0000919574-20-005078.txt : 20200814
0000919574-20-005078.hdr.sgml : 20200814
20200813173721
ACCESSION NUMBER: 0000919574-20-005078
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200630
FILED AS OF DATE: 20200814
DATE AS OF CHANGE: 20200813
EFFECTIVENESS DATE: 20200814
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: 201100450
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
06-30-2020
06-30-2020
false
NEEDHAM INVESTMENT MANAGEMENT LLC
250 PARK AVENUE, 10TH FLOOR
NEW YORK
NY
10177
13F HOLDINGS REPORT
028-10095
N
James W. Giangrasso
Chief Financial Officer
212-705-0404
/s/ James W. Giangrasso
New York
NY
08-13-2020
3
206
464600
1
0000890847
028-11515
NEEDHAM EMERGING GROWTH PARTNERS LP
2
0001310572
028-11514
NEEDHAM GROWTH FUND
3
0001539485
028-14743
Needham Small Cap Growth Fund
INFORMATION TABLE
2
infotable.xml
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COM
282914100
7200
450000
SH
DFND
3
450000
0
0
8X8 INC NEW
COM
282914100
560
35000
SH
DFND
2
35000
0
0
ADTRAN INC
COM
00738A106
82
7500
SH
SOLE
7500
0
0
ADTRAN INC
COM
00738A106
246
22500
SH
DFND
2
22500
0
0
AIR LEASE CORP
CL A
00912X302
1172
40000
SH
DFND
1
40000
0
0
AIR LEASE CORP
CL A
00912X302
1274
43500
SH
DFND
2
43500
0
0
AIR LEASE CORP
CL A
00912X302
659
22500
SH
DFND
3
22500
0
0
AIR LEASE CORP
CL A
00912X302
996
34000
SH
SOLE
34000
0
0
AKAMAI TECHNOLOGIES INC
COM
00971T101
1553
14500
SH
SOLE
14500
0
0
AKAMAI TECHNOLOGIES INC
COM
00971T101
3588
33500
SH
DFND
2
33500
0
0
AKOUSTIS TECHNOLOGIES INC
COM
00973N102
4261
514000
SH
DFND
3
514000
0
0
ALPHA PRO TECH LTD
COM
020772109
133
7500
SH
DFND
2
7500
0
0
ALPHA PRO TECH LTD
COM
020772109
1328
75000
SH
SOLE
75000
0
0
ALPHABET INC
CAP STK CL A
02079K305
355
250
SH
DFND
2
250
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
52
200
SH
SOLE
200
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
259
1000
SH
DFND
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1000
0
0
APPIAN CORP
CL A
03782L101
77
1500
SH
SOLE
1500
0
0
APPIAN CORP
CL A
03782L101
359
7000
SH
DFND
2
7000
0
0
APPLE INC
COM
037833100
985
2700
SH
DFND
2
2700
0
0
APPLE INC
COM
037833100
5837
16000
SH
SOLE
16000
0
0
APPLIED MATLS INC
COM
038222105
544
9000
SH
DFND
2
9000
0
0
ARLO TECHNOLOGIES INC
COM
04206A101
142
55000
SH
SOLE
55000
0
0
ARLO TECHNOLOGIES INC
COM
04206A101
142
55000
SH
DFND
2
55000
0
0
ASPEN AEROGELS INC
COM
04523Y105
180
27300
SH
DFND
1
27300
0
0
ASPEN AEROGELS INC
COM
04523Y105
2895
440000
SH
DFND
2
440000
0
0
ASPEN AEROGELS INC
COM
04523Y105
3948
600000
SH
DFND
3
600000
0
0
ASPEN AEROGELS INC
COM
04523Y105
948
144100
SH
SOLE
144100
0
0
AXT INC
COM
00246W103
5831
1225000
SH
DFND
3
1225000
0
0
AXT INC
COM
00246W103
167
35000
SH
SOLE
35000
0
0
AXT INC
COM
00246W103
1071
225000
SH
DFND
2
225000
0
0
BECTON DICKINSON & CO
COM
075887109
4606
19250
SH
DFND
2
19250
0
0
BOEING CO
COM
097023105
917
5000
SH
SOLE
5000
0
0
BOEING CO
COM
097023105
3666
20000
SH
DFND
1
20000
0
0
BOTTOMLINE TECH DEL INC
COM
101388106
1523
30000
SH
DFND
3
30000
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
305
9259
SH
DFND
2
9259
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
442
13424
SH
SOLE
13424
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
1081
32870
SH
DFND
1
32870
0
0
BRUKER CORP
COM
116794108
447
11000
SH
SOLE
11000
0
0
BRUKER CORP
COM
116794108
41
1000
SH
DFND
2
1000
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
319
43325
SH
DFND
1
43325
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
938
127500
SH
DFND
2
127500
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
6256
850000
SH
DFND
3
850000
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
223
30275
SH
SOLE
30275
0
0
CARMAX INC
COM
143130102
1836
20500
SH
SOLE
20500
0
0
CARMAX INC
COM
143130102
7164
80000
SH
DFND
2
80000
0
0
CHANNELADVISOR CORP
COM
159179100
4356
275000
SH
DFND
3
275000
0
0
CHANNELADVISOR CORP
COM
159179100
459
29000
SH
SOLE
29000
0
0
CHANNELADVISOR CORP
COM
159179100
832
52500
SH
DFND
2
52500
0
0
CHEVRON CORP NEW
COM
166764100
357
4000
SH
SOLE
4000
0
0
CLEAN HARBORS INC
COM
184496107
120
2000
SH
SOLE
2000
0
0
CLEAN HARBORS INC
COM
184496107
210
3500
SH
DFND
2
3500
0
0
COHU INC
COM
192576106
4769
275000
SH
DFND
3
275000
0
0
COMCAST CORP NEW
CL A
20030N101
4444
114000
SH
DFND
2
114000
0
0
COMCAST CORP NEW
CL A
20030N101
7796
200000
SH
DFND
1
200000
0
0
CORNING INC
COM
219350105
894
34500
SH
DFND
2
34500
0
0
COUPA SOFTWARE INC
COM
22266L106
831
3000
SH
DFND
2
3000
0
0
CRA INTL INC
COM
12618T105
415
10500
SH
SOLE
10500
0
0
CRYOPORT INC
COM PAR $0.001
229050307
1361
45000
SH
DFND
2
45000
0
0
CRYOPORT INC
COM PAR $0.001
229050307
938
31000
SH
SOLE
31000
0
0
DIRTT ENVIRONMENTAL SOLUTION
COM
25490H106
87
71500
SH
DFND
2
71500
0
0
EMCORE CORP
COM NEW
290846203
4134
1300000
SH
DFND
3
1300000
0
0
ENCOMPASS HEALTH CORP
COM
29261A100
4335
70000
SH
DFND
1
70000
0
0
ENTEGRIS INC
COM
29362U104
7381
125000
SH
DFND
1
125000
0
0
ENTEGRIS INC
COM
29362U104
7027
119000
SH
DFND
2
119000
0
0
ENTEGRIS INC
COM
29362U104
7086
120000
SH
SOLE
120000
0
0
EQUINIX INC
COM
29444U700
1405
2000
SH
SOLE
2000
0
0
EVERBRIDGE INC
COM
29978A104
277
2000
SH
SOLE
2000
0
0
EVERBRIDGE INC
COM
29978A104
1591
11500
SH
DFND
2
11500
0
0
FARO TECHNOLOGIES INC
COM
311642102
536
10000
SH
DFND
2
10000
0
0
FIREEYE INC
COM
31816Q101
10349
850000
SH
DFND
3
850000
0
0
FIREEYE INC
COM
31816Q101
335
27500
SH
DFND
2
27500
0
0
FLIR SYS INC
COM
302445101
304
7500
SH
DFND
2
7500
0
0
FLUIDIGM CORP DEL
COM
34385P108
2256
562500
SH
DFND
3
562500
0
0
FORMFACTOR INC
COM
346375108
3813
130000
SH
DFND
2
130000
0
0
FORMFACTOR INC
COM
346375108
2434
83000
SH
SOLE
83000
0
0
FORMFACTOR INC
COM
346375108
8799
300000
SH
DFND
1
300000
0
0
FREIGHTCAR AMER INC
COM
357023100
81
65000
SH
SOLE
65000
0
0
FREQUENCY ELECTRS INC
COM
358010106
275
30000
SH
DFND
2
30000
0
0
FREQUENCY ELECTRS INC
COM
358010106
1431
156429
SH
DFND
3
156429
0
0
FREQUENCY ELECTRS INC
COM
358010106
987
107850
SH
SOLE
107850
0
0
GILEAD SCIENCES INC
COM
375558103
6309
82000
SH
DFND
2
82000
0
0
GILEAD SCIENCES INC
COM
375558103
1000
13000
SH
SOLE
13000
0
0
GILEAD SCIENCES INC
COM
375558103
3539
46000
SH
DFND
1
46000
0
0
GSE SYS INC
COM
36227K106
1063
1052625
SH
SOLE
1052625
0
0
GSE SYS INC
COM
36227K106
24
24029
SH
DFND
2
24029
0
0
HAWAIIAN HOLDINGS INC
COM
419879101
1217
86700
SH
DFND
1
86700
0
0
HAWAIIAN HOLDINGS INC
COM
419879101
364
25900
SH
SOLE
25900
0
0
HONEYWELL INTL INC
COM
438516106
361
2500
SH
DFND
2
2500
0
0
HONEYWELL INTL INC
COM
438516106
3470
24000
SH
DFND
1
24000
0
0
ICHOR HOLDINGS
SHS
G4740B105
665
25000
SH
DFND
3
25000
0
0
II-VI INC
COM
902104108
6139
130000
SH
DFND
1
130000
0
0
II-VI INC
COM
902104108
708
15000
SH
DFND
2
15000
0
0
II-VI INC
COM
902104108
1889
40000
SH
SOLE
40000
0
0
INFINERA CORP
COM
45667G103
6512
1100000
SH
DFND
3
1100000
0
0
INOGEN INC
COM
45780L104
4973
140000
SH
DFND
3
140000
0
0
INSEEGO CORP
COM
45782B104
4640
400000
SH
DFND
3
400000
0
0
INTEVAC INC
COM
461148108
993
181875
SH
DFND
2
181875
0
0
INTEVAC INC
COM
461148108
5554
1017175
SH
DFND
3
1017175
0
0
INTEVAC INC
COM
461148108
483
88450
SH
SOLE
88450
0
0
IPG PHOTONICS CORP
COM
44980X109
1123
7000
SH
SOLE
7000
0
0
IPG PHOTONICS CORP
COM
44980X109
1002
6250
SH
DFND
2
6250
0
0
KIMBELL RTY PARTNERS LP
UNIT
49435R102
215
25000
SH
SOLE
25000
0
0
KLA CORP
COM NEW
482480100
3647
18750
SH
DFND
1
18750
0
0
KLA CORP
COM NEW
482480100
1459
7500
SH
SOLE
7500
0
0
KVH INDS INC
COM
482738101
4912
550000
SH
DFND
2
550000
0
0
KVH INDS INC
COM
482738101
4688
525000
SH
DFND
3
525000
0
0
KVH INDS INC
COM
482738101
3963
443798
SH
SOLE
443798
0
0
KVH INDS INC
COM
482738101
368
41200
SH
DFND
1
41200
0
0
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
5442
32763
SH
DFND
1
32763
0
0
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
332
2000
SH
DFND
2
2000
0
0
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
914
5500
SH
SOLE
5500
0
0
LAM RESEARCH CORP
COM
512807108
809
2500
SH
DFND
2
2500
0
0
LEMAITRE VASCULAR INC
COM
525558201
594
22500
SH
SOLE
22500
0
0
LIMELIGHT NETWORKS INC
COM
53261M104
8464
1150000
SH
DFND
3
1150000
0
0
MAXLINEAR INC
COM
57776J100
9657
450000
SH
DFND
3
450000
0
0
MEDTRONIC PLC
SHS
G5960L103
2159
23541
SH
DFND
1
23541
0
0
MEDTRONIC PLC
SHS
G5960L103
2017
22000
SH
DFND
2
22000
0
0
MEDTRONIC PLC
SHS
G5960L103
767
8365
SH
SOLE
8365
0
0
MIMECAST LTD
ORD SHS
G14838109
6249
150000
SH
DFND
3
150000
0
0
MKS INSTRS INC
COM
55306N104
2548
22500
SH
DFND
2
22500
0
0
MKS INSTRS INC
COM
55306N104
4303
38000
SH
SOLE
38000
0
0
MKS INSTRS INC
COM
55306N104
2831
25000
SH
DFND
1
25000
0
0
NATIONAL INSTRS CORP
COM
636518102
735
19000
SH
DFND
2
19000
0
0
NATIONAL INSTRS CORP
COM
636518102
174
4500
SH
SOLE
4500
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
206
32000
SH
DFND
2
32000
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
1157
180000
SH
DFND
3
180000
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
248
38600
SH
SOLE
38600
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
922
143400
SH
DFND
1
143400
0
0
NOVA MEASURING INSTRUMENTS L
COM
M7516K103
4433
92000
SH
DFND
1
92000
0
0
NOVA MEASURING INSTRUMENTS L
COM
M7516K103
2410
50000
SH
DFND
2
50000
0
0
NOVA MEASURING INSTRUMENTS L
COM
M7516K103
4144
86000
SH
SOLE
86000
0
0
OIL DRI CORP AMER
COM
677864100
1371
39500
SH
SOLE
39500
0
0
OIL DRI CORP AMER
COM
677864100
503
14500
SH
DFND
2
14500
0
0
OMNICELL INC
COM
68213N109
212
3000
SH
SOLE
3000
0
0
PARSONS CORPORATION
COM
70202L102
509
14050
SH
DFND
2
14050
0
0
PARSONS CORPORATION
COM
70202L102
3262
90000
SH
DFND
3
90000
0
0
PARSONS CORPORATION
COM
70202L102
326
9000
SH
SOLE
9000
0
0
PDF SOLUTIONS INC
COM
693282105
9047
462500
SH
DFND
2
462500
0
0
PDF SOLUTIONS INC
COM
693282105
1467
75000
SH
DFND
3
75000
0
0
PDF SOLUTIONS INC
COM
693282105
7440
380350
SH
SOLE
380350
0
0
PDF SOLUTIONS INC
COM
693282105
2370
121150
SH
DFND
1
121150
0
0
PHOTRONICS INC
COM
719405102
1319
118500
SH
DFND
1
118500
0
0
PHOTRONICS INC
COM
719405102
1119
100500
SH
DFND
2
100500
0
0
PHOTRONICS INC
COM
719405102
4730
425000
SH
DFND
3
425000
0
0
PHOTRONICS INC
COM
719405102
557
50000
SH
SOLE
50000
0
0
PLURALSIGHT INC
COM CL A
72941B106
5866
325000
SH
DFND
3
325000
0
0
PURE STORAGE INC
CL A
74624M102
5546
320000
SH
DFND
3
320000
0
0
PURE STORAGE INC
CL A
74624M102
520
30000
SH
DFND
2
30000
0
0
Q2 HLDGS INC
COM
74736L109
686
8000
SH
SOLE
8000
0
0
Q2 HLDGS INC
COM
74736L109
1480
17250
SH
DFND
2
17250
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
399
3500
SH
DFND
2
3500
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
199
1750
SH
SOLE
1750
0
0
RESIDEO TECHNOLOGIES INC
COM
76118Y104
234
20000
SH
SOLE
20000
0
0
RESIDEO TECHNOLOGIES INC
COM
76118Y104
117
10000
SH
DFND
1
10000
0
0
SIENTRA INC
COM
82621J105
581
150000
SH
DFND
3
150000
0
0
SITIME CORP
COM
82982T106
711
15000
SH
DFND
2
15000
0
0
SITIME CORP
COM
82982T106
237
5000
SH
SOLE
5000
0
0
SOUTHWEST AIRLS CO
COM
844741108
369
10800
SH
SOLE
10800
0
0
SOUTHWEST AIRLS CO
COM
844741108
827
24200
SH
DFND
1
24200
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
3904
137500
SH
DFND
2
137500
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
5678
200000
SH
DFND
3
200000
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
4180
147250
SH
SOLE
147250
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
6303
222000
SH
DFND
1
222000
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
511
9000
SH
DFND
2
9000
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
426
7500
SH
SOLE
7500
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
1920
90000
SH
SOLE
90000
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
5575
261392
SH
DFND
1
261392
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
1976
110000
SH
SOLE
110000
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
6825
380000
SH
DFND
1
380000
0
0
THE TRADE DESK INC
COM CL A
88339J105
2033
5000
SH
DFND
2
5000
0
0
THE TRADE DESK INC
COM CL A
88339J105
488
1200
SH
SOLE
1200
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
9783
27000
SH
DFND
2
27000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
7247
20000
SH
DFND
1
20000
0
0
TRANSCAT INC
COM
893529107
349
13500
SH
SOLE
13500
0
0
TTM TECHNOLOGIES INC
COM
87305R109
89
7500
SH
SOLE
7500
0
0
TTM TECHNOLOGIES INC
COM
87305R109
89
7500
SH
DFND
1
7500
0
0
UGI CORP NEW
COM
902681105
318
10000
SH
SOLE
10000
0
0
VEECO INSTRS INC DEL
COM
922417100
459
34000
SH
DFND
2
34000
0
0
VEECO INSTRS INC DEL
COM
922417100
1709
126700
SH
DFND
3
126700
0
0
VEECO INSTRS INC DEL
COM
922417100
190
14064
SH
SOLE
14064
0
0
VEECO INSTRS INC DEL
COM
922417100
353
26200
SH
DFND
1
26200
0
0
VIASAT INC
COM
92552V100
3630
94600
SH
DFND
1
94600
0
0
VIASAT INC
COM
92552V100
748
19500
SH
DFND
2
19500
0
0
VIASAT INC
COM
92552V100
4988
130000
SH
DFND
3
130000
0
0
VIASAT INC
COM
92552V100
1055
27500
SH
SOLE
27500
0
0
VICOR CORP
COM
925815102
5216
72500
SH
DFND
2
72500
0
0
VICOR CORP
COM
925815102
360
5000
SH
DFND
3
5000
0
0
VICOR CORP
COM
925815102
8094
112500
SH
SOLE
112500
0
0
VICOR CORP
COM
925815102
3677
51100
SH
DFND
1
51100
0
0
VIEWRAY INC
COM
92672L107
2128
950000
SH
DFND
3
950000
0
0
VISHAY INTERTECHNOLOGY INC
COM
928298108
916
60000
SH
DFND
2
60000
0
0
VISHAY INTERTECHNOLOGY INC
COM
928298108
2291
150000
SH
DFND
3
150000
0
0
VISHAY PRECISION GROUP INC
COM
92835K103
4547
185000
SH
DFND
3
185000
0
0
VISHAY PRECISION GROUP INC
COM
92835K103
369
15000
SH
SOLE
15000
0
0
VISHAY PRECISION GROUP INC
COM
92835K103
369
15000
SH
DFND
2
15000
0
0
VONAGE HLDGS CORP
COM
92886T201
3018
300000
SH
DFND
3
300000
0
0
VOYAGER THERAPEUTICS INC
COM
92915B106
1136
90000
SH
DFND
3
90000
0
0
WABTEC
COM
929740108
288
5000
SH
DFND
2
5000
0
0
WABTEC
COM
929740108
1468
25500
SH
SOLE
25500
0
0
WABTEC
COM
929740108
2303
40000
SH
DFND
1
40000
0
0
WORLD WRESTLING ENTMT INC
CL A
98156Q108
196
4500
SH
DFND
2
4500
0
0
WORLD WRESTLING ENTMT INC
CL A
98156Q108
98
2250
SH
SOLE
2250
0
0
ZUORA INC
COM CL A
98983V106
344
27000
SH
DFND
2
27000
0
0
ZUORA INC
COM CL A
98983V106
2289
179500
SH
DFND
3
179500
0
0
ZUORA INC
COM CL A
98983V106
127
9950
SH
SOLE
9950
0
0
ZUORA INC
COM CL A
98983V106
428
33550
SH
DFND
1
33550
0
0