0001172661-17-000275.txt : 20170208
0001172661-17-000275.hdr.sgml : 20170208
20170208075528
ACCESSION NUMBER: 0001172661-17-000275
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170208
DATE AS OF CHANGE: 20170208
EFFECTIVENESS DATE: 20170208
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO LLC
CENTRAL INDEX KEY: 0000201772
IRS NUMBER: 004260191
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-00878
FILM NUMBER: 17580939
BUSINESS ADDRESS:
STREET 1: 125 HIGH STREET
STREET 2: SUITE 1803
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 6174824870
MAIL ADDRESS:
STREET 1: 125 HIGH STREET
STREET 2: SUITE 1803
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO INC
DATE OF NAME CHANGE: 19920929
13F-HR
1
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12-31-2016
12-31-2016
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ESSEX INVESTMENT MANAGEMENT CO LLC
125 High Street
Suite 1803
Boston
MA
02110
13F HOLDINGS REPORT
028-00878
N
Michael McCarthy
Chief Operating Officer and Chief Compliance Officer
617-342-3245
/s/ Michael McCarthy
Boston
MA
02-08-2017
0
339
607191
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HANNON ARMSTRONG SUST INFR C
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444144109
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IDENTIV INC
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55473
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INCYTE CORP
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47759T100
621
40800
SH
SOLE
38500
0
2300
JMP GROUP LLC
COM
46629U107
120
19537
SH
SOLE
19537
0
0
JOHNSON CTLS INTL PLC
SHS
G51502105
950
23057
SH
SOLE
20455
0
2602
JPMORGAN CHASE & CO
COM
46625H100
6291
72901
SH
SOLE
69926
0
2975
JUNIPER NETWORKS INC
COM
48203R104
706
24985
SH
SOLE
24985
0
0
KARYOPHARM THERAPEUTICS INC
COM
48576U106
524
55793
SH
SOLE
55793
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
364
116923
SH
SOLE
111355
0
5568
KITE PHARMA INC
COM
49803L109
2954
65887
SH
SOLE
63646
0
2241
KLONDEX MNS LTD
COM
498696103
568
122200
PRN
SOLE
115000
0
7200
KORNIT DIGITAL LTD
SHS
M6372Q113
731
57818
SH
SOLE
57818
0
0
LENDINGCLUB CORP
COM
52603A109
101
19154
SH
SOLE
19154
0
0
LILLY ELI & CO
COM
532457108
1572
21376
SH
SOLE
21376
0
0
LIMBACH HLDGS INC
COM
53263P105
958
67932
SH
SOLE
66314
0
1618
LOGMEIN INC
COM
54142L109
1146
11871
SH
SOLE
11871
0
0
LOWES COS INC
COM
548661107
948
13336
SH
SOLE
13119
0
217
LRAD CORP
COM
50213V109
107
62314
SH
SOLE
62314
0
0
LSI INDS INC
COM
50216C108
1005
103153
SH
SOLE
103153
0
0
LUMENTUM HLDGS INC
COM
55024U109
1821
47128
SH
SOLE
45882
0
1246
MACOM TECH SOLUTIONS HLDGS I
COM
55405Y100
1274
27522
SH
SOLE
25914
0
1608
MAG SILVER CORP
COM
55903Q104
222
20129
SH
SOLE
17744
0
2385
MANITEX INTL INC
COM
563420108
685
99842
SH
SOLE
99842
0
0
MARCUS & MILLICHAP INC
COM
566324109
923
34529
SH
SOLE
31962
0
2567
MARSH & MCLENNAN COS INC
COM
571748102
2112
31245
SH
SOLE
29145
0
2100
MATADOR RES CO
COM
576485205
1339
51969
SH
SOLE
51969
0
0
MATERIALISE NV
SPONSORED ADS
57667T100
114
14873
SH
SOLE
14873
0
0
MAXIMUS INC
COM
577933104
368
6599
SH
SOLE
6599
0
0
MAXWELL TECHNOLOGIES INC
COM
577767106
412
80413
SH
SOLE
70932
0
9481
MEDNAX INC
COM
58502B106
809
12138
SH
SOLE
12138
0
0
MICROSOFT CORP
COM
594918104
7338
118089
SH
SOLE
111734
0
6355
MIMECAST LTD
ORD SHS
G14838109
474
26454
SH
SOLE
24891
0
1563
MITEK SYS INC
COM NEW
606710200
841
136739
SH
SOLE
136739
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
7703
202081
SH
SOLE
188719
0
13362
MORGAN STANLEY
COM NEW
617446448
12592
298041
SH
SOLE
285277
0
12764
NANOSTRING TECHNOLOGIES INC
COM
63009R109
1318
59087
SH
SOLE
59087
0
0
NAUTILUS INC
COM
63910B102
1181
63832
SH
SOLE
63832
0
0
NAVIGANT CONSULTING INC
COM
63935N107
1388
53014
SH
SOLE
53014
0
0
NCR CORP NEW
COM
62886E108
418
10298
SH
SOLE
10298
0
0
NEONODE INC
COM NEW
64051M402
1281
696000
SH
SOLE
656000
0
40000
NETSOL TECHNOLOGIES INC
COM PAR $.001
64115A402
300
57751
SH
SOLE
57751
0
0
NEWFIELD EXPL CO
COM
651290108
1320
32583
SH
SOLE
30759
0
1824
NEWMONT MINING CORP
COM
651639106
4373
128358
SH
SOLE
123606
0
4752
NIMBLE STORAGE INC
COM
65440R101
873
110260
SH
SOLE
110260
0
0
NOVANTA INC
COM
67000B104
1138
54201
SH
SOLE
54201
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
680
9331
SH
SOLE
9331
0
0
NUTANIX INC
CL A
67059N108
3017
113586
SH
SOLE
107467
0
6119
NUVECTRA CORP
COM
67075N108
609
121120
SH
SOLE
121120
0
0
NXSTAGE MEDICAL INC
COM
67072V103
1743
66511
SH
SOLE
66511
0
0
O2MICRO INTERNATIONAL LTD
SPONS ADR
67107W100
122
67632
SH
SOLE
67632
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
1423
19981
SH
SOLE
18919
0
1062
OCLARO INC
COM NEW
67555N206
2942
328738
SH
SOLE
316156
0
12582
OPKO HEALTH INC
COM
68375N103
2603
279896
SH
SOLE
249575
0
30321
ORGANOVO HLDGS INC
COM
68620A104
870
256509
SH
SOLE
256509
0
0
ORTHOFIX INTL N V
COM
N6748L102
1007
27843
SH
SOLE
27843
0
0
OWENS ILL INC
COM NEW
690768403
273
15664
SH
SOLE
15664
0
0
OXFORD IMMUNOTEC GLOBAL PLC
ORD SHS
G6855A103
1353
90472
SH
SOLE
90472
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
284
74681
SH
SOLE
74681
0
0
PACKAGING CORP AMER
COM
695156109
531
6266
SH
SOLE
6266
0
0
PALO ALTO NETWORKS INC
COM
697435105
11304
90392
SH
SOLE
86202
0
4190
PANERA BREAD CO
CL A
69840W108
2106
10268
SH
SOLE
10107
0
161
PARATEK PHARMACEUTICALS INC
COM
699374302
685
44487
SH
SOLE
44487
0
0
PARKE BANCORP INC
COM
700885106
217
10760
SH
SOLE
10760
0
0
PATRICK INDS INC
COM
703343103
1786
23408
SH
SOLE
23408
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
711
37464
SH
SOLE
33630
0
3834
PAYCHEX INC
COM
704326107
4427
72719
SH
SOLE
72719
0
0
PDC ENERGY INC
COM
69327R101
1128
15542
SH
SOLE
12293
0
3249
PEAK RESORTS INC
COM
70469L100
135
24290
SH
SOLE
24290
0
0
PERKINELMER INC
COM
714046109
639
12254
SH
SOLE
12254
0
0
PFSWEB INC
COM NEW
717098206
904
106355
SH
SOLE
106355
0
0
PIONEER NAT RES CO
COM
723787107
1419
7878
SH
SOLE
6778
0
1100
PLY GEM HLDGS INC
COM
72941W100
1738
106927
SH
SOLE
104755
0
2172
POTASH CORP SASK INC
COM
73755L107
836
46239
SH
SOLE
40732
0
5507
PRIMORIS SVCS CORP
COM
74164F103
874
38350
SH
SOLE
38350
0
0
PROCTER AND GAMBLE CO
COM
742718109
2112
25124
SH
SOLE
25124
0
0
PROOFPOINT INC
COM
743424103
3923
55529
SH
SOLE
53402
0
2127
PTC INC
COM
69370C100
3595
77697
SH
SOLE
75292
0
2405
QAD INC
CL A
74727D306
1488
48938
SH
SOLE
48938
0
0
QUANTA SVCS INC
COM
74762E102
940
26967
SH
SOLE
25336
0
1631
RANGE RES CORP
COM
75281A109
2474
71992
SH
SOLE
68013
0
3979
RAVEN INDS INC
COM
754212108
2052
81435
SH
SOLE
79017
0
2418
RAYTHEON CO
COM NEW
755111507
7900
55635
SH
SOLE
53745
0
1890
REAL IND INC
COM
75601W104
508
83304
SH
SOLE
73913
0
9391
RECRO PHARMA INC
COM
75629F109
835
103616
SH
SOLE
103616
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
1973
5375
SH
SOLE
5061
0
314
REVANCE THERAPEUTICS INC
COM
761330109
1888
91228
SH
SOLE
86000
0
5228
RICE ENERGY INC
COM
762760106
376
17606
SH
SOLE
16697
0
909
RSP PERMIAN INC
COM
74978Q105
1796
40251
SH
SOLE
38077
0
2174
S&W SEED CO
COM
785135104
432
93832
SH
SOLE
93832
0
0
SAGE THERAPEUTICS INC
COM
78667J108
596
11669
SH
SOLE
11669
0
0
SALESFORCE COM INC
COM
79466L302
2502
36543
SH
SOLE
35665
0
878
SAREPTA THERAPEUTICS INC
COM
803607100
303
11063
SH
SOLE
11063
0
0
SCHLUMBERGER LTD
COM
806857108
6954
82836
SH
SOLE
77650
0
5186
SCHWAB CHARLES CORP NEW
COM
808513105
2256
57169
SH
SOLE
56354
0
815
SERVICESOURCE INTL INC
COM
81763U100
970
170829
SH
SOLE
170829
0
0
SILVER SPRING NETWORKS INC
COM
82817Q103
10249
770044
SH
SOLE
736982
0
33062
SILVER WHEATON CORP
COM
828336107
414
21413
SH
SOLE
20157
0
1256
SINA CORP
ORD
G81477104
1874
30822
SH
SOLE
29022
0
1800
SIRIUS XM HLDGS INC
COM
82968B103
2251
505731
SH
SOLE
475862
0
29869
SKYWORKS SOLUTIONS INC
COM
83088M102
551
7383
SH
SOLE
7383
0
0
SNAP ON INC
COM
833034101
1655
9664
SH
SOLE
9311
0
353
SOHU COM INC
COM
83408W103
2274
67100
SH
SOLE
63300
0
3800
SOLAREDGE TECHNOLOGIES INC
COM
83417M104
390
31454
SH
SOLE
31454
0
0
SOUTHWEST AIRLS CO
COM
844741108
2544
51038
SH
SOLE
50260
0
778
SOUTHWESTERN ENERGY CO
COM
845467109
7145
660322
SH
SOLE
638771
0
21551
SPIRIT AIRLS INC
COM
848577102
2807
48514
SH
SOLE
47776
0
738
SPLUNK INC
COM
848637104
2837
55461
SH
SOLE
51080
0
4381
STAMPS COM INC
COM NEW
852857200
1440
12561
SH
SOLE
11827
0
734
STARBUCKS CORP
COM
855244109
4115
74125
SH
SOLE
71404
0
2721
STERICYCLE INC
COM
858912108
521
6758
SH
SOLE
6758
0
0
STERLING CONSTRUCTION CO INC
COM
859241101
654
77324
SH
SOLE
67324
0
10000
STEWART INFORMATION SVCS COR
COM
860372101
1391
30189
SH
SOLE
30189
0
0
STMICROELECTRONICS N V
NY REGISTRY
861012102
2561
225600
SH
SOLE
212600
0
13000
SUMMIT MATLS INC
CL A
86614U100
2390
100465
SH
SOLE
95455
0
5010
SUNOPTA INC
COM
8676EP108
1214
172168
SH
SOLE
172168
0
0
SUNTRUST BKS INC
COM
867914103
1470
26800
SH
SOLE
25200
0
1600
SUPERNUS PHARMACEUTICALS INC
COM
868459108
1274
50442
SH
SOLE
50442
0
0
SVB FINL GROUP
COM
78486Q101
4050
23591
SH
SOLE
21841
0
1750
SYNERON MEDICAL LTD
ORD SHS
M87245102
1198
142632
SH
SOLE
142632
0
0
T2 BIOSYSTEMS INC
COM
89853L104
413
78606
SH
SOLE
73170
0
5436
TAHOE RES INC
COM
873868103
392
41660
SH
SOLE
38957
0
2703
TARGA RES CORP
COM
87612G101
367
6545
SH
SOLE
6392
0
153
TAYLOR MORRISON HOME CORP
CL A
87724P106
1185
61548
SH
SOLE
60543
0
1005
TELENAV INC
COM
879455103
819
116217
SH
SOLE
116217
0
0
TELIGENT INC NEW
COM
87960W104
650
98332
SH
SOLE
98332
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
717
48346
SH
SOLE
48346
0
0
TENNECO INC
COM
880349105
1104
17676
SH
SOLE
17676
0
0
TITAN INTL INC ILL
COM
88830M102
968
86363
SH
SOLE
86363
0
0
TPI COMPOSITES INC
COM
87266J104
652
40670
SH
SOLE
36336
0
4334
TRIMBLE INC
COM
896239100
3000
99506
SH
SOLE
96829
0
2677
TRIPLEPOINT VENTURE GROWTH B
COM
89677Y100
416
35300
SH
SOLE
35300
0
0
TSAKOS ENERGY NAVIGATION LTD
SHS
G9108L108
357
76221
SH
SOLE
76221
0
0
U S CONCRETE INC
COM NEW
90333L201
1052
16066
SH
SOLE
16066
0
0
UNITED RENTALS INC
COM
911363109
5285
50055
SH
SOLE
48024
0
2031
UNITED STATES STL CORP NEW
COM
912909108
366
11093
SH
SOLE
11093
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
546
3413
SH
SOLE
3413
0
0
USA TECHNOLOGIES INC
COM NO PAR
90328S500
704
163621
SH
SOLE
163621
0
0
USA TRUCK INC
COM
902925106
770
88367
SH
SOLE
88367
0
0
VCA INC
COM
918194101
942
13719
SH
SOLE
13719
0
0
VEEVA SYS INC
CL A COM
922475108
657
16138
SH
SOLE
16138
0
0
VERISK ANALYTICS INC
COM
92345Y106
444
5476
SH
SOLE
5476
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
2123
39776
SH
SOLE
39776
0
0
VERMILLION INC
COM NEW
92407M206
84
88113
SH
SOLE
88113
0
0
VERSAR INC
COM
925297103
49
35700
SH
SOLE
35700
0
0
VERTEX PHARMACEUTICALS INC
COM
92532F100
867
11775
SH
SOLE
11100
0
675
VISTEON CORP
COM NEW
92839U206
536
6676
SH
SOLE
6676
0
0
VMWARE INC
CL A COM
928563402
280
3553
SH
SOLE
3553
0
0
VOCERA COMMUNICATIONS INC
COM
92857F107
1818
98326
SH
SOLE
98326
0
0
WABTEC CORP
COM
929740108
832
10027
SH
SOLE
10027
0
0
WAGEWORKS INC
COM
930427109
996
13734
SH
SOLE
13734
0
0
WAL-MART STORES INC
COM
931142103
311
4500
SH
SOLE
4500
0
0
WASTE MGMT INC DEL
COM
94106L109
204
2879
SH
SOLE
2879
0
0
WATTS WATER TECHNOLOGIES INC
CL A
942749102
730
11200
SH
SOLE
9983
0
1217
WIDEPOINT CORP
COM
967590100
149
184545
SH
SOLE
184545
0
0
WILLDAN GROUP INC
COM
96924N100
747
33083
SH
SOLE
33083
0
0
WINTRUST FINL CORP
COM
97650W108
204
2807
SH
SOLE
2807
0
0
WISDOMTREE INVTS INC
COM
97717P104
447
40098
SH
SOLE
40098
0
0
WORKHORSE GROUP INC
COM NEW
98138J206
503
71194
SH
SOLE
67397
0
3797
XACTLY CORP
COM
98386L101
1045
95017
SH
SOLE
95017
0
0
XENON PHARMACEUTICALS INC
COM
98420N105
540
70172
SH
SOLE
70172
0
0
XILINX INC
COM
983919101
209
3455
SH
SOLE
3455
0
0
XYLEM INC
COM
98419M100
1094
22082
SH
SOLE
18244
0
3838
ZELTIQ AESTHETICS INC
COM
98933Q108
2071
47588
SH
SOLE
47142
0
446
ZIX CORP
COM
98974P100
125
25356
SH
SOLE
25356
0
0