0000919574-19-007042.txt : 20191114 0000919574-19-007042.hdr.sgml : 20191114 20191113203702 ACCESSION NUMBER: 0000919574-19-007042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191113 EFFECTIVENESS DATE: 20191114 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: 191215962 BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 BUSINESS PHONE: 212-705-0404 MAIL ADDRESS: STREET 1: 250 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001167212 XXXXXXXX 09-30-2019 09-30-2019 false NEEDHAM INVESTMENT MANAGEMENT LLC

250 PARK AVENUE, 10TH FLOOR NEW YORK NY 10177

13F HOLDINGS REPORT 028-10095 N James W. Giangrasso 212-705-0404 /s/ James W. Giangrasso New York NY 11-13-2019 2 168 311539 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 280 17200 SH SOLE 17200 0 0 2U INC COM 90214J101 168 10300 SH DFND 2 10300 0 0 AGILE THERAPEUTICS INC COM 00847L100 65 55000 SH SOLE 55000 0 0 AIR LEASE CORP CL A 00912X302 1673 40000 SH DFND 1 40000 0 0 AIR LEASE CORP CL A 00912X302 2049 49000 SH DFND 2 49000 0 0 AIR LEASE CORP CL A 00912X302 2384 57000 SH SOLE 57000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 1965 21500 SH SOLE 21500 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 3107 34000 SH DFND 2 34000 0 0 AKOUSTIS TECHNOLOGIES INC COM 00973N102 581 75000 SH SOLE 75000 0 0 ALPHA PRO TECH LTD COM 020772109 292 81000 SH SOLE 81000 0 0 APPIAN CORP CL A 03782L101 119 2500 SH SOLE 2500 0 0 APPIAN CORP CL A 03782L101 475 10000 SH DFND 2 10000 0 0 APPLE INC COM 037833100 4479 20000 SH SOLE 20000 0 0 APPLE INC COM 037833100 605 2700 SH DFND 2 2700 0 0 APPLIED MATLS INC COM 038222105 449 9000 SH DFND 2 9000 0 0 ASPEN AEROGELS INC COM 04523Y105 2176 367650 SH DFND 2 367650 0 0 ASPEN AEROGELS INC COM 04523Y105 2917 492700 SH SOLE 492700 0 0 ASPEN AEROGELS INC COM 04523Y105 162 27300 SH DFND 1 27300 0 0 BECTON DICKINSON & CO COM 075887109 5059 20000 SH DFND 2 20000 0 0 BOEING CO COM 097023105 7609 20000 SH DFND 1 20000 0 0 BOEING CO COM 097023105 2093 5500 SH SOLE 5500 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 328 6173 SH DFND 2 6173 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 475 8950 SH SOLE 8950 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 1163 21914 SH DFND 1 21914 0 0 BRUKER CORP COM 116794108 439 10000 SH SOLE 10000 0 0 CAMBIUM NETWORKS CORP SHS G17766109 56 5770 SH DFND 1 5770 0 0 CAMBIUM NETWORKS CORP SHS G17766109 49 5000 SH DFND 2 5000 0 0 CAMBIUM NETWORKS CORP SHS G17766109 623 64218 SH SOLE 64218 0 0 CARMAX INC COM 143130102 1804 20500 SH SOLE 20500 0 0 CARMAX INC COM 143130102 7260 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COM 375558103 2915 46000 SH DFND 1 46000 0 0 GILEAD SCIENCES INC COM 375558103 5451 86000 SH DFND 2 86000 0 0 GILEAD SCIENCES INC COM 375558103 824 13000 SH SOLE 13000 0 0 GSE SYS INC COM 36227K106 1789 1022500 SH SOLE 1022500 0 0 HAWAIIAN HOLDINGS INC COM 419879101 276 10500 SH DFND 2 10500 0 0 HAWAIIAN HOLDINGS INC COM 419879101 2105 80150 SH SOLE 80150 0 0 HAWAIIAN HOLDINGS INC COM 419879101 2430 92550 SH DFND 1 92550 0 0 HONEYWELL INTL INC COM 438516106 4061 24000 SH DFND 1 24000 0 0 HONEYWELL INTL INC COM 438516106 423 2500 SH DFND 2 2500 0 0 II VI INC COM 902104108 211 6000 SH DFND 2 6000 0 0 II VI INC COM 902104108 3394 96400 SH SOLE 96400 0 0 II VI INC COM 902104108 4021 114200 SH DFND 1 114200 0 0 INTEVAC INC COM 461148108 1677 320000 SH SOLE 320000 0 0 IPG PHOTONICS CORP COM 44980X109 949 7000 SH SOLE 7000 0 0 IPG PHOTONICS CORP COM 44980X109 848 6250 SH DFND 2 6250 0 0 KIMBELL RTY PARTNERS LP UNIT 49435R102 368 25000 SH SOLE 25000 0 0 KLA CORPORATION COM NEW 482480100 1196 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17500 SH DFND 2 17500 0 0 QUEST DIAGNOSTICS INC COM 74834L100 375 3500 SH DFND 2 3500 0 0 QUEST DIAGNOSTICS INC COM 74834L100 187 1750 SH SOLE 1750 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 287 20000 SH SOLE 20000 0 0 RESIDEO TECHNOLOGIES INC COM 76118Y104 144 10000 SH DFND 1 10000 0 0 SCHLUMBERGER LTD COM 806857108 103 3000 SH SOLE 3000 0 0 SCHLUMBERGER LTD COM 806857108 342 10000 SH DFND 2 10000 0 0 SOUTHWEST AIRLS CO COM 844741108 897 16600 SH SOLE 16600 0 0 SOUTHWEST AIRLS CO COM 844741108 2344 43400 SH DFND 1 43400 0 0 SUTTER ROCK CAP CORP COM 86944Q100 516 82762 SH SOLE 82762 0 0 SUTTER ROCK CAP CORP COM 86944Q100 1991 318997 SH DFND 1 318997 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 395 8500 SH DFND 2 8500 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 325 7000 SH SOLE 7000 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 1920 104698 SH SOLE 104698 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 4794 261392 SH DFND 1 261392 0 0 TEKLA LIFE SCIENCES INVS SH 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