0000919574-15-007999.txt : 20151116 0000919574-15-007999.hdr.sgml : 20151116 20151113184009 ACCESSION NUMBER: 0000919574-15-007999 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151113 EFFECTIVENESS DATE: 20151116 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: 151230657 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 09-30-2015 09-30-2015 false NEEDHAM INVESTMENT MANAGEMENT LLC
445 PARK AVENUE, 3RD FLOOR 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 11-13-2015 2 213 399323 1 0000890847 028-11515 NEEDHAM EMERGING GROWTH PARTNERS LP 2 0001310572 028-11514 NEEDHAM GROWTH FUND
INFORMATION TABLE 2 infotable.xml ACCO BRANDS CORP COM 00081T108 283 40000 SH SOLE 40000 0 0 ACCO BRANDS CORP COM 00081T108 707 100000 SH DFND 1 100000 0 0 AIR LEASE CORP CL A 00912X302 1937 62650 SH SOLE 62650 0 0 AIR LEASE CORP CL A 00912X302 768 24850 SH DFND 1 24850 0 0 AIR LEASE CORP CL A 00912X302 1391 45000 SH DFND 2 45000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 4213 61000 SH SOLE 61000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 3211 46500 SH DFND 2 46500 0 0 AMBER RD INC COM 02318Y108 1513 358525 SH SOLE 358525 0 0 AMBER RD INC COM 02318Y108 573 135850 SH DFND 1 135850 0 0 AMBER RD INC COM 02318Y108 1198 284000 SH DFND 2 284000 0 0 ANALOGIC CORP COM PAR $0.05 032657207 410 5000 SH SOLE 5000 0 0 ANALOGIC CORP COM PAR $0.05 032657207 410 5000 SH DFND 2 5000 0 0 APPLE INC COM 037833100 2454 22250 SH SOLE 22250 0 0 APPROACH RESOURCES INC COM 03834A103 25 13550 SH SOLE 13550 0 0 APPROACH RESOURCES INC COM 03834A103 69 36650 SH DFND 1 36650 0 0 ARI NETWORK SVCS INC COM NEW 001930205 56 15000 SH SOLE 15000 0 0 ASPEN AEROGELS INC COM 04523Y105 264 35200 SH SOLE 35200 0 0 AV HOMES INC COM 00234P102 91 6750 SH SOLE 6750 0 0 AV HOMES INC COM 00234P102 247 18250 SH DFND 1 18250 0 0 AVID TECHNOLOGY INC COM 05367P100 358 45000 SH SOLE 45000 0 0 BARRACUDA NETWORKS INC COM 068323104 423 27168 SH SOLE 27168 0 0 BARRACUDA NETWORKS INC COM 068323104 518 33240 SH DFND 1 33240 0 0 BARRACUDA NETWORKS INC COM 068323104 437 28023 SH DFND 2 28023 0 0 BECTON DICKINSON & CO COM 075887109 597 4500 SH SOLE 4500 0 0 BECTON DICKINSON & CO COM 075887109 5505 41500 SH DFND 2 41500 0 0 BOEING CO COM 097023105 3503 26750 SH SOLE 26750 0 0 BOEING CO COM 097023105 9330 71250 SH DFND 1 71250 0 0 BOTTOMLINE TECH DEL INC COM 101388106 1851 74000 SH SOLE 74000 0 0 BROOKS AUTOMATION INC COM 114340102 790 67500 SH SOLE 67500 0 0 BROOKS AUTOMATION INC COM 114340102 1815 155000 SH DFND 1 155000 0 0 BROOKS AUTOMATION INC COM 114340102 1054 90000 SH DFND 2 90000 0 0 BRUKER CORP COM 116794108 411 25000 SH SOLE 25000 0 0 BRUKER CORP COM 116794108 411 25000 SH DFND 2 25000 0 0 CARMAX INC COM 143130102 1335 22500 SH SOLE 22500 0 0 CARMAX INC COM 143130102 6674 112500 SH DFND 2 112500 0 0 CASTLIGHT HEALTH INC CL B 14862Q100 63 15000 SH SOLE 15000 0 0 CASTLIGHT HEALTH INC CL B 14862Q100 63 15000 SH DFND 2 15000 0 0 CHANNELADVISOR CORP COM 159179100 174 17500 SH SOLE 17500 0 0 COMCAST CORP NEW CL A 20030N101 5688 100000 SH DFND 1 100000 0 0 COMCAST CORP NEW CL A 20030N101 3413 60000 SH DFND 2 60000 0 0 CONMED CORP COM 207410101 2299 48150 SH DFND 2 48150 0 0 CONSTANT CONTACT INC COM 210313102 1382 57000 SH SOLE 57000 0 0 CORIUM INTL INC COM 21887L107 310 33130 SH SOLE 33130 0 0 CORIUM INTL INC COM 21887L107 252 26978 SH DFND 1 26978 0 0 CORIUM INTL INC COM 21887L107 374 40000 SH DFND 2 40000 0 0 CORNING INC COM 219350105 599 35000 SH DFND 2 35000 0 0 CRAWFORD & CO CL A 224633206 261 46712 SH SOLE 46712 0 0 DICKS SPORTING GOODS INC COM 253393102 496 10000 SH SOLE 10000 0 0 DICKS SPORTING GOODS INC COM 253393102 1191 24000 SH DFND 2 24000 0 0 ELECTRO SCIENTIFIC INDS COM 285229100 1160 250000 SH SOLE 250000 0 0 ELECTRO SCIENTIFIC INDS COM 285229100 597 128675 SH DFND 1 128675 0 0 ELECTRO SCIENTIFIC INDS COM 285229100 1343 289500 SH DFND 2 289500 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2034 47000 SH SOLE 47000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 3636 84000 SH DFND 1 84000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2792 64500 SH DFND 2 64500 0 0 ENTEGRIS INC COM 29362U104 4992 378500 SH SOLE 378500 0 0 ENTEGRIS INC COM 29362U104 3034 230000 SH DFND 1 230000 0 0 ENTEGRIS INC COM 29362U104 3265 247500 SH DFND 2 247500 0 0 EQUINIX INC COM PAR $0.001 29444U700 957 3499 SH SOLE 3499 0 0 EXACT SCIENCES CORP COM 30063P105 270 15000 SH SOLE 15000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 4360 53850 SH SOLE 53850 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 12144 150000 SH DFND 1 150000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 10820 133650 SH DFND 2 133650 0 0 FEDEX CORP COM 31428X106 288 2000 SH DFND 2 2000 0 0 FEI CO COM 30241L109 1023 14000 SH SOLE 14000 0 0 FINANCIAL ENGINES INC COM 317485100 1916 65000 SH SOLE 65000 0 0 FINANCIAL ENGINES INC COM 317485100 2947 100000 SH DFND 1 100000 0 0 FINANCIAL ENGINES INC COM 317485100 1989 67500 SH DFND 2 67500 0 0 FIREEYE INC COM 31816Q101 286 9000 SH SOLE 9000 0 0 FLIR SYS INC COM 302445101 210 7500 SH SOLE 7500 0 0 FLIR SYS INC COM 302445101 210 7500 SH DFND 2 7500 0 0 FORMFACTOR INC COM 346375108 6121 902750 SH SOLE 902750 0 0 FORMFACTOR INC COM 346375108 4564 673200 SH DFND 1 673200 0 0 FORMFACTOR INC COM 346375108 4577 675000 SH DFND 2 675000 0 0 FOUNDATION MEDICINE INC COM 350465100 295 16000 SH SOLE 16000 0 0 FOUNDATION MEDICINE INC COM 350465100 673 36500 SH DFND 1 36500 0 0 FOUNDATION MEDICINE INC COM 350465100 138 7500 SH DFND 2 7500 0 0 FREQUENCY ELECTRS INC COM 358010106 3163 305000 SH SOLE 305000 0 0 FREQUENCY ELECTRS INC COM 358010106 565 54500 SH DFND 2 54500 0 0 GENERAC HLDGS INC COM 368736104 211 7000 SH SOLE 7000 0 0 GILEAD SCIENCES INC COM 375558103 3731 38000 SH SOLE 38000 0 0 GILEAD SCIENCES INC COM 375558103 4517 46000 SH DFND 1 46000 0 0 GILEAD SCIENCES INC COM 375558103 9279 94500 SH DFND 2 94500 0 0 GSE SYS INC COM 36227K106 909 610000 SH SOLE 610000 0 0 GSV CAP CORP COM 36191J101 761 96950 SH SOLE 96950 0 0 GSV CAP CORP COM 36191J101 1602 204050 SH DFND 1 204050 0 0 GSV CAP CORP COM 36191J101 294 37500 SH DFND 2 37500 0 0 GULFPORT ENERGY CORP COM NEW 402635304 631 21250 SH SOLE 21250 0 0 GULFPORT ENERGY CORP COM NEW 402635304 1595 53750 SH DFND 1 53750 0 0 HEALTHSOUTH CORP COM NEW 421924309 2686 70000 SH DFND 1 70000 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 226 13500 SH SOLE 13500 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 611 36500 SH DFND 1 36500 0 0 HESS CORP COM 42809H107 676 13500 SH SOLE 13500 0 0 HESS CORP COM 42809H107 2002 40000 SH DFND 1 40000 0 0 HESS CORP COM 42809H107 2503 50000 SH DFND 2 50000 0 0 HONEYWELL INTL INC COM 438516106 3788 40000 SH DFND 1 40000 0 0 HONEYWELL INTL INC COM 438516106 758 8000 SH DFND 2 8000 0 0 HUTCHINSON TECHNOLOGY INC COM 448407106 139 87000 SH SOLE 87000 0 0 HUTCHINSON TECHNOLOGY INC COM 448407106 277 173000 SH DFND 1 173000 0 0 II VI INC COM 902104108 1299 80800 SH SOLE 80800 0 0 II VI INC COM 902104108 1836 114200 SH DFND 1 114200 0 0 II VI INC COM 902104108 2332 145000 SH DFND 2 145000 0 0 IPG PHOTONICS CORP COM 44980X109 342 4500 SH SOLE 4500 0 0 JABIL CIRCUIT INC COM 466313103 1828 81700 SH SOLE 81700 0 0 JABIL CIRCUIT INC COM 466313103 4772 213300 SH DFND 1 213300 0 0 JABIL CIRCUIT INC COM 466313103 3356 150000 SH DFND 2 150000 0 0 KVH INDS INC COM 482738101 4674 467400 SH SOLE 467400 0 0 KVH INDS INC COM 482738101 360 36000 SH DFND 1 36000 0 0 KVH INDS INC COM 482738101 5000 500000 SH DFND 2 500000 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 686 6325 SH SOLE 6325 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 3879 35763 SH DFND 1 35763 0 0 LADDER CAP CORP CL A 505743104 394 27493 SH SOLE 27493 0 0 LADDER CAP CORP CL A 505743104 513 35834 SH DFND 1 35834 0 0 LADDER CAP CORP CL A 505743104 409 28577 SH DFND 2 28577 0 0 LEIDOS HLDGS INC COM 525327102 248 5999 SH SOLE 5999 0 0 LEIDOS HLDGS INC COM 525327102 1033 24999 SH DFND 1 24999 0 0 LEMAITRE VASCULAR INC COM 525558201 414 34000 SH SOLE 34000 0 0 LIBBEY INC COM 529898108 1272 39000 SH SOLE 39000 0 0 LIBBEY INC COM 529898108 2315 71000 SH DFND 1 71000 0 0 LUNA INNOVATIONS COM 550351100 99 105939 SH SOLE 105939 0 0 MEDTRONIC PLC SHS G5960L103 560 8365 SH SOLE 8365 0 0 MEDTRONIC PLC SHS G5960L103 1576 23541 SH DFND 1 23541 0 0 MEDTRONIC PLC SHS G5960L103 1760 26290 SH DFND 2 26290 0 0 MKS INSTRUMENT INC COM 55306N104 3323 99100 SH SOLE 99100 0 0 MKS INSTRUMENT INC COM 55306N104 1677 50000 SH DFND 1 50000 0 0 MKS INSTRUMENT INC COM 55306N104 2263 67500 SH DFND 2 67500 0 0 MONSANTO CO NEW COM 61166W101 922 10800 SH SOLE 10800 0 0 MONSANTO CO NEW COM 61166W101 2492 29200 SH DFND 1 29200 0 0 NATIONAL INSTRS CORP COM 636518102 228 8200 SH SOLE 8200 0 0 NATIONAL INSTRS CORP COM 636518102 384 13800 SH DFND 2 13800 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 109 8200 SH SOLE 8200 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 291 21800 SH DFND 1 21800 0 0 NEWPORT CORP COM 651824104 2576 187350 SH SOLE 187350 0 0 NEWPORT CORP COM 651824104 3302 240150 SH DFND 1 240150 0 0 NEWPORT CORP COM 651824104 2784 202500 SH DFND 2 202500 0 0 NORSAT INTL INC NEW COM NEW 656512209 158 37500 SH SOLE 37500 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 2308 239900 SH SOLE 239900 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 2225 231250 SH DFND 1 231250 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 1251 130000 SH DFND 2 130000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 718 14500 SH SOLE 14500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 1757 35500 SH DFND 1 35500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 990 20000 SH DFND 2 20000 0 0 OIL DRI CORP AMER COM 677864100 1596 69687 SH SOLE 69687 0 0 OMNICELL INC COM 68213N109 404 13000 SH SOLE 13000 0 0 ORBOTECH LTD ORD M75253100 695 45000 SH SOLE 45000 0 0 ORBOTECH LTD ORD M75253100 1545 100000 SH DFND 1 100000 0 0 PANERA BREAD CO CL A 69840W108 348 1800 SH SOLE 1800 0 0 PDF SOLUTIONS INC COM 693282105 3566 356550 SH SOLE 356550 0 0 PDF SOLUTIONS INC COM 693282105 510 50950 SH DFND 1 50950 0 0 PDF SOLUTIONS INC COM 693282105 2000 200000 SH DFND 2 200000 0 0 PHOTRONICS INC COM 719405102 2520 278125 SH SOLE 278125 0 0 PHOTRONICS INC COM 719405102 595 65625 SH DFND 1 65625 0 0 PHOTRONICS INC COM 719405102 2242 247500 SH DFND 2 247500 0 0 PRECISION CASTPARTS CORP COM 740189105 4594 20000 SH SOLE 20000 0 0 PRECISION CASTPARTS CORP COM 740189105 9188 40000 SH DFND 1 40000 0 0 Q2 HLDGS INC COM 74736L109 309 12500 SH SOLE 12500 0 0 Q2 HLDGS INC COM 74736L109 494 20000 SH DFND 2 20000 0 0 QUINSTREET INC COM 74874Q100 592 106697 SH SOLE 106697 0 0 QUINSTREET INC COM 74874Q100 1589 286393 SH DFND 1 286393 0 0 REIS INC COM 75936P105 3364 148500 SH SOLE 148500 0 0 REIS INC COM 75936P105 227 10000 SH DFND 2 10000 0 0 RUCKUS WIRELESS INC COM 781220108 772 65000 SH SOLE 65000 0 0 SCHLUMBERGER LTD COM 806857108 862 12500 SH DFND 2 12500 0 0 SILICON GRAPHICS INTL CORP COM 82706L108 668 170000 SH SOLE 170000 0 0 SOUTHWEST AIRLS CO COM 844741108 631 16600 SH SOLE 16600 0 0 SOUTHWEST AIRLS CO COM 844741108 1651 43400 SH DFND 1 43400 0 0 STEEL EXCEL INC COM NEW 858122203 75 3760 SH SOLE 3760 0 0 STEEL EXCEL INC COM NEW 858122203 257 12868 SH DFND 1 12868 0 0 SUPER MICRO COMPUTER INC COM 86800U104 5905 216600 SH SOLE 216600 0 0 SUPER MICRO COMPUTER INC COM 86800U104 6301 231150 SH DFND 1 231150 0 0 SUPER MICRO COMPUTER INC COM 86800U104 5384 197500 SH DFND 2 197500 0 0 SYPRIS SOLUTIONS INC COM 871655106 262 216175 SH SOLE 216175 0 0 SYPRIS SOLUTIONS INC COM 871655106 477 394525 SH DFND 1 394525 0 0 SYPRIS SOLUTIONS INC COM 871655106 429 354300 SH DFND 2 354300 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 2747 99520 SH SOLE 99520 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 6490 235130 SH DFND 1 235130 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 2928 130066 SH SOLE 130066 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 7653 339968 SH DFND 1 339968 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 11005 90000 SH DFND 1 90000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 9171 75000 SH DFND 2 75000 0 0 THESTREET INC COM 88368Q103 932 558350 SH SOLE 558350 0 0 TIFFANY & CO NEW COM 886547108 448 5800 SH SOLE 5800 0 0 TIFFANY & CO NEW COM 886547108 1097 14200 SH DFND 1 14200 0 0 TIFFANY & CO NEW COM 886547108 193 2500 SH DFND 2 2500 0 0 TTM TECHNOLOGIES INC COM 87305R109 1262 202500 SH SOLE 202500 0 0 TTM TECHNOLOGIES INC COM 87305R109 530 85000 SH DFND 1 85000 0 0 TTM TECHNOLOGIES INC COM 87305R109 156 25000 SH DFND 2 25000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 270 10000 SH DFND 2 10000 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 1005 175000 SH SOLE 175000 0 0 UNITED CONTL HLDGS INC COM 910047109 1592 30000 SH SOLE 30000 0 0 UNITED CONTL HLDGS INC COM 910047109 3714 70000 SH DFND 1 70000 0 0 UNITED CONTL HLDGS INC COM 910047109 265 5000 SH DFND 2 5000 0 0 VARIAN MED SYS INC COM 92220P105 1180 16000 SH SOLE 16000 0 0 VARIAN MED SYS INC COM 92220P105 2509 34000 SH DFND 1 34000 0 0 VARIAN MED SYS INC COM 92220P105 1476 20000 SH DFND 2 20000 0 0 VIASAT INC COM 92552V100 4147 64500 SH SOLE 64500 0 0 VIASAT INC COM 92552V100 6429 100000 SH DFND 1 100000 0 0 VIASAT INC COM 92552V100 5786 90000 SH DFND 2 90000 0 0 VICOR CORP COM 925815102 523 51250 SH SOLE 51250 0 0 VICOR CORP COM 925815102 54 5250 SH DFND 1 5250 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 59 6120 SH SOLE 6120 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 134 13880 SH DFND 1 13880 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 606 62500 SH DFND 2 62500 0 0 VISHAY PRECISION GROUP INC COM 92835K103 695 60000 SH SOLE 60000 0 0 WAGEWORKS INC COM 930427109 1262 28000 SH SOLE 28000 0 0 WAGEWORKS INC COM 930427109 1059 23500 SH DFND 2 23500 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 144 8500 SH SOLE 8500 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 211 12500 SH DFND 2 12500 0 0 WPX ENERGY INC COM 98212B103 668 100900 SH SOLE 100900 0 0 WPX ENERGY INC COM 98212B103 501 75700 SH DFND 1 75700 0 0 WPX ENERGY INC COM 98212B103 149 22500 SH DFND 2 22500 0 0 XCERRA CORP COM 98400J108 230 36666 SH SOLE 36666 0 0 XCERRA CORP COM 98400J108 314 50000 SH DFND 1 50000 0 0