0000919574-17-004070.txt : 20170515 0000919574-17-004070.hdr.sgml : 20170515 20170512180035 ACCESSION NUMBER: 0000919574-17-004070 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170512 EFFECTIVENESS DATE: 20170515 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: 17840296 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-705-0404 MAIL ADDRESS: STREET 1: 445 PARK AVENUE, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001167212 XXXXXXXX 03-31-2017 03-31-2017 false NEEDHAM INVESTMENT MANAGEMENT LLC

445 PARK AVENUE, 3RD FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-10095 N James W. Giangrasso 212-705-0404 /s/ James W. Giangrasso New York NY 05-12-2017 2 212 388200 1 0000890847 028-11515 NEEDHAM EMERGING GROWTH PARTNERS LP 2 0001310572 028-11514 NEEDHAM GROWTH FUND INFORMATION TABLE 2 infotable.xml 2U INC COM 90214J101 238 6000 SH DFND 2 6000 0 0 2U INC COM 90214J101 436 11000 SH SOLE 11000 0 0 AGILE THERAPEUTICS INC COM 00847L100 174 54150 SH DFND 2 54150 0 0 AGILE THERAPEUTICS INC COM 00847L100 551 171988 SH SOLE 171988 0 0 AIR LEASE CORP CL A 00912X302 963 24850 SH DFND 1 24850 0 0 AIR LEASE CORP CL A 00912X302 1938 50000 SH DFND 2 50000 0 0 AIR LEASE CORP CL A 00912X302 1750 45150 SH SOLE 45150 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 872 14600 SH DFND 1 14600 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 2985 50000 SH DFND 2 50000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 4292 71900 SH SOLE 71900 0 0 AMBER RD INC COM 02318Y108 1225 158650 SH DFND 1 158650 0 0 AMBER RD INC COM 02318Y108 3423 443350 SH DFND 2 443350 0 0 AMBER RD INC COM 02318Y108 3600 466300 SH SOLE 466300 0 0 ANALOGIC CORP COM PAR $0.05 032657207 235 3100 SH DFND 2 3100 0 0 ANALOGIC CORP COM PAR $0.05 032657207 235 3100 SH SOLE 3100 0 0 APPLE INC COM 037833100 1077 7500 SH DFND 2 7500 0 0 APPLE INC COM 037833100 3161 22000 SH SOLE 22000 0 0 APPLIED MATLS INC COM 038222105 292 7500 SH DFND 2 7500 0 0 APPROACH RESOURCES INC COM 03834A103 46 18400 SH DFND 1 18400 0 0 APPROACH RESOURCES INC COM 03834A103 645 256800 SH SOLE 256800 0 0 ARI NETWORK SVCS INC COM NEW 001930205 78 15000 SH SOLE 15000 0 0 ASPEN AEROGELS INC COM 04523Y105 75 18000 SH DFND 1 18000 0 0 ASPEN AEROGELS INC COM 04523Y105 239 57500 SH DFND 2 57500 0 0 ASPEN AEROGELS INC COM 04523Y105 1108 267000 SH SOLE 267000 0 0 AV HOMES INC COM 00234P102 395 24000 SH DFND 1 24000 0 0 AV HOMES INC COM 00234P102 148 9000 SH SOLE 9000 0 0 BECTON DICKINSON & CO COM 075887109 5962 32500 SH DFND 2 32500 0 0 BECTON DICKINSON & CO COM 075887109 825 4500 SH SOLE 4500 0 0 BOEING CO COM 097023105 8843 50000 SH DFND 1 50000 0 0 BOEING CO COM 097023105 3537 20000 SH SOLE 20000 0 0 BOTTOMLINE TECH DEL INC COM 101388106 1259 53219 SH SOLE 53219 0 0 BRUKER CORP COM 116794108 233 10000 SH DFND 2 10000 0 0 CARMAX INC COM 143130102 6070 102500 SH DFND 2 102500 0 0 CARMAX INC COM 143130102 1273 21500 SH SOLE 21500 0 0 CASTLIGHT HEALTH INC CL B 14862Q100 219 60000 SH DFND 2 60000 0 0 CASTLIGHT HEALTH INC CL B 14862Q100 438 120000 SH SOLE 120000 0 0 CHANNELADVISOR CORP COM 159179100 938 84117 SH SOLE 84117 0 0 CLEAN HARBORS INC COM 184496107 167 3000 SH DFND 2 3000 0 0 CLEAN HARBORS INC COM 184496107 222 4000 SH SOLE 4000 0 0 COHU INC COM 192576106 277 15000 SH SOLE 15000 0 0 COMCAST CORP NEW CL A 20030N101 7518 200000 SH DFND 1 200000 0 0 COMCAST CORP NEW CL A 20030N101 4417 117500 SH DFND 2 117500 0 0 COMSCORE INC COM 20564W105 410 19000 SH DFND 1 19000 0 0 COMSCORE INC COM 20564W105 1423 65900 SH DFND 2 65900 0 0 COMSCORE INC COM 20564W105 1600 74100 SH SOLE 74100 0 0 CONMED CORP COM 207410101 1332 30000 SH DFND 2 30000 0 0 CORE LABORATORIES N V COM N22717107 347 3000 SH DFND 2 3000 0 0 CORE LABORATORIES N V COM N22717107 693 6000 SH SOLE 6000 0 0 CORIUM INTL INC COM 21887L107 377 90212 SH DFND 1 90212 0 0 CORIUM INTL INC COM 21887L107 923 220900 SH DFND 2 220900 0 0 CORIUM INTL INC COM 21887L107 1315 314512 SH SOLE 314512 0 0 CORNING INC COM 219350105 945 35000 SH DFND 2 35000 0 0 CRAY INC COM NEW 225223304 274 12500 SH DFND 2 12500 0 0 CRAY INC COM NEW 225223304 438 20000 SH SOLE 20000 0 0 DICKS SPORTING GOODS INC COM 253393102 1071 22000 SH DFND 2 22000 0 0 DICKS SPORTING GOODS INC COM 253393102 487 10000 SH SOLE 10000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 3662 75000 SH DFND 1 75000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 3125 64000 SH DFND 2 64000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2197 45000 SH SOLE 45000 0 0 ENTEGRIS INC COM 29362U104 3426 146400 SH DFND 1 146400 0 0 ENTEGRIS INC COM 29362U104 3803 162500 SH DFND 2 162500 0 0 ENTEGRIS INC COM 29362U104 5700 243600 SH SOLE 243600 0 0 EQUINIX INC COM PAR $0.001 29444U700 1401 3499 SH SOLE 3499 0 0 EXACT SCIENCES CORP COM 30063P105 354 15000 SH SOLE 15000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 9412 142800 SH DFND 1 142800 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 7876 119500 SH DFND 2 119500 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 3078 46700 SH SOLE 46700 0 0 FINANCIAL ENGINES INC COM 317485100 2613 60000 SH DFND 1 60000 0 0 FINANCIAL ENGINES INC COM 317485100 2439 56000 SH DFND 2 56000 0 0 FINANCIAL ENGINES INC COM 317485100 1897 43550 SH SOLE 43550 0 0 FIREEYE INC COM 31816Q101 1356 107500 SH SOLE 107500 0 0 FLIR SYS INC COM 302445101 544 15000 SH DFND 2 15000 0 0 FLIR SYS INC COM 302445101 272 7500 SH SOLE 7500 0 0 FORMFACTOR INC COM 346375108 5050 426200 SH DFND 1 426200 0 0 FORMFACTOR INC COM 346375108 4306 363350 SH DFND 2 363350 0 0 FORMFACTOR INC COM 346375108 4366 368450 SH SOLE 368450 0 0 FOUNDATION MEDICINE INC COM 350465100 1350 41875 SH DFND 1 41875 0 0 FOUNDATION MEDICINE INC COM 350465100 504 15625 SH SOLE 15625 0 0 FREQUENCY ELECTRS INC COM 358010106 550 50000 SH DFND 2 50000 0 0 FREQUENCY ELECTRS INC COM 358010106 2840 258145 SH SOLE 258145 0 0 GILEAD SCIENCES INC COM 375558103 3124 46000 SH DFND 1 46000 0 0 GILEAD SCIENCES INC COM 375558103 6283 92500 SH DFND 2 92500 0 0 GILEAD SCIENCES INC COM 375558103 2445 36000 SH SOLE 36000 0 0 GSE SYS INC COM 36227K106 3460 1017500 SH SOLE 1017500 0 0 GSV CAP CORP COM 36191J101 1343 299797 SH DFND 1 299797 0 0 GSV CAP CORP COM 36191J101 453 101162 SH SOLE 101162 0 0 HEALTHSOUTH CORP COM NEW 421924309 2997 70000 SH DFND 1 70000 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 128 7300 SH DFND 1 7300 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 47 2700 SH SOLE 2700 0 0 HESS CORP COM 42809H107 1446 30000 SH DFND 1 30000 0 0 HESS CORP COM 42809H107 482 10000 SH DFND 2 10000 0 0 HESS CORP COM 42809H107 229 4750 SH SOLE 4750 0 0 HONEYWELL INTL INC COM 438516106 2997 24000 SH DFND 1 24000 0 0 HONEYWELL INTL INC COM 438516106 312 2500 SH DFND 2 2500 0 0 HORTONWORKS INC COM 440894103 245 25000 SH SOLE 25000 0 0 II VI INC COM 902104108 4117 114200 SH DFND 1 114200 0 0 II VI INC COM 902104108 2012 55800 SH SOLE 55800 0 0 INDEPENDENCE CONTRACT DRIL I COM 453415309 276 50000 SH SOLE 50000 0 0 INVENSENSE INC COM 46123D205 442 35000 SH SOLE 35000 0 0 INVUITY INC COM NEW 46187J205 36 4500 SH DFND 1 4500 0 0 INVUITY INC COM NEW 46187J205 820 103100 SH DFND 2 103100 0 0 INVUITY INC COM NEW 46187J205 1690 212539 SH SOLE 212539 0 0 IPG PHOTONICS CORP COM 44980X109 724 6000 SH DFND 2 6000 0 0 IPG PHOTONICS CORP COM 44980X109 905 7500 SH SOLE 7500 0 0 IROBOT CORP COM 462726100 265 4000 SH SOLE 4000 0 0 JABIL CIRCUIT INC COM 466313103 4439 153500 SH DFND 1 153500 0 0 JABIL CIRCUIT INC COM 466313103 723 25000 SH DFND 2 25000 0 0 JABIL CIRCUIT INC COM 466313103 1489 51500 SH SOLE 51500 0 0 KVH INDS INC COM 482738101 606 72175 SH DFND 1 72175 0 0 KVH INDS INC COM 482738101 4870 579800 SH DFND 2 579800 0 0 KVH INDS INC COM 482738101 5096 606614 SH SOLE 606614 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 5131 35763 SH DFND 1 35763 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 907 6325 SH SOLE 6325 0 0 LAM RESEARCH CORP COM 512807108 321 2500 SH DFND 2 2500 0 0 LEMAITRE VASCULAR INC COM 525558201 690 28000 SH SOLE 28000 0 0 LIFEWAY FOODS INC COM 531914109 322 30000 SH SOLE 30000 0 0 MARKEL CORP COM 570535104 146 150 SH DFND 2 150 0 0 MARKEL CORP COM 570535104 146 150 SH SOLE 150 0 0 MEDTRONIC PLC SHS G5960L103 1896 23541 SH DFND 1 23541 0 0 MEDTRONIC PLC SHS G5960L103 2118 26290 SH DFND 2 26290 0 0 MEDTRONIC PLC SHS G5960L103 674 8365 SH SOLE 8365 0 0 MKS INSTRUMENT INC COM 55306N104 1719 25000 SH DFND 1 25000 0 0 MKS INSTRUMENT INC COM 55306N104 2406 35000 SH DFND 2 35000 0 0 MKS INSTRUMENT INC COM 55306N104 3231 47000 SH SOLE 47000 0 0 MOBILE MINI INC COM 60740F105 397 13000 SH SOLE 13000 0 0 MONSANTO CO NEW COM 61166W101 3305 29200 SH DFND 1 29200 0 0 MONSANTO CO NEW COM 61166W101 1223 10800 SH SOLE 10800 0 0 NATIONAL INSTRS CORP COM 636518102 677 20800 SH DFND 2 20800 0 0 NATIONAL INSTRS CORP COM 636518102 316 9700 SH SOLE 9700 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 1637 119050 SH DFND 1 119050 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 69 5000 SH DFND 2 5000 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 632 45950 SH SOLE 45950 0 0 NORSAT INTL INC NEW COM NEW 656512209 1142 114240 SH SOLE 114240 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 1952 105000 SH DFND 1 105000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 1218 65500 SH DFND 2 65500 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 2612 140500 SH SOLE 140500 0 0 NUTANIX INC CL A 67059N108 188 10000 SH DFND 2 10000 0 0 NUTANIX INC CL A 67059N108 732 39000 SH SOLE 39000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 1608 35500 SH DFND 1 35500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 906 20000 SH DFND 2 20000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 657 14500 SH SOLE 14500 0 0 OIL DRI CORP AMER COM 677864100 812 21800 SH DFND 2 21800 0 0 OIL DRI CORP AMER COM 677864100 1843 49442 SH SOLE 49442 0 0 OMNICELL INC COM 68213N109 528 13000 SH SOLE 13000 0 0 ORBOTECH LTD ORD M75253100 2761 85600 SH DFND 1 85600 0 0 ORBOTECH LTD ORD M75253100 1271 39400 SH SOLE 39400 0 0 PDF SOLUTIONS INC COM 693282105 1318 58250 SH DFND 1 58250 0 0 PDF SOLUTIONS INC COM 693282105 5381 237900 SH DFND 2 237900 0 0 PDF SOLUTIONS INC COM 693282105 8297 366800 SH SOLE 366800 0 0 PHOTRONICS INC COM 719405102 615 57500 SH DFND 1 57500 0 0 PHOTRONICS INC COM 719405102 1445 135000 SH DFND 2 135000 0 0 PHOTRONICS INC COM 719405102 1982 185250 SH SOLE 185250 0 0 PURE STORAGE INC CL A 74624M102 747 76000 SH DFND 1 76000 0 0 PURE STORAGE INC CL A 74624M102 492 50000 SH DFND 2 50000 0 0 PURE STORAGE INC CL A 74624M102 2644 269000 SH SOLE 269000 0 0 Q2 HLDGS INC COM 74736L109 697 20000 SH DFND 2 20000 0 0 Q2 HLDGS INC COM 74736L109 436 12500 SH SOLE 12500 0 0 QUINSTREET INC COM 74874Q100 569 146000 SH DFND 1 146000 0 0 QUINSTREET INC COM 74874Q100 211 54030 SH SOLE 54030 0 0 RED HAT INC COM 756577102 623 7200 SH DFND 1 7200 0 0 RED HAT INC COM 756577102 865 10000 SH DFND 2 10000 0 0 RED HAT INC COM 756577102 675 7800 SH SOLE 7800 0 0 REIS INC COM 75936P105 1391 77700 SH DFND 2 77700 0 0 REIS INC COM 75936P105 3034 169500 SH SOLE 169500 0 0 SCHLUMBERGER LTD COM 806857108 976 12500 SH DFND 2 12500 0 0 SERVICESOURCE INTL INC COM 81763U100 407 105000 SH SOLE 105000 0 0 SOUTHWEST AIRLS CO COM 844741108 2333 43400 SH DFND 1 43400 0 0 SOUTHWEST AIRLS CO COM 844741108 892 16600 SH SOLE 16600 0 0 SUPER MICRO COMPUTER INC COM 86800U104 5628 222000 SH DFND 1 222000 0 0 SUPER MICRO COMPUTER INC COM 86800U104 4714 185950 SH DFND 2 185950 0 0 SUPER MICRO COMPUTER INC COM 86800U104 5158 203475 SH SOLE 203475 0 0 SYPRIS SOLUTIONS INC COM 871655106 154 145050 SH DFND 1 145050 0 0 SYPRIS SOLUTIONS INC COM 871655106 214 202233 SH DFND 2 202233 0 0 SYPRIS SOLUTIONS INC COM 871655106 54 50950 SH SOLE 50950 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 6284 261392 SH DFND 1 261392 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 3261 135631 SH SOLE 135631 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 7645 394283 SH DFND 1 394283 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 3506 180840 SH SOLE 180840 0 0 THE TRADE DESK INC COM CL A 88339J105 1468 39399 SH DFND 1 39399 0 0 THE TRADE DESK INC COM CL A 88339J105 443 11900 SH DFND 2 11900 0 0 THE TRADE DESK INC COM CL A 88339J105 923 24771 SH SOLE 24771 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 7680 50000 SH DFND 1 50000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 8909 58000 SH DFND 2 58000 0 0 THESTREET INC COM 88368Q103 16 20450 SH SOLE 20450 0 0 TWILIO INC CL A 90138F102 289 10000 SH SOLE 10000 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 253 15000 SH SOLE 15000 0 0 UNDER ARMOUR INC CL C 904311206 183 10000 SH DFND 2 10000 0 0 UNDER ARMOUR INC CL C 904311206 174 9500 SH SOLE 9500 0 0 UNITED CONTL HLDGS INC COM 910047109 4945 70000 SH DFND 1 70000 0 0 UNITED CONTL HLDGS INC COM 910047109 353 5000 SH DFND 2 5000 0 0 UNITED CONTL HLDGS INC COM 910047109 2119 30000 SH SOLE 30000 0 0 VARIAN MED SYS INC COM 92220P105 2050 22500 SH DFND 1 22500 0 0 VARIAN MED SYS INC COM 92220P105 1139 12500 SH DFND 2 12500 0 0 VARIAN MED SYS INC COM 92220P105 1048 11500 SH SOLE 11500 0 0 VEECO INSTRS INC DEL COM 922417100 299 10000 SH SOLE 10000 0 0 VIASAT INC COM 92552V100 6037 94600 SH DFND 1 94600 0 0 VIASAT INC COM 92552V100 5584 87500 SH DFND 2 87500 0 0 VIASAT INC COM 92552V100 5929 92900 SH SOLE 92900 0 0 VICOR CORP COM 925815102 259 16100 SH DFND 1 16100 0 0 VICOR CORP COM 925815102 282 17500 SH DFND 2 17500 0 0 VICOR CORP COM 925815102 984 61100 SH SOLE 61100 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 987 60000 SH DFND 2 60000 0 0 VISHAY PRECISION GROUP INC COM 92835K103 474 30000 SH SOLE 30000 0 0 WAGEWORKS INC COM 930427109 1627 22500 SH DFND 2 22500 0 0 WAGEWORKS INC COM 930427109 2024 28000 SH SOLE 28000 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 278 12500 SH DFND 2 12500 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 133 6000 SH SOLE 6000 0 0 XACTLY CORP COM 98386L101 208 17500 SH DFND 2 17500 0 0 XACTLY CORP COM 98386L101 446 37500 SH SOLE 37500 0 0 XCERRA CORP COM 98400J108 445 50000 SH DFND 1 50000 0 0 XCERRA CORP COM 98400J108 326 36666 SH SOLE 36666 0 0 YUME INC COM 98872B104 409 100000 SH SOLE 100000 0 0