0000919574-17-006017.txt : 20170814 0000919574-17-006017.hdr.sgml : 20170814 20170811182825 ACCESSION NUMBER: 0000919574-17-006017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170811 EFFECTIVENESS DATE: 20170814 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: 171026423 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 06-30-2017 06-30-2017 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 08-11-2017 2 198 375635 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 282 6000 SH DFND 2 6000 0 0 2U INC COM 90214J101 516 11000 SH SOLE 11000 0 0 AGILE THERAPEUTICS INC COM 00847L100 394 105000 SH DFND 2 105000 0 0 AGILE THERAPEUTICS INC COM 00847L100 1219 325000 SH SOLE 325000 0 0 AIR LEASE CORP CL A 00912X302 928 24850 SH DFND 1 24850 0 0 AIR LEASE CORP CL A 00912X302 1868 50000 SH DFND 2 50000 0 0 AIR LEASE CORP CL A 00912X302 1313 35150 SH SOLE 35150 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 727 14600 SH DFND 1 14600 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 2491 50000 SH DFND 2 50000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 3606 72400 SH SOLE 72400 0 0 AMBER RD INC COM 02318Y108 1360 158650 SH DFND 1 158650 0 0 AMBER RD INC COM 02318Y108 3800 443350 SH DFND 2 443350 0 0 AMBER RD INC COM 02318Y108 3996 466300 SH SOLE 466300 0 0 ANALOGIC CORP COM PAR $0.05 032657207 225 3100 SH DFND 2 3100 0 0 ANALOGIC CORP COM PAR $0.05 032657207 494 6800 SH SOLE 6800 0 0 APPLE INC COM 037833100 1080 7500 SH DFND 2 7500 0 0 APPLE INC COM 037833100 3168 22000 SH SOLE 22000 0 0 APPLIED MATLS INC COM 038222105 310 7500 SH DFND 2 7500 0 0 APPROACH RESOURCES INC COM 03834A103 62 18400 SH DFND 1 18400 0 0 APPROACH RESOURCES INC COM 03834A103 394 116800 SH SOLE 116800 0 0 ARI NETWORK SVCS INC COM NEW 001930205 106 15000 SH SOLE 15000 0 0 ASPEN AEROGELS INC COM 04523Y105 80 18000 SH DFND 1 18000 0 0 ASPEN AEROGELS INC COM 04523Y105 256 57500 SH DFND 2 57500 0 0 ASPEN AEROGELS INC COM 04523Y105 1188 267000 SH SOLE 267000 0 0 AV HOMES INC COM 00234P102 481 24000 SH DFND 1 24000 0 0 AV HOMES INC COM 00234P102 180 9000 SH SOLE 9000 0 0 BECTON DICKINSON & CO COM 075887109 5756 29500 SH DFND 2 29500 0 0 BECTON DICKINSON & CO COM 075887109 878 4500 SH SOLE 4500 0 0 BOEING CO COM 097023105 7910 40000 SH DFND 1 40000 0 0 BOEING CO COM 097023105 2274 11500 SH SOLE 11500 0 0 BOTTOMLINE TECH DEL INC COM 101388106 462 18000 SH SOLE 18000 0 0 BRUKER CORP COM 116794108 288 10000 SH DFND 2 10000 0 0 CARMAX INC COM 143130102 6243 99000 SH DFND 2 99000 0 0 CARMAX INC COM 143130102 1356 21500 SH SOLE 21500 0 0 CASTLIGHT HEALTH INC CL B 14862Q100 249 60000 SH DFND 2 60000 0 0 CASTLIGHT HEALTH INC CL B 14862Q100 498 120000 SH SOLE 120000 0 0 CHANNELADVISOR CORP COM 159179100 625 54117 SH SOLE 54117 0 0 CLEAN HARBORS INC COM 184496107 167 3000 SH DFND 2 3000 0 0 CLEAN HARBORS INC COM 184496107 223 4000 SH SOLE 4000 0 0 COMCAST CORP NEW CL A 20030N101 7784 200000 SH DFND 1 200000 0 0 COMCAST CORP NEW CL A 20030N101 4554 117000 SH DFND 2 117000 0 0 CONMED CORP COM 207410101 1528 30000 SH DFND 2 30000 0 0 CORE LABORATORIES N V COM N22717107 304 3000 SH DFND 2 3000 0 0 CORE LABORATORIES N V COM N22717107 608 6000 SH SOLE 6000 0 0 CORIUM INTL INC COM 21887L107 673 90212 SH DFND 1 90212 0 0 CORIUM INTL INC COM 21887L107 1629 218400 SH DFND 2 218400 0 0 CORIUM INTL INC COM 21887L107 2205 295537 SH SOLE 295537 0 0 CORNING INC COM 219350105 1052 35000 SH DFND 2 35000 0 0 CRAY INC COM NEW 225223304 82 4450 SH DFND 2 4450 0 0 CRAY INC COM NEW 225223304 130 7050 SH SOLE 7050 0 0 CRYOPORT INC COM PAR $0.001 229050307 369 75000 SH SOLE 75000 0 0 DICKS SPORTING GOODS INC COM 253393102 876 22000 SH DFND 2 22000 0 0 DICKS SPORTING GOODS INC COM 253393102 398 10000 SH SOLE 10000 0 0 ECOLOGY & ENVIRONMENT INC CL A 278878103 350 27869 SH SOLE 27869 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 3554 75000 SH DFND 1 75000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 3032 64000 SH DFND 2 64000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2132 45000 SH SOLE 45000 0 0 ENTEGRIS INC COM 29362U104 3213 146400 SH DFND 1 146400 0 0 ENTEGRIS INC COM 29362U104 3556 162000 SH DFND 2 162000 0 0 ENTEGRIS INC COM 29362U104 5347 243600 SH SOLE 243600 0 0 EQUINIX INC COM PAR $0.001 29444U700 1502 3499 SH SOLE 3499 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 9116 142800 SH DFND 1 142800 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 6384 100000 SH DFND 2 100000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 2490 39000 SH SOLE 39000 0 0 FINANCIAL ENGINES INC COM 317485100 2196 60000 SH DFND 1 60000 0 0 FINANCIAL ENGINES INC COM 317485100 2050 56000 SH DFND 2 56000 0 0 FINANCIAL ENGINES INC COM 317485100 1594 43550 SH SOLE 43550 0 0 FIREEYE INC COM 31816Q101 1445 95000 SH SOLE 95000 0 0 FLIR SYS INC COM 302445101 520 15000 SH DFND 2 15000 0 0 FLIR SYS INC COM 302445101 260 7500 SH SOLE 7500 0 0 FORMFACTOR INC COM 346375108 5285 426200 SH DFND 1 426200 0 0 FORMFACTOR INC COM 346375108 4506 363350 SH DFND 2 363350 0 0 FORMFACTOR INC COM 346375108 4569 368450 SH SOLE 368450 0 0 FOUNDATION MEDICINE INC COM 350465100 1665 41875 SH DFND 1 41875 0 0 FOUNDATION MEDICINE INC COM 350465100 621 15625 SH SOLE 15625 0 0 FREQUENCY ELECTRS INC COM 358010106 477 50000 SH DFND 2 50000 0 0 FREQUENCY ELECTRS INC COM 358010106 2463 258145 SH SOLE 258145 0 0 GENMARK DIAGNOSTICS INC COM 372309104 592 50000 SH DFND 1 50000 0 0 GILEAD SCIENCES INC COM 375558103 3256 46000 SH DFND 1 46000 0 0 GILEAD SCIENCES INC COM 375558103 6547 92500 SH DFND 2 92500 0 0 GILEAD SCIENCES INC COM 375558103 2548 36000 SH SOLE 36000 0 0 GSE SYS INC COM 36227K106 3317 1070000 SH SOLE 1070000 0 0 GSV CAP CORP COM 36191J101 1301 299797 SH DFND 1 299797 0 0 GSV CAP CORP COM 36191J101 439 101162 SH SOLE 101162 0 0 HAWAIIAN HOLDINGS INC COM 419879101 408 8700 SH DFND 1 8700 0 0 HAWAIIAN HOLDINGS INC COM 419879101 122 2600 SH SOLE 2600 0 0 HEALTHSOUTH CORP COM NEW 421924309 3388 70000 SH DFND 1 70000 0 0 HESS CORP COM 42809H107 1316 30000 SH DFND 1 30000 0 0 HESS CORP COM 42809H107 439 10000 SH DFND 2 10000 0 0 HESS CORP COM 42809H107 208 4750 SH SOLE 4750 0 0 HONEYWELL INTL INC COM 438516106 3199 24000 SH DFND 1 24000 0 0 HONEYWELL INTL INC COM 438516106 333 2500 SH DFND 2 2500 0 0 II VI INC COM 902104108 3917 114200 SH DFND 1 114200 0 0 II VI INC COM 902104108 1914 55800 SH SOLE 55800 0 0 INDEPENDENCE CONTRACT DRIL I COM 453415309 165 42500 SH SOLE 42500 0 0 INVUITY INC COM NEW 46187J205 33 4500 SH DFND 1 4500 0 0 INVUITY INC COM NEW 46187J205 784 108100 SH DFND 2 108100 0 0 INVUITY INC COM NEW 46187J205 1813 250050 SH SOLE 250050 0 0 IPG PHOTONICS CORP COM 44980X109 871 6000 SH DFND 2 6000 0 0 IPG PHOTONICS CORP COM 44980X109 1088 7500 SH SOLE 7500 0 0 IROBOT CORP COM 462726100 252 3000 SH SOLE 3000 0 0 KVH INDS INC COM 482738101 733 77200 SH DFND 1 77200 0 0 KVH INDS INC COM 482738101 5118 538750 SH DFND 2 538750 0 0 KVH INDS INC COM 482738101 5503 579288 SH SOLE 579288 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 5513 35763 SH DFND 1 35763 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 975 6325 SH SOLE 6325 0 0 LAM RESEARCH CORP COM 512807108 354 2500 SH DFND 2 2500 0 0 LEMAITRE VASCULAR INC COM 525558201 874 28000 SH SOLE 28000 0 0 LIFEWAY FOODS INC COM 531914109 327 35000 SH SOLE 35000 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 2089 23541 SH DFND 1 23541 0 0 MEDTRONIC PLC SHS G5960L103 2333 26290 SH DFND 2 26290 0 0 MEDTRONIC PLC SHS G5960L103 742 8365 SH SOLE 8365 0 0 MKS INSTRUMENT INC COM 55306N104 1683 25000 SH DFND 1 25000 0 0 MKS INSTRUMENT INC COM 55306N104 2154 32000 SH DFND 2 32000 0 0 MKS INSTRUMENT INC COM 55306N104 3163 47000 SH SOLE 47000 0 0 MOBILE MINI INC COM 60740F105 388 13000 SH SOLE 13000 0 0 MONSANTO CO NEW COM 61166W101 3456 29200 SH DFND 1 29200 0 0 MONSANTO CO NEW COM 61166W101 331 2800 SH SOLE 2800 0 0 NATIONAL INSTRS CORP COM 636518102 837 20800 SH DFND 2 20800 0 0 NATIONAL INSTRS CORP COM 636518102 362 9000 SH SOLE 9000 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 1467 176800 SH DFND 1 176800 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 42 5000 SH DFND 2 5000 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 371 44650 SH SOLE 44650 0 0 NEOPHOTONICS CORP COM 64051T100 212 27500 SH SOLE 27500 0 0 NORSAT INTL INC NEW COM NEW 656512209 969 85000 SH SOLE 85000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 2319 105000 SH DFND 1 105000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 1436 65000 SH DFND 2 65000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 3104 140500 SH SOLE 140500 0 0 NUTANIX INC CL A 67059N108 242 12000 SH DFND 2 12000 0 0 NUTANIX INC CL A 67059N108 1088 54000 SH SOLE 54000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 1654 35500 SH DFND 1 35500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 932 20000 SH DFND 2 20000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 676 14500 SH SOLE 14500 0 0 OIL DRI CORP AMER COM 677864100 916 21800 SH DFND 2 21800 0 0 OIL DRI CORP AMER COM 677864100 2077 49442 SH SOLE 49442 0 0 OMNICELL INC COM 68213N109 560 13000 SH SOLE 13000 0 0 ORBOTECH LTD ORD M75253100 2792 85600 SH DFND 1 85600 0 0 ORBOTECH LTD ORD M75253100 1285 39400 SH SOLE 39400 0 0 PDF SOLUTIONS INC COM 693282105 958 58250 SH DFND 1 58250 0 0 PDF SOLUTIONS INC COM 693282105 4113 250000 SH DFND 2 250000 0 0 PDF SOLUTIONS INC COM 693282105 7185 436750 SH SOLE 436750 0 0 PHOTRONICS INC COM 719405102 541 57500 SH DFND 1 57500 0 0 PHOTRONICS INC COM 719405102 1466 156000 SH DFND 2 156000 0 0 PHOTRONICS INC COM 719405102 2271 241550 SH SOLE 241550 0 0 PURE STORAGE INC CL A 74624M102 974 76000 SH DFND 1 76000 0 0 PURE STORAGE INC CL A 74624M102 641 50000 SH DFND 2 50000 0 0 PURE STORAGE INC CL A 74624M102 2933 229000 SH SOLE 229000 0 0 Q2 HLDGS INC COM 74736L109 739 20000 SH DFND 2 20000 0 0 Q2 HLDGS INC COM 74736L109 462 12500 SH SOLE 12500 0 0 QUINSTREET INC COM 74874Q100 337 80867 SH DFND 1 80867 0 0 QUINSTREET INC COM 74874Q100 140 33505 SH SOLE 33505 0 0 RED HAT INC COM 756577102 689 7200 SH DFND 1 7200 0 0 RED HAT INC COM 756577102 958 10000 SH DFND 2 10000 0 0 RED HAT INC COM 756577102 747 7800 SH SOLE 7800 0 0 REIS INC COM 75936P105 1753 82500 SH DFND 2 82500 0 0 REIS INC COM 75936P105 3946 185708 SH SOLE 185708 0 0 SCHLUMBERGER LTD COM 806857108 823 12500 SH DFND 2 12500 0 0 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