0000919574-18-007213.txt : 20181114 0000919574-18-007213.hdr.sgml : 20181114 20181113181629 ACCESSION NUMBER: 0000919574-18-007213 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181114 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: 181179639 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 09-30-2018 09-30-2018 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 11-13-2018 2 175 331918 1 0000890847 028-11515 NEEDHAM EMERGING GROWTH PARTNERS LP 2 0001310572 028-11514 NEEDHAM GROWTH FUND INFORMATION TABLE 2 infotable.xml APPLE INC COM 037833100 4684 20750 SH SOLE 20750 0 0 APPLE INC COM 037833100 609 2700 SH DFND 2 2700 0 0 ADVANCED ENERGY INDS COM 007973100 413 8000 SH SOLE 8000 0 0 AGILE THERAPEUTICS INC COM 00847L100 48 130375 SH SOLE 130375 0 0 AGILE THERAPEUTICS INC COM 00847L100 37 100000 SH DFND 2 100000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 2048 28000 SH SOLE 28000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 2670 36500 SH DFND 2 36500 0 0 AIR LEASE CORP CL A 00912X302 1200 26150 SH SOLE 26150 0 0 AIR LEASE CORP CL A 00912X302 1140 24850 SH DFND 1 24850 0 0 AIR LEASE CORP CL A 00912X302 2179 47500 SH DFND 2 47500 0 0 ALLENA PHARMACEUTICALS INC COM 018119107 70 1620 SH SOLE 1620 0 0 ALLENA PHARMACEUTICALS INC COM 018119107 130 2996 SH DFND 2 2996 0 0 APPLIED MATLS INC COM 038222105 290 7500 SH DFND 2 7500 0 0 AMBER RD INC COM 02318Y108 4785 497400 SH SOLE 497400 0 0 AMBER RD INC COM 02318Y108 1526 158650 SH DFND 1 158650 0 0 AMBER RD INC COM 02318Y108 4327 449800 SH DFND 2 449800 0 0 APPIAN CORP CL A 03782L101 331 10000 SH SOLE 10000 0 0 APPIAN CORP CL A 03782L101 331 10000 SH DFND 2 10000 0 0 ALPHA PRO TECH LTD COM 020772109 138 39000 SH SOLE 39000 0 0 AQUANTIA CORP COM 03842Q108 1745 136400 SH SOLE 136400 0 0 AQUANTIA CORP COM 03842Q108 959 75000 SH DFND 1 75000 0 0 AQUANTIA CORP COM 03842Q108 531 41500 SH DFND 2 41500 0 0 ASPEN AEROGELS INC COM 04523Y105 2216 485000 SH SOLE 485000 0 0 ASPEN AEROGELS INC COM 04523Y105 1371 300000 SH DFND 2 300000 0 0 AV HOMES INC COM 00234P102 180 9000 SH SOLE 9000 0 0 AV HOMES INC COM 00234P102 480 24000 SH DFND 1 24000 0 0 BOEING CO COM 097023105 2045 5500 SH SOLE 5500 0 0 BOEING CO COM 097023105 9298 25000 SH DFND 1 25000 0 0 BECTON DICKINSON & CO COM 075887109 326 1250 SH SOLE 1250 0 0 BECTON DICKINSON & CO COM 075887109 5612 21500 SH DFND 2 21500 0 0 COMCAST CORP NEW CL A 20030N101 7082 200000 SH DFND 1 200000 0 0 COMCAST CORP NEW CL A 20030N101 4072 115000 SH DFND 2 115000 0 0 CORIUM INTL INC COM 21887L107 760 79907 SH SOLE 79907 0 0 CORIUM INTL INC COM 21887L107 601 63234 SH DFND 1 63234 0 0 CORIUM INTL INC COM 21887L107 618 65000 SH DFND 2 65000 0 0 COUPA SOFTWARE INC COM 22266L106 198 2500 SH SOLE 2500 0 0 COUPA SOFTWARE INC COM 22266L106 435 5500 SH DFND 2 5500 0 0 CRA INTL INC COM 12618T105 251 5000 SH SOLE 5000 0 0 CRYOPORT INC COM PAR $0.001 229050307 833 65000 SH SOLE 65000 0 0 CRYOPORT INC COM PAR $0.001 229050307 801 62500 SH DFND 2 62500 0 0 ECOLOGY & ENVIRONMENT INC CL A 278878103 434 32500 SH SOLE 32500 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2948 86500 SH SOLE 86500 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2556 75000 SH DFND 1 75000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2266 66500 SH DFND 2 66500 0 0 ENCOMPASS HEALTH CORP COM 29261A100 5457 70000 SH DFND 1 70000 0 0 EMCORE CORP COM NEW 290846203 1425 300000 SH SOLE 300000 0 0 ENTEGRIS INC COM 29362U104 6097 210600 SH SOLE 210600 0 0 ENTEGRIS INC COM 29362U104 4238 146400 SH DFND 1 146400 0 0 ENTEGRIS INC COM 29362U104 4154 143500 SH DFND 2 143500 0 0 EQUINIX INC COM PAR $0.001 29444U700 866 2000 SH SOLE 2000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 950 10000 SH DFND 1 10000 0 0 EVERBRIDGE INC COM 29978A104 288 5000 SH SOLE 5000 0 0 EVERBRIDGE INC COM 29978A104 432 7500 SH DFND 2 7500 0 0 FREQUENCY ELECTRS INC COM 358010106 2492 240293 SH SOLE 240293 0 0 FREQUENCY ELECTRS INC COM 358010106 467 45000 SH DFND 2 45000 0 0 FIREEYE INC COM 31816Q101 170 10000 SH SOLE 10000 0 0 FLIR SYS INC COM 302445101 522 8500 SH DFND 2 8500 0 0 FORMFACTOR INC COM 346375108 5160 375250 SH SOLE 375250 0 0 FORMFACTOR INC COM 346375108 5860 426200 SH DFND 1 426200 0 0 FORMFACTOR INC COM 346375108 4744 345000 SH DFND 2 345000 0 0 GILEAD SCIENCES INC COM 375558103 1042 13500 SH SOLE 13500 0 0 GILEAD SCIENCES INC COM 375558103 3552 46000 SH DFND 1 46000 0 0 GILEAD SCIENCES INC COM 375558103 6756 87500 SH DFND 2 87500 0 0 CORNING INC COM 219350105 1236 35000 SH DFND 2 35000 0 0 GENMARK DIAGNOSTICS INC COM 372309104 956 130000 SH SOLE 130000 0 0 GENMARK DIAGNOSTICS INC COM 372309104 735 100000 SH DFND 1 100000 0 0 GENMARK DIAGNOSTICS INC COM 372309104 221 30000 SH DFND 2 30000 0 0 GSV CAP CORP COM 36191J101 572 82762 SH SOLE 82762 0 0 GSV CAP CORP COM 36191J101 2204 318997 SH DFND 1 318997 0 0 GSE SYS INC COM 36227K106 4032 1120000 SH SOLE 1120000 0 0 HAWAIIAN HOLDINGS INC COM 419879101 1019 25400 SH SOLE 25400 0 0 HAWAIIAN HOLDINGS INC COM 419879101 1395 34800 SH DFND 1 34800 0 0 HESS CORP COM 42809H107 161 2250 SH SOLE 2250 0 0 HESS CORP COM 42809H107 537 7500 SH DFND 2 7500 0 0 HONEYWELL INTL INC COM 438516106 3949 24000 SH DFND 1 24000 0 0 HONEYWELL INTL INC COM 438516106 411 2500 SH DFND 2 2500 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 3141 135698 SH SOLE 135698 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 6051 261392 SH DFND 1 261392 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 3132 153359 SH SOLE 153359 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 7862 385000 SH DFND 1 385000 0 0 II VI INC COM 902104108 2899 61300 SH SOLE 61300 0 0 II VI INC COM 902104108 5402 114200 SH DFND 1 114200 0 0 II VI INC COM 902104108 189 4000 SH DFND 2 4000 0 0 IPG PHOTONICS CORP COM 44980X109 1327 8500 SH SOLE 8500 0 0 IPG PHOTONICS CORP COM 44980X109 975 6250 SH DFND 2 6250 0 0 INVUITY INC COM NEW 46187J205 2405 325039 SH SOLE 325039 0 0 CARMAX INC COM 143130102 1531 20500 SH SOLE 20500 0 0 CARMAX INC COM 143130102 6496 87000 SH DFND 2 87000 0 0 KVH INDS INC COM 482738101 6371 486298 SH SOLE 486298 0 0 KVH INDS INC COM 482738101 540 41200 SH DFND 1 41200 0 0 KVH INDS INC COM 482738101 6550 500000 SH DFND 2 500000 0 0 NLIGHT INC COM 65487K100 239 10762 SH SOLE 10762 0 0 NLIGHT INC COM 65487K100 169 7631 SH DFND 1 7631 0 0 NLIGHT INC COM 65487K100 78 3500 SH DFND 2 3500 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 1042 6000 SH SOLE 6000 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 5690 32763 SH DFND 1 32763 0 0 LEMAITRE VASCULAR INC COM 525558201 969 25000 SH SOLE 25000 0 0 LAM RESEARCH CORP COM 512807108 379 2500 SH DFND 2 2500 0 0 SOUTHWEST AIRLS CO COM 844741108 1037 16600 SH SOLE 16600 0 0 SOUTHWEST AIRLS CO COM 844741108 2710 43400 SH DFND 1 43400 0 0 MEDTRONIC PLC SHS G5960L103 823 8365 SH SOLE 8365 0 0 MEDTRONIC PLC SHS G5960L103 2316 23541 SH DFND 1 23541 0 0 MEDTRONIC PLC SHS G5960L103 2213 22500 SH DFND 2 22500 0 0 MARKEL CORP COM 570535104 208 175 SH SOLE 175 0 0 MARKEL CORP COM 570535104 178 150 SH DFND 2 150 0 0 MKS INSTRUMENT INC COM 55306N104 3607 45000 SH SOLE 45000 0 0 MKS INSTRUMENT INC COM 55306N104 2004 25000 SH DFND 1 25000 0 0 MKS INSTRUMENT INC COM 55306N104 2004 25000 SH DFND 2 25000 0 0 NATIONAL INSTRS CORP COM 636518102 435 9000 SH SOLE 9000 0 0 NATIONAL INSTRS CORP COM 636518102 1005 20800 SH DFND 2 20800 0 0 NEOPHOTONICS CORP COM 64051T100 344 41500 SH SOLE 41500 0 0 NEOPHOTONICS CORP COM 64051T100 320 38500 SH DFND 1 38500 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 672 55550 SH SOLE 55550 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 1479 122250 SH DFND 1 122250 0 0 NAVIGATOR HOLDINGS LTD SHS Y62132108 61 5000 SH DFND 2 5000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 3499 133000 SH SOLE 133000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 2763 105000 SH DFND 1 105000 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 1539 58500 SH DFND 2 58500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 600 14500 SH SOLE 14500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 1470 35500 SH DFND 1 35500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 828 20000 SH DFND 2 20000 0 0 OIL DRI CORP AMER COM 677864100 1797 46600 SH SOLE 46600 0 0 OIL DRI CORP AMER COM 677864100 713 18500 SH DFND 2 18500 0 0 OMNICELL INC COM 68213N109 719 10000 SH SOLE 10000 0 0 ORBOTECH LTD ORD M75253100 2699 45400 SH SOLE 45400 0 0 ORBOTECH LTD ORD M75253100 5088 85600 SH DFND 1 85600 0 0 ORBOTECH LTD ORD M75253100 178 3000 SH DFND 2 3000 0 0 PDF SOLUTIONS INC COM 693282105 5423 600565 SH SOLE 600565 0 0 PDF SOLUTIONS INC COM 693282105 1223 135435 SH DFND 1 135435 0 0 PDF SOLUTIONS INC COM 693282105 4334 480000 SH DFND 2 480000 0 0 PHOTRONICS INC COM 719405102 3706 376250 SH SOLE 376250 0 0 PHOTRONICS INC COM 719405102 754 76500 SH DFND 1 76500 0 0 PHOTRONICS INC COM 719405102 1601 162500 SH DFND 2 162500 0 0 PLURALSIGHT INC COM CL A 72941B106 230 7194 SH SOLE 7194 0 0 PLURALSIGHT INC COM CL A 72941B106 239 7475 SH DFND 1 7475 0 0 PLURALSIGHT INC COM CL A 72941B106 192 6000 SH DFND 2 6000 0 0 QUANTENNA COMMUNICATIONS INC COM 74766D100 231 12500 SH SOLE 12500 0 0 Q2 HLDGS INC COM 74736L109 727 12000 SH SOLE 12000 0 0 Q2 HLDGS INC COM 74736L109 1211 20000 SH DFND 2 20000 0 0 RED HAT INC COM 756577102 1227 9000 SH DFND 2 9000 0 0 COMSCORE INC COM 20564W105 405 22200 SH SOLE 22200 0 0 COMSCORE INC COM 20564W105 416 22800 SH DFND 1 22800 0 0 SCHLUMBERGER LTD COM 806857108 305 5000 SH DFND 2 5000 0 0 SONOS INC COM 83570H108 56 3477 SH SOLE 3477 0 0 SONOS INC COM 83570H108 60 3711 SH DFND 1 3711 0 0 SONOS INC COM 83570H108 45 2812 SH DFND 2 2812 0 0 TENABLE HLDGS INC COM 88025T102 271 6969 SH SOLE 6969 0 0 TENABLE HLDGS INC COM 88025T102 287 7386 SH DFND 1 7386 0 0 TENABLE HLDGS INC COM 88025T102 219 5645 SH DFND 2 5645 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 8543 35000 SH DFND 1 35000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 9641 39500 SH DFND 2 39500 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 155 3500 SH SOLE 3500 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 221 5000 SH DFND 2 5000 0 0 THE TRADE DESK INC COM CL A 88339J105 2475 16400 SH SOLE 16400 0 0 THE TRADE DESK INC COM CL A 88339J105 3939 26100 SH DFND 1 26100 0 0 THE TRADE DESK INC COM CL A 88339J105 1509 10000 SH DFND 2 10000 0 0 2U INC COM 90214J101 150 2000 SH SOLE 2000 0 0 2U INC COM 90214J101 301 4000 SH DFND 2 4000 0 0 ULTRA CLEAN HLDGS INC 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