0000919574-14-001009.txt : 20140214 0000919574-14-001009.hdr.sgml : 20140214 20140213174823 ACCESSION NUMBER: 0000919574-14-001009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140213 EFFECTIVENESS DATE: 20140214 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: 14608249 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-705-0404 MAIL ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001167212 XXXXXXXX 12-31-2013 12-31-2013 false NEEDHAM INVESTMENT MANAGEMENT LLC
445 PARK AVENUE NEW YORK NY 10022
13F HOLDINGS REPORT 028-10095 N
James W. Giangrasso Chief Financial Officer 212-705-0404 /s/ James W. Giangrasso New York NY 02-13-2014 2 220 483396 1 0000890847 028-11515 NEEDHAM EMERGING GROWTH PARTNERS LP 2 0001310572 028-11514 NEEDHAM GROWTH FUND
INFORMATION TABLE 2 infotable.xml ABERCROMBIE & FITCH CO CL A 002896207 329 10000 SH SOLE 10000 0 0 ADVANCED PHOTONIX INC CL A 00754E107 230 333333 SH SOLE 333333 0 0 ACCO BRANDS CORP COM 00081T108 67 10000 SH DFND 2 10000 0 0 ACCO BRANDS CORP COM 00081T108 672 100000 SH DFND 1 100000 0 0 ACCO BRANDS CORP COM 00081T108 403 60000 SH SOLE 60000 0 0 AEROPOSTALE COM 007865108 682 75000 SH SOLE 75000 0 0 AIR LEASE CORP CL A 00912X302 772 24850 SH DFND 1 24850 0 0 AIR LEASE CORP CL A 00912X302 626 20150 SH SOLE 20150 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 2831 60000 SH DFND 2 60000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 5756 122000 SH SOLE 122000 0 0 ANAREN INC COM 032744104 2434 86945 SH DFND 2 86945 0 0 ANAREN INC COM 032744104 3793 135500 SH DFND 1 135500 0 0 ANAREN INC COM 032744104 3835 137015 SH SOLE 137015 0 0 APPLE INC COM 037833100 3058 5450 SH SOLE 5450 0 0 ATMI INC COM 00207R101 1359 45000 SH SOLE 45000 0 0 BARRACUDA NETWORKS INC COM 068323104 1112 28023 SH DFND 2 28023 0 0 BARRACUDA NETWORKS INC COM 068323104 1380 34790 SH DFND 1 34790 0 0 BARRACUDA NETWORKS INC COM 068323104 1476 37187 SH SOLE 37187 0 0 BECTON DICKINSON & CO COM 075887109 4972 45000 SH DFND 2 45000 0 0 BECTON DICKINSON & CO COM 075887109 663 6000 SH SOLE 6000 0 0 BLACK DIAMOND INC COM 09202G101 833 62500 SH DFND 2 62500 0 0 BLACK DIAMOND INC COM 09202G101 966 72500 SH SOLE 72500 0 0 BOEING CO COM 097023105 9725 71250 SH DFND 1 71250 0 0 BOEING CO COM 097023105 3924 28750 SH SOLE 28750 0 0 BOTTOMLINE TECH DEL INC COM 101388106 2857 79000 SH SOLE 79000 0 0 BRIGHTCOVE INC COM 10921T101 766 54200 SH DFND 2 54200 0 0 BRIGHTCOVE INC COM 10921T101 870 61500 SH DFND 1 61500 0 0 BRIGHTCOVE INC COM 10921T101 2166 153200 SH SOLE 153200 0 0 BROADSOFT INC COM 11133B409 328 12000 SH SOLE 12000 0 0 BROOKS AUTOMATION INC COM 114340102 1574 150000 SH DFND 2 150000 0 0 BROOKS AUTOMATION INC COM 114340102 1626 155000 SH DFND 1 155000 0 0 BROOKS AUTOMATION INC COM 114340102 603 57500 SH SOLE 57500 0 0 C&J ENERGY SVCS INC COM 12467B304 1617 70000 SH SOLE 70000 0 0 CARBONITE INC COM 141337105 497 42000 SH SOLE 42000 0 0 CARMAX INC COM 143130102 7288 155000 SH DFND 2 155000 0 0 CARMAX INC COM 143130102 1058 22500 SH SOLE 22500 0 0 CEVA INC COM 157210105 609 40000 SH SOLE 40000 0 0 CLEAN HARBORS INC COM 184496107 300 5000 SH DFND 2 5000 0 0 CLEAN HARBORS INC COM 184496107 600 10000 SH SOLE 10000 0 0 COMCAST CORP NEW CL A 20030N101 3118 60000 SH DFND 2 60000 0 0 COMCAST CORP NEW CL A 20030N101 5197 100000 SH DFND 1 100000 0 0 COMPUWARE CORP COM 205638109 796 71000 SH DFND 1 71000 0 0 COMPUWARE CORP COM 205638109 325 29000 SH SOLE 29000 0 0 CONMED CORP COM 207410101 2125 50000 SH DFND 2 50000 0 0 CONMED CORP COM 207410101 2231 52500 SH SOLE 52500 0 0 CONSTANT CONTACT INC COM 210313102 1398 45000 SH SOLE 45000 0 0 CORNING INC COM 219350105 624 35000 SH DFND 2 35000 0 0 COVIDIEN PLC SHS G2554F113 1873 27500 SH DFND 2 27500 0 0 COVIDIEN PLC SHS G2554F113 1677 24625 SH DFND 1 24625 0 0 COVIDIEN PLC SHS G2554F113 596 8750 SH SOLE 8750 0 0 CRAWFORD & CO CL A 224633206 181 23500 SH SOLE 23500 0 0 DICKS SPORTING GOODS INC COM 253393102 1743 30000 SH DFND 2 30000 0 0 DICKS SPORTING GOODS INC COM 253393102 872 15000 SH SOLE 15000 0 0 EDWARDS GROUP LTD SPONSORED ADR 281736108 1560 153250 SH DFND 1 153250 0 0 EDWARDS GROUP LTD SPONSORED ADR 281736108 1138 111750 SH SOLE 111750 0 0 ELECTRO SCIENTIFIC INDS COM 285229100 2877 275000 SH DFND 2 275000 0 0 ELECTRO SCIENTIFIC INDS COM 285229100 2092 200000 SH DFND 1 200000 0 0 ELECTRO SCIENTIFIC INDS COM 285229100 4106 392500 SH SOLE 392500 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 3098 80000 SH DFND 2 80000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 4260 110000 SH DFND 1 110000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 3873 100000 SH SOLE 100000 0 0 EMULEX CORP COM NEW 292475209 4702 656750 SH DFND 2 656750 0 0 EMULEX CORP COM NEW 292475209 1111 155100 SH DFND 1 155100 0 0 EMULEX CORP COM NEW 292475209 4789 668800 SH SOLE 668800 0 0 ENTEGRIS INC COM 29362U104 2434 210000 SH DFND 2 210000 0 0 ENTEGRIS INC COM 29362U104 2666 230000 SH DFND 1 230000 0 0 ENTEGRIS INC COM 29362U104 3419 295000 SH SOLE 295000 0 0 ENTROPIC COMMUNICATIONS INC COM 29384R105 1841 391700 SH DFND 2 391700 0 0 ENTROPIC COMMUNICATIONS INC COM 29384R105 89 18900 SH DFND 1 18900 0 0 ENTROPIC COMMUNICATIONS INC COM 29384R105 1680 357350 SH SOLE 357350 0 0 EQUINIX INC COM NEW 29444U502 621 3500 SH SOLE 3500 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 13170 187500 SH DFND 2 187500 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 12994 185000 SH DFND 1 185000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 6708 95500 SH SOLE 95500 0 0 FEI CO COM 30241L109 1340 15000 SH SOLE 15000 0 0 FINANCIAL ENGINES INC COM 317485100 4690 67500 SH DFND 2 67500 0 0 FINANCIAL ENGINES INC COM 317485100 6948 100000 SH DFND 1 100000 0 0 FINANCIAL ENGINES INC COM 317485100 4794 69000 SH SOLE 69000 0 0 FORMFACTOR INC COM 346375108 4733 787500 SH DFND 2 787500 0 0 FORMFACTOR INC COM 346375108 4046 673200 SH DFND 1 673200 0 0 FORMFACTOR INC COM 346375108 8596 1430250 SH SOLE 1430250 0 0 FRANCESCAS HLDGS CORP COM 351793104 644 35000 SH SOLE 35000 0 0 FREQUENCY ELECTRS INC COM 358010106 1167 100000 SH SOLE 100000 0 0 GILEAD SCIENCES INC COM 375558103 10514 140000 SH DFND 2 140000 0 0 GILEAD SCIENCES INC COM 375558103 3455 46000 SH DFND 1 46000 0 0 GILEAD SCIENCES INC COM 375558103 6684 89000 SH SOLE 89000 0 0 GULFPORT ENERGY CORP COM NEW 402635304 2241 35500 SH DFND 1 35500 0 0 GULFPORT ENERGY CORP COM NEW 402635304 915 14500 SH SOLE 14500 0 0 H & Q HEALTHCARE INVESTORS SH BEN INT 404052102 6446 239017 SH DFND 1 239017 0 0 H & Q HEALTHCARE INVESTORS SH BEN INT 404052102 3151 116838 SH SOLE 116838 0 0 H & Q LIFE SCIENCES INVS SH BEN INT 404053100 6649 325295 SH DFND 1 325295 0 0 H & Q LIFE SCIENCES INVS SH BEN INT 404053100 2561 125300 SH SOLE 125300 0 0 HALLIBURTON CO COM 406216101 254 5000 SH DFND 2 5000 0 0 HALLIBURTON CO COM 406216101 381 7500 SH SOLE 7500 0 0 HEALTHSOUTH CORP COM NEW 421924309 2332 70000 SH DFND 1 70000 0 0 HESS CORP COM 42809H107 4565 55000 SH DFND 2 55000 0 0 HESS CORP COM 42809H107 4150 50000 SH DFND 1 50000 0 0 HESS CORP COM 42809H107 1951 23500 SH SOLE 23500 0 0 HONEYWELL INTL INC COM 438516106 1371 15000 SH DFND 2 15000 0 0 HONEYWELL INTL INC COM 438516106 6853 75000 SH DFND 1 75000 0 0 HUTCHINSON TECHNOLOGY INC COM 448407106 320 100000 SH DFND 1 100000 0 0 HUTCHINSON TECHNOLOGY INC COM 448407106 192 60000 SH SOLE 60000 0 0 II VI INC COM 902104108 2461 140000 SH DFND 2 140000 0 0 II VI INC COM 902104108 1883 107100 SH DFND 1 107100 0 0 II VI INC COM 902104108 3277 186400 SH SOLE 186400 0 0 IKANOS COMMUNICATIONS COM 45173E105 63 52150 SH DFND 1 52150 0 0 IKANOS COMMUNICATIONS COM 45173E105 21 17850 SH SOLE 17850 0 0 INTERMOLECULAR INC COM 45882D109 209 42460 SH DFND 1 42460 0 0 INTERMOLECULAR INC COM 45882D109 89 18108 SH SOLE 18108 0 0 IPG PHOTONICS CORP COM 44980X109 388 5000 SH SOLE 5000 0 0 JABIL CIRCUIT INC COM 466313103 2878 165000 SH DFND 2 165000 0 0 JABIL CIRCUIT INC COM 466313103 3720 213300 SH DFND 1 213300 0 0 JABIL CIRCUIT INC COM 466313103 2030 116400 SH SOLE 116400 0 0 KVH INDS INC COM 482738101 1128 86550 SH DFND 2 86550 0 0 KVH INDS INC COM 482738101 2092 160550 SH SOLE 160550 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 3268 35763 SH DFND 1 35763 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 578 6325 SH SOLE 6325 0 0 LEIDOS HLDGS INC COM 525327102 1163 24999 SH DFND 1 24999 0 0 LEIDOS HLDGS INC COM 525327102 407 8749 SH SOLE 8749 0 0 LEMAITRE VASCULAR INC COM 525558201 463 57800 SH SOLE 57800 0 0 LIBBEY INC COM 529898108 1491 71000 SH DFND 1 71000 0 0 LIBBEY INC COM 529898108 609 29000 SH SOLE 29000 0 0 LTX-CREDENCE CORP COM NEW 502403207 400 50000 SH DFND 1 50000 0 0 LTX-CREDENCE CORP COM NEW 502403207 293 36666 SH SOLE 36666 0 0 MAVENIR SYS INC COM 577675101 670 60000 SH DFND 2 60000 0 0 MAVENIR SYS INC COM 577675101 642 57530 SH DFND 1 57530 0 0 MAVENIR SYS INC COM 577675101 920 82470 SH SOLE 82470 0 0 MAXLINEAR INC CL A 57776J100 559 53625 SH DFND 1 53625 0 0 MAXLINEAR INC CL A 57776J100 953 91375 SH SOLE 91375 0 0 MKS INSTRUMENT INC COM 55306N104 2020 67500 SH DFND 2 67500 0 0 MKS INSTRUMENT INC COM 55306N104 1496 50000 SH DFND 1 50000 0 0 MKS INSTRUMENT INC COM 55306N104 2965 99100 SH SOLE 99100 0 0 MONSANTO CO NEW COM 61166W101 3403 29200 SH DFND 1 29200 0 0 MONSANTO CO NEW COM 61166W101 1259 10800 SH SOLE 10800 0 0 MULTI FINELINE ELECTRONIX IN COM 62541B101 740 53250 SH DFND 1 53250 0 0 MULTI FINELINE ELECTRONIX IN COM 62541B101 302 21750 SH SOLE 21750 0 0 NATIONAL OILWELL VARCO INC COM 637071101 795 10000 SH DFND 2 10000 0 0 NATIONAL OILWELL VARCO INC COM 637071101 398 5000 SH SOLE 5000 0 0 NATUS MEDICAL INC DEL COM 639050103 225 10000 SH DFND 2 10000 0 0 NATUS MEDICAL INC DEL COM 639050103 225 10000 SH SOLE 10000 0 0 NEOPHOTONICS CORP COM 64051T100 1059 150000 SH SOLE 150000 0 0 NEWPORT CORP COM 651824104 1807 100000 SH DFND 2 100000 0 0 NEWPORT CORP COM 651824104 3614 200000 SH DFND 1 200000 0 0 NEWPORT CORP COM 651824104 1039 57500 SH SOLE 57500 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 1279 130000 SH DFND 2 130000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 2276 231250 SH DFND 1 231250 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 2410 244900 SH SOLE 244900 0 0 NXSTAGE MEDICAL INC COM 67072V103 1200 120000 SH SOLE 120000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 1177 20000 SH DFND 2 20000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 2089 35500 SH DFND 1 35500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 853 14500 SH SOLE 14500 0 0 OIL DRI CORP AMER COM 677864100 568 15000 SH SOLE 15000 0 0 OMNICELL INC COM 68213N109 332 13000 SH SOLE 13000 0 0 ORBOTECH LTD ORD M75253100 1352 100000 SH DFND 1 100000 0 0 ORBOTECH LTD ORD M75253100 608 45000 SH SOLE 45000 0 0 PANERA BREAD CO CL A 69840W108 486 2750 SH SOLE 2750 0 0 PDF SOLUTIONS INC COM 693282105 4612 180000 SH DFND 2 180000 0 0 PDF SOLUTIONS INC COM 693282105 1396 54500 SH DFND 1 54500 0 0 PDF SOLUTIONS INC COM 693282105 8980 350500 SH SOLE 350500 0 0 PEREGRINE SEMICONDUCTOR CORP COM 71366R703 276 37200 SH DFND 1 37200 0 0 PEREGRINE SEMICONDUCTOR CORP COM 71366R703 113 15223 SH SOLE 15223 0 0 PHOTRONICS INC COM 719405102 593 65625 SH DFND 1 65625 0 0 PHOTRONICS INC COM 719405102 1256 139125 SH SOLE 139125 0 0 PRECISION CASTPARTS CORP COM 740189105 10772 40000 SH DFND 1 40000 0 0 PRECISION CASTPARTS CORP COM 740189105 5386 20000 SH SOLE 20000 0 0 QUALCOMM INC COM 747525103 371 5000 SH DFND 2 5000 0 0 QUINSTREET INC COM 74874Q100 543 62430 SH DFND 2 62430 0 0 QUINSTREET INC COM 74874Q100 3347 385115 SH DFND 1 385115 0 0 QUINSTREET INC COM 74874Q100 1223 140685 SH SOLE 140685 0 0 REIS INC COM 75936P105 2619 136207 SH SOLE 136207 0 0 RUCKUS WIRELESS INC COM 781220108 852 60000 SH SOLE 60000 0 0 RUDOLPH TECHNOLOGIES INC COM 781270103 646 55000 SH SOLE 55000 0 0 SCHLUMBERGER LTD COM 806857108 1126 12500 SH DFND 2 12500 0 0 SOLTA MED INC COM 83438K103 209 71000 SH DFND 1 71000 0 0 SOLTA MED INC COM 83438K103 823 279000 SH SOLE 279000 0 0 SOUTHWEST AIRLS CO COM 844741108 268 14200 SH DFND 1 14200 0 0 SOUTHWEST AIRLS CO COM 844741108 109 5800 SH SOLE 5800 0 0 SUPER MICRO COMPUTER INC COM 86800U104 4033 235000 SH DFND 2 235000 0 0 SUPER MICRO COMPUTER INC COM 86800U104 3904 227500 SH DFND 1 227500 0 0 SUPER MICRO COMPUTER INC COM 86800U104 4753 277000 SH SOLE 277000 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 2129 80000 SH SOLE 80000 0 0 SUPERTEX INC COM 868532102 782 31200 SH DFND 1 31200 0 0 SUPERTEX INC COM 868532102 634 25300 SH SOLE 25300 0 0 SYPRIS SOLUTIONS INC COM 871655106 689 225000 SH DFND 2 225000 0 0 SYPRIS SOLUTIONS INC COM 871655106 834 272500 SH DFND 1 272500 0 0 SYPRIS SOLUTIONS INC COM 871655106 543 177500 SH SOLE 177500 0 0 TESSERA TECHNOLOGIES INC COM 88164L100 1638 83100 SH DFND 1 83100 0 0 TESSERA TECHNOLOGIES INC COM 88164L100 197 10000 SH SOLE 10000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 12694 114000 SH DFND 2 114000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 11135 100000 SH DFND 1 100000 0 0 THESTREET INC COM 88368Q103 339 150000 SH SOLE 150000 0 0 TIFFANY & CO NEW COM 886547108 232 2500 SH DFND 2 2500 0 0 TIFFANY & CO NEW COM 886547108 659 7100 SH DFND 1 7100 0 0 TIFFANY & CO NEW COM 886547108 269 2900 SH SOLE 2900 0 0 TTM TECHNOLOGIES INC COM 87305R109 646 75300 SH DFND 1 75300 0 0 TTM TECHNOLOGIES INC COM 87305R109 2366 275700 SH SOLE 275700 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 752 75000 SH SOLE 75000 0 0 UNITED CONTL HLDGS INC COM 910047109 2648 70000 SH DFND 1 70000 0 0 UNITED CONTL HLDGS INC COM 910047109 1135 30000 SH SOLE 30000 0 0 VARIAN MED SYS INC COM 92220P105 1554 20000 SH DFND 2 20000 0 0 VARIAN MED SYS INC COM 92220P105 2641 34000 SH DFND 1 34000 0 0 VARIAN MED SYS INC COM 92220P105 1243 16000 SH SOLE 16000 0 0 VIASAT INC COM 92552V100 6202 99000 SH DFND 2 99000 0 0 VIASAT INC COM 92552V100 6265 100000 SH DFND 1 100000 0 0 VIASAT INC COM 92552V100 4573 73000 SH SOLE 73000 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 995 75000 SH DFND 2 75000 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 663 50000 SH DFND 1 50000 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 265 20000 SH SOLE 20000 0 0 WAGEWORKS INC COM 930427109 1397 23500 SH DFND 2 23500 0 0 WAGEWORKS INC COM 930427109 1962 33000 SH SOLE 33000 0 0 WALTER ENERGY INC COM 93317Q105 183 11000 SH DFND 2 11000 0 0 WALTER ENERGY INC COM 93317Q105 333 20000 SH SOLE 20000 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 1161 70000 SH SOLE 70000 0 0 WPX ENERGY INC COM 98212B103 448 22000 SH DFND 2 22000 0 0 WPX ENERGY INC COM 98212B103 1543 75700 SH DFND 1 75700 0 0 WPX ENERGY INC COM 98212B103 1486 72900 SH SOLE 72900 0 0 YUME INC COM 98872B104 186 25000 SH DFND 2 25000 0 0 YUME INC COM 98872B104 316 42400 SH SOLE 42400 0 0 ZYGO CORP COM 989855101 1547 104650 SH DFND 2 104650 0 0 ZYGO CORP COM 989855101 2686 181725 SH SOLE 181725 0 0