese Title: Chief Financial Officer Phone: (212) 371-8300 Signature, Place and Date of Signing: /s/ Glen W. Albanese New York, New York May 6, 2009 - ----------------------- -------------------------- ---------------------- [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 reported are in this report, and all holdings are reported by other reporting managers(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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name None None ---------------- --------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 214 Form 13F Information Table Value Total: $194,379 (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. Form 13F File Number Name - -------------------- ---- 1. 028-11515 Needham Emerging Growth Partners L.P. 2. 028-11514 Needham Growth Fund
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- -------- ----- -------- ------- --- ---- ---------- -------- ---- ------ ---- 3COM CORP COM 885535104 1,468 475,000 SH Defined 2 475,000 3COM CORP COM 885535104 1,236 400,000 SH Defined 1 400,000 3COM CORP COM 885535104 657 212,500 SH Sole None 212,500 ACME PACKET INC COM 004764106 91 15,000 SH Sole None 15,000 ACTEL CORP COM 004934105 1,518 150,000 SH Defined 1 150,000 ACTUATE CORP COM 00508B102 985 321,854 SH Defined 2 321,854 ACTUATE CORP COM 00508B102 265 86,500 SH Sole None 86,500 ADAPTEC INC COM 00651F108 309 128,683 SH Defined 1 128,683 ADAPTEC INC COM 00651F108 102 42,700 SH Sole None 42,700 A D C TELECOMMUNICATIONS COM NEW 000886309 439 100,000 SH Defined 1 100,000 A D C TELECOMMUNICATIONS COM NEW 000886309 220 50,000 SH Sole None 50,000 ADVANCED PHOTONIX INC COM 00754E100 236 333,333 SH Sole None 333,333 AIRVANA INC COM 00950V101 1,928 329,610 SH Defined 1 329,610 AIRVANA INC COM 00950V101 1,491 254,790 SH Sole None 254,790 AIRVANA INC COM 00950V101 2,048 350,000 SH Defined 2 350,000 ALCATEL-LUCENT SPONSORED ADR 013904305 49 26,180 SH Defined 1 26,180 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 618 42,000 SH Sole None 42,000 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 957 65,000 SH Sole None 65,000 ALLIANCE HEALTHCARE SRVCS IN COM NEW 018606202 34 5,000 SH Sole None 5,000 ANAREN INC COM 032744104 1,756 160,500 SH Defined 1 160,500 ANAREN INC COM 032744104 776 70,900 SH Sole None 70,900 APPLE INC COM 037833100 315 3,000 SH Sole None 3,000 ARTHROCARE CORP COM 043136100 74 15,000 SH Defined 2 15,000 ARUBA NETWORKS INC COM 043176106 64 20,400 SH Sole None 20,400 ATMEL CORP COM 049513104 1,452 400,000 SH Defined 1 400,000 ATMEL CORP COM 049513104 914 251,564 SH Sole None 251,564 ATP OIL & GAS CORP COM 00208J108 250 48,750 SH Defined 1 48,750 ATP OIL & GAS CORP COM 00208J108 135 26,250 SH Sole None 26,250 AUTHENTEC INC COM 052660107 37 25,000 SH Sole None 25,000 AUTODESK INC COM 052769106 168 10,000 SH Sole None 10,000 AVIS BUDGET GROUP COM 053774105 118 130,000 SH Defined 1 130,000 AVIS BUDGET GROUP COM 053774105 64 70,000 SH Sole None 70,000 AVIS BUDGET GROUP COM 053774105 46 50,000 SH Defined 2 50,000 AVIZA TECHNOLOGY INC COM 05381A105 11 75,000 SH Sole None 75,000 BOSTON SCIENTIFIC CORP COM 101137107 1,272 160,000 SH Defined 1 160,000 BOSTON SCIENTIFIC CORP COM 101137107 286 35,938 SH Sole None 35,938 BOTTOMLINE TECH DEL INC COM 101388106 322 49,000 SH Sole None 49,000 BROOKS AUTOMATION INC COM 114340102 722 156,610 SH Defined 1 156,610 BROOKS AUTOMATION INC COM 114340102 602 130,500 SH Sole None 130,500 BROOKS AUTOMATION INC COM 114340102 2,452 531,911 SH Defined 2 531,911 CALLIDUS SOFTWARE INC COM 13123E500 1,088 375,000 SH Defined 1 375,000 CALLIDUS SOFTWARE INC COM 13123E500 595 205,000 SH Sole None 205,000 CARDIAC SCIENCE CORP COM 14141A108 3 975 SH Defined 2 975 CARDIAC SCIENCE CORP COM 14141A108 61 20,325 SH Sole None 20,325 CARMAX INC COM 143130102 3,297 265,000 SH Defined 2 265,000 CARMAX INC COM 143130102 62 5,000 SH Sole None 5,000 CHESAPEAKE ENERGY CORP COM 165167107 1,535 90,000 SH Defined 2 90,000 COGNEX CORP COM 192422103 267 20,000 SH Defined 2 20,000 COGNEX CORP COM 192422103 314 23,500 SH Sole None 23,500 COGNEX CORP COM 192422103 487 36,500 SH Defined 1 36,500 COMCAST CORP NEW CL A 20030N101 1,637 120,000 SH Defined 1 120,000 COMCAST CORP NEW CL A 20030N101 1,023 75,000 SH Defined 2 75,000 COMPTON PETE CORP COM 204940100 53 81,000 SH Sole None 81,000 COMPTON PETE CORP COM 204940100 45 69,000 SH Defined 1 69,000 CONMED CORP COM 207410101 1,153 80,000 SH Sole None 80,000 CONMED CORP COM 207410101 1,801 125,000 SH Defined 2 125,000 COVIDIEN LTD COM G2552X108 1,454 43,750 SH Defined 2 43,750 COVIDIEN LTD COM G2552X108 819 24,625 SH Defined 1 24,625 COVIDIEN LTD COM G2552X108 291 8,750 SH Sole None 8,750 DDI CORP COM 0.0001 NEW 233162502 140 45,310 SH Defined 1 45,310 DDI CORP COM 0.0001 NEW 233162502 123 39,862 SH Sole None 39,862 DICE HLDGS INC COM 253017107 321 115,300 SH Defined 2 115,300 DICE HLDGS INC COM 253017107 48 17,300 SH Sole None 17,300 DICKS SPORTING GOODS INC COM 253393102 1,641 115,000 SH Defined 2 115,000 DICKS SPORTING GOODS INC COM 253393102 278 19,500 SH Sole None 19,500 DOLBY LABORATORIES INC COM 25659T107 339 9,945 SH Sole None 9,945 ECLIPSYS CORP COM 278856109 659 65,000 SH Defined 1 65,000 ECLIPSYS CORP COM 278856109 659 65,000 SH Sole None 65,000 ECLIPSYS CORP COM 278856109 1,014 100,000 SH Defined 2 100,000 ELECTRO SCIENTIFIC INDS COM 285229100 740 125,000 SH Defined 1 125,000 ELECTRO SCIENTIFIC INDS COM 285229100 503 85,000 SH Sole None 85,000 ELECTRO SCIENTIFIC INDS COM 285229100 1,036 175,000 SH Defined 2 175,000 EMS TECHNOLOGIES INC COM 26873N108 2,521 144,400 SH Defined 1 144,400 EMS TECHNOLOGIES INC COM 26873N108 1,840 105,400 SH Sole None 105,400 EMS TECHNOLOGIES INC COM 26873N108 2,179 124,800 SH Defined 2 124,800 ENTEGRIS INC COM 29362U104 362 420,625 SH Defined 1 420,625 ENTEGRIS INC COM 29362U104 212 246,925 SH Sole None 246,925 ENTEGRIS INC COM 29362U104 86 100,000 SH Defined 2 100,000 EXAR CORP COM 300645108 1,011 161,990 SH Defined 1 161,990 EXAR CORP COM 300645108 544 87,224 SH Sole None 87,224 EXPRESS SCRIPTS INC COM 302182100 4,502 97,500 SH Defined 1 97,500 EXPRESS SCRIPTS INC COM 302182100 3,024 65,500 SH Sole None 65,500 EXPRESS SCRIPTS INC COM 302182100 5,310 115,000 SH Defined 2 115,000 FCSTONE GROUP INC COM 31308T100 80 35,000 SH Sole None 35,000 FREQUENCY ELECTRS INC COM 358010106 299 90,000 SH Sole None 90,000 FSI INTL INC COM 302633102 180 558,500 SH Defined 2 558,500 GILEAD SCIENCES INC COM 375558103 695 15,000 SH Sole None 15,000 H & Q HEALTHCARE FD SH BEN INT 404052102 2,137 212,185 SH Defined 1 212,185 H & Q HEALTHCARE FD SH BEN INT 404052102 1,963 194,968 SH Sole None 194,968 H & Q LIFE SCIENCES INVS SH BEN INT 404053100 2,299 294,684 SH Defined 1 294,684 H & Q LIFE SCIENCES INVS SH BEN INT 404053100 1,161 148,833 SH Sole None 148,833 HARTE-HANKS INC COM 416196103 527 98,550 SH Defined 1 98,550 HEALTHSOUTH CORP COM NEW 421924309 622 70,000 SH Defined 1 70,000 HEALTHSOUTH CORP COM NEW 421924309 222 25,000 SH Sole None 25,000 HEALTHWAYS INC COM 422245100 175 20,000 SH Defined 2 20,000 HONEYWELL INTL INC COM 438516106 2,786 100,000 SH Defined 1 100,000 HUTCHINSON TECHNOLOGY INC COM 448407106 163 62,500 SH Sole None 62,500 HUTCHINSON TECHNOLOGY INC COM 448407106 260 100,000 SH Defined 1 100,000 ICX TECHNOLOGIES INC COM 44934T105 142 35,000 SH Sole None 35,000 INTERACTIVE BROKERS GROUP IN COM 45841N107 2,287 141,793 SH Defined 1 141,793 INTERACTIVE BROKERS GROUP IN COM 45841N107 1,099 68,110 SH Sole None 68,110 INTUIT COM 461202103 3,645 135,000 SH Defined 2 135,000 IROBOT CORP COM 462726100 32 4,200 SH Defined 1 4,200 IROBOT CORP COM 462726100 57 7,500 SH Sole None 7,500 IRON MTN INC COM 462846106 3,769 170,000 SH Defined 2 170,000 IRON MTN INC COM 462846106 443 20,000 SH Sole None 20,000 KEMET CORP COM 488360108 29 119,000 SH Defined 1 119,000 KVH INDS INC COM 482738101 248 50,000 SH Sole None 50,000 LABORATORY CORP AMER HLDGS COM NEW 50540R409 2,925 50,000 SH Defined 1 50,000 LABORATORY CORP AMER HLDGS COM NEW 50540R409 420 7,188 SH Sole None 7,188 LEMAITRE VASCULAR INC COM 525558201 197 85,700 SH Sole None 85,700 LTX-CREDENCE CORP COM 502403108 42 150,000 SH Defined 1 150,000 LTX-CREDENCE CORP COM 502403108 22 80,000 SH Sole None 80,000 LUXOTTICA GROUP S P A SPONSORED ADR 55068R202 2,541 165,000 SH Defined 2 165,000 LUXOTTICA GROUP S P A SPONSORED ADR 55068R202 193 12,500 SH Sole None 12,500 MATTSON TECHNOLOGY INC COM 577223100 77 91,000 SH Defined 2 91,000 MATTSON TECHNOLOGY INC COM 577223100 136 161,500 SH Sole None 161,500 MATTSON TECHNOLOGY INC COM 577223100 168 200,000 SH Defined 1 200,000 MERCK & CO INC COM 589331107 1,338 50,000 SH Defined 2 50,000 MICROSEMI CORP COM 595137100 522 45,000 SH Defined 2 45,000 MICROSEMI CORP COM 595137100 162 14,000 SH Sole None 14,000 MKS INSTRUMENT INC COM 55306N104 1,467 100,000 SH Defined 1 100,000 MKS INSTRUMENT INC COM 55306N104 807 55,000 SH Sole None 55,000 MKS INSTRUMENT INC COM 55306N104 1,467 100,000 SH Defined 2 100,000 MORGAN STANLEY COM NEW 617446448 2,277 100,000 SH Defined 2 100,000 MORTONS RESTAURANT GRP INC N COM 619430101 593 222,200 SH Defined 2 222,200 MORTONS RESTAURANT GRP INC N COM 619430101 53 20,000 SH Sole None 20,000 MOTOROLA INC COM 620076109 774 183,000 SH Defined 1 183,000 MOTOROLA INC COM 620076109 212 50,000 SH Sole None 50,000 MUELLER WTR PRODS INC COM SER A 624758108 79 23,900 SH Defined 1 23,900 NATIONAL SEMICONDUCTOR CORP COM 637640103 1,849 180,000 SH Defined 2 180,000 NATUS MEDICAL INC DEL COM 639050103 85 10,000 SH Sole None 10,000 NETEZZA CORP COM 64111N101 1,158 169,800 SH Defined 1 169,800 NETEZZA CORP COM 64111N101 691 101,300 SH Sole None 101,300 NEWPORT CORP COM 651824104 884 200,000 SH Defined 1 200,000 NEWPORT CORP COM 651824104 354 80,000 SH Sole None 80,000 NEWPORT CORP COM 651824104 1,050 237,600 SH Defined 2 237,600 NOVA MEASURING INSTRUMENTS L COM M7516K103 107 150,000 SH Sole None 150,000 OMNICELL INC COM 68213N109 311 39,800 SH Defined 2 39,800 OMNICELL INC COM 68213N109 107 13,700 SH Sole None 13,700 ORBOTECH LTD ORD M75253100 379 100,000 SH Defined 1 100,000 ORBOTECH LTD ORD M75253100 167 44,062 SH Sole None 44,062 ORBOTECH LTD ORD M75253100 563 148,600 SH Defined 2 148,600 PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 1,223 122,500 SH Defined 1 122,500 PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 753 75,500 SH Sole None 75,500 PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 1,747 175,000 SH Defined 2 175,000 PDF SOLUTIONS INC COM 693282105 32 20,000 SH Sole None 20,000 PLANAR SYS INC COM 726900103 107 157,000 SH Sole None 157,000 PLX TECHNOLOGY INC COM 693417107 212 97,500 SH Defined 1 97,500 PLX TECHNOLOGY INC COM 693417107 179 82,500 SH Sole None 82,500 PRECISION CASTPARTS CORP COM 740189105 5,990 100,000 SH Defined 1 100,000 PRECISION CASTPARTS CORP COM 740189105 3,542 59,126 SH Sole None 59,126 PROGRESS SOFTWARE CORP COM 743312100 637 36,683 SH Defined 1 36,683 PROGRESS SOFTWARE CORP COM 743312100 208 11,980 SH Sole None 11,980 RADISYS CORP COM 750459109 851 140,400 SH Defined 1 140,400 RADISYS CORP COM 750459109 424 70,000 SH Sole None 70,000 RESOURCES CONNECTION INC COM 76122Q105 754 50,000 SH Defined 2 50,000 RESOURCES CONNECTION INC COM 76122Q105 320 21,250 SH Sole None 21,250 ROCKFORD CORP COM 77316P101 118 274,000 SH Sole None 274,000 SAIC INC COM 78390X101 607 32,500 SH Defined 1 32,500 SAIC INC COM 78390X101 327 17,500 SH Sole None 17,500 SANMINA SCI CORP COM 800907107 153 500,000 SH Defined 1 500,000 SANMINA SCI CORP COM 800907107 53 175,000 SH Sole None 175,000 SCHERING PLOUGH CORP COM 806605101 3,815 162,000 SH Defined 2 162,000 SCHERING PLOUGH CORP COM 806605101 2,520 107,000 SH Defined 1 107,000 SCHERING PLOUGH CORP COM 806605101 1,219 51,750 SH Sole None 51,750 SEAGATE TECHNOLOGY SHS G7945J104 1,352 225,000 SH Defined 2 225,000 SEAGATE TECHNOLOGY SHS G7945J104 631 105,000 SH Sole None 105,000 SEAGATE TECHNOLOGY SHS G7945J104 1,202 200,000 SH Defined 1 200,000 SEMITOOL INC COM 816909105 391 140,770 SH Defined 1 140,770 SEMITOOL INC COM 816909105 303 108,860 SH Sole None 108,860 SEMITOOL INC COM 816909105 278 100,000 SH Defined 2 100,000 SOUNDBITE COMMUNICATIONS INC COM 836091108 133 99,100 SH Defined 1 99,100 SOUNDBITE COMMUNICATIONS INC COM 836091108 121 86,800 SH Sole None 86,800 SOUNDBITE COMMUNICATIONS INC COM 836091108 145 100,000 SH Defined 2 100,000 SOUTHWALL TECHNOLOGIES INC COM 844909101 210 400,000 SH Defined 1 400,000 SOUTHWALL TECHNOLOGIES INC COM 844909101 158 300,000 SH Sole None 300,000 SOUTHWALL TECHNOLOGIES INC COM 844909101 383 728,000 SH Defined 2 728,000 SOUTHWALL TECHNOLOGIES INC COM 844909101 4,146 7,882,639 SH OTHER 7,882,639 SOUTHWALL TECHNOLOGIES INC PREFERRED A 844909101 1,716 3,261,666 SH OTHER 3,261,666 STATE STR CORP COM 857477103 2,309 75,000 SH Defined 1 75,000 STATE STR CORP COM 857477103 1,385 45,000 SH Sole None 45,000 STEC INC COM 784774101 147 20,000 SH Sole None 20,000 SUPER MICRO COMPUTER INC COM 86800U104 659 134,000 SH Defined 1 134,000 SUPER MICRO COMPUTER INC COM 86800U104 423 86,000 SH Sole None 86,000 SYPRIS SOLUTIONS INC COM 871655106 359 394,650 SH Defined 1 394,650 SYPRIS SOLUTIONS INC COM 871655106 238 261,950 SH Sole None 261,950 SYPRIS SOLUTIONS INC COM 871655106 415 418,700 SH Defined 2 418,700 TESSERA TECHNOLOGIES INC COM 88164L100 731 54,700 SH Defined 1 54,700 TESSERA TECHNOLOGIES INC COM 88164L100 394 29,500 SH Sole None 29,500 THERMO FISHER SCIENTIFIC INC COM 883556102 3,567 100,000 SH Defined 1 100,000 THERMO FISHER SCIENTIFIC INC COM 883556102 4,102 115,000 SH Defined 2 115,000 TRANSOCEAN LTD REG SHS H8817H100 1,765 30,000 SH Defined 2 30,000 TRIMBLE NAVIGATION LTD COM 896239100 344 22,500 SH Sole None 22,500 TYCO ELECTRONICS LTD COM NEW G9144P105 272 24,625 SH Defined 1 24,625 TYCO ELECTRONICS LTD COM NEW G9144P105 138 12,500 SH Sole None 12,500 TYCO INTL LTD BERMUDA SHS G9143X208 482 24,625 SH Defined 1 24,625 TYCO INTL LTD BERMUDA SHS G9143X208 245 12,500 SH Sole None 12,500 UNITEDHEALTH GROUP INC COM 91324P102 680 32,500 SH Defined 1 32,500 UNITEDHEALTH GROUP INC COM 91324P102 251 12,000 SH Sole None 12,000 UNITEDHEALTH GROUP INC COM 91324P102 1,308 62,500 SH Defined 2 62,500 VARIAN MED SYS INC COM 92220P105 2,473 81,250 SH Defined 1 81,250 VARIAN MED SYS INC COM 92220P105 1,636 53,750 SH Sole None 53,750 VARIAN MED SYS INC COM 92220P105 3,044 100,000 SH Defined 2 100,000 VIASAT INC COM 92552V100 2,082 100,000 SH Defined 1 100,000 VIASAT INC COM 92552V100 1,562 75,000 SH Sole None 75,000 VIASAT INC COM 92552V100 3,123 150,000 SH Defined 2 150,000 VISHAY INTERTECHNOLOGY INC COM 928298108 374 107,500 SH Defined 1 107,500 VISHAY INTERTECHNOLOGY INC COM 928298108 174 50,000 SH Sole None 50,000 VISHAY INTERTECHNOLOGY INC COM 928298108 348 100,000 SH Defined 2 100,000 WHOLE FOODS MKT INC COM 966837106 1,092 65,000 SH Defined 2 65,000 WHOLE FOODS MKT INC COM 966837106 42 2,500 SH Sole None 2,500 X-RITE INC COM 983857103 124 119,300 SH Defined 1 119,300 X-RITE INC COM 983857103 70 67,400 SH Sole None 67,400
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