0000919574-19-001367.txt : 20190214 0000919574-19-001367.hdr.sgml : 20190214 20190213192935 ACCESSION NUMBER: 0000919574-19-001367 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190214 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: 19599897 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 12-31-2018 12-31-2018 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 02-13-2019 2 169 266497 1 0000890847 028-11515 NEEDHAM EMERGING GROWTH PARTNERS LP 2 0001310572 028-11514 NEEDHAM GROWTH FUND INFORMATION TABLE 2 infotable.xml 2U INC COM 90214J101 199 4000 SH DFND 2 4000 0 0 2U INC COM 90214J101 99 2000 SH SOLE 2000 0 0 AGILE THERAPEUTICS INC COM 00847L100 46 80000 SH SOLE 80000 0 0 AIR LEASE CORP CL A 00912X302 1208 40000 SH DFND 1 40000 0 0 AIR LEASE CORP CL A 00912X302 1511 50000 SH DFND 2 50000 0 0 AIR LEASE CORP CL A 00912X302 1571 52000 SH SOLE 52000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 2229 36500 SH DFND 2 36500 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 1680 27500 SH SOLE 27500 0 0 AKOUSTIS TECHNOLOGIES INC COM 00973N102 795 160000 SH SOLE 160000 0 0 ALPHA PRO TECH LTD COM 020772109 222 59843 SH SOLE 59843 0 0 AMBER RD INC COM 02318Y108 1306 158650 SH DFND 1 158650 0 0 AMBER RD INC COM 02318Y108 3662 445000 SH DFND 2 445000 0 0 AMBER RD INC COM 02318Y108 4018 488200 SH SOLE 488200 0 0 APPIAN CORP CL A 03782L101 267 10000 SH DFND 2 10000 0 0 APPIAN CORP CL A 03782L101 147 5500 SH SOLE 5500 0 0 APPLE INC COM 037833100 426 2700 SH DFND 2 2700 0 0 APPLE INC COM 037833100 3155 20000 SH SOLE 20000 0 0 APPLIED MATLS INC COM 038222105 246 7500 SH DFND 2 7500 0 0 AQUANTIA CORP COM 03842Q108 658 75000 SH DFND 1 75000 0 0 AQUANTIA CORP COM 03842Q108 373 42500 SH DFND 2 42500 0 0 AQUANTIA CORP COM 03842Q108 1491 170000 SH SOLE 170000 0 0 ASPEN AEROGELS INC COM 04523Y105 58 27300 SH DFND 1 27300 0 0 ASPEN AEROGELS INC COM 04523Y105 925 434050 SH DFND 2 434050 0 0 ASPEN AEROGELS INC COM 04523Y105 1425 669050 SH SOLE 669050 0 0 BECTON DICKINSON & CO COM 075887109 4619 20500 SH DFND 2 20500 0 0 BECTON DICKINSON & CO COM 075887109 169 750 SH SOLE 750 0 0 BOEING CO COM 097023105 7256 22500 SH DFND 1 22500 0 0 BOEING CO COM 097023105 1774 5500 SH SOLE 5500 0 0 CARMAX INC COM 143130102 5332 85000 SH DFND 2 85000 0 0 CARMAX INC COM 143130102 1286 20500 SH SOLE 20500 0 0 COHERENT INC COM 192479103 159 1500 SH SOLE 1500 0 0 COHERENT INC COM 192479103 482 30000 SH SOLE 30000 0 0 COMCAST CORP NEW CL A 20030N101 6810 200000 SH DFND 1 200000 0 0 COMCAST CORP NEW CL A 20030N101 3916 115000 SH DFND 2 115000 0 0 COMSCORE INC COM 20564W105 329 22800 SH DFND 1 22800 0 0 COMSCORE INC COM 20564W105 104 7200 SH SOLE 7200 0 0 CORE LABORATORIES N V COM N22717107 60 1000 SH DFND 2 1000 0 0 CORE LABORATORIES N V COM N22717107 298 5000 SH SOLE 5000 0 0 CORNING INC COM 219350105 1057 35000 SH DFND 2 35000 0 0 COUPA SOFTWARE INC COM 22266L106 302 4800 SH DFND 2 4800 0 0 COUPA SOFTWARE INC COM 22266L106 75 1200 SH SOLE 1200 0 0 CRA INTL INC COM 12618T105 213 5000 SH SOLE 5000 0 0 CRYOPORT INC COM PAR $0.001 229050307 663 60150 SH DFND 2 60150 0 0 CRYOPORT INC COM PAR $0.001 229050307 671 60850 SH SOLE 60850 0 0 ECOLOGY & ENVIRONMENT INC CL A 278878103 387 34100 SH SOLE 34100 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 1860 75000 SH DFND 1 75000 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 1649 66500 SH DFND 2 66500 0 0 ELECTRONICS FOR IMAGING INC COM 286082102 2046 82500 SH SOLE 82500 0 0 EMCORE CORP COM NEW 290846203 1302 310000 SH SOLE 310000 0 0 ENCOMPASS HEALTH CORP COM 29261A100 4319 70000 SH DFND 1 70000 0 0 ENTEGRIS INC COM 29362U104 4084 146400 SH DFND 1 146400 0 0 ENTEGRIS INC COM 29362U104 4003 143500 SH DFND 2 143500 0 0 ENTEGRIS INC COM 29362U104 6000 215100 SH SOLE 215100 0 0 EQUINIX INC COM PAR $0.001 29444U700 705 2000 SH SOLE 2000 0 0 EVERBRIDGE INC COM 29978A104 539 9500 SH DFND 2 9500 0 0 EVERBRIDGE INC COM 29978A104 369 6500 SH SOLE 6500 0 0 FLIR SYS INC COM 302445101 370 8500 SH DFND 2 8500 0 0 FORMFACTOR INC COM 346375108 5636 400000 SH DFND 1 400000 0 0 FORMFACTOR INC COM 346375108 4068 288750 SH DFND 2 288750 0 0 FORMFACTOR INC COM 346375108 3984 282750 SH SOLE 282750 0 0 FREQUENCY ELECTRS INC COM 358010106 373 35200 SH DFND 2 35200 0 0 FREQUENCY ELECTRS INC COM 358010106 1913 180500 SH SOLE 180500 0 0 GENMARK DIAGNOSTICS INC COM 372309104 486 100000 SH DFND 1 100000 0 0 GENMARK DIAGNOSTICS INC COM 372309104 156 32000 SH DFND 2 32000 0 0 GENMARK DIAGNOSTICS INC COM 372309104 722 148500 SH SOLE 148500 0 0 GILEAD SCIENCES INC COM 375558103 2877 46000 SH DFND 1 46000 0 0 GILEAD SCIENCES INC COM 375558103 5379 86000 SH DFND 2 86000 0 0 GILEAD SCIENCES INC COM 375558103 813 13000 SH SOLE 13000 0 0 GSE SYS INC COM 36227K106 2352 1120000 SH SOLE 1120000 0 0 GSV CAP CORP COM 36191J101 1665 318997 SH DFND 1 318997 0 0 GSV CAP CORP COM 36191J101 432 82762 SH SOLE 82762 0 0 HAWAIIAN HOLDINGS INC COM 419879101 1427 54050 SH DFND 1 54050 0 0 HAWAIIAN HOLDINGS INC COM 419879101 251 9500 SH DFND 2 9500 0 0 HAWAIIAN HOLDINGS INC COM 419879101 1483 56150 SH SOLE 56150 0 0 HESS CORP COM 42809H107 304 7500 SH DFND 2 7500 0 0 HESS CORP COM 42809H107 91 2250 SH SOLE 2250 0 0 HONEYWELL INTL INC COM 438516106 3171 24000 SH DFND 1 24000 0 0 HONEYWELL INTL INC COM 438516106 330 2500 SH DFND 2 2500 0 0 ICHOR HOLDINGS COM G4740B105 228 14000 SH SOLE 14000 0 0 II VI INC COM 902104108 3707 114200 SH DFND 1 114200 0 0 II VI INC COM 902104108 2009 61900 SH SOLE 61900 0 0 INTEVAC INC COM 461148108 160 30600 SH SOLE 30600 0 0 IPG PHOTONICS CORP COM 44980X109 708 6250 SH DFND 2 6250 0 0 IPG PHOTONICS CORP COM 44980X109 793 7000 SH SOLE 7000 0 0 KVH INDS INC COM 482738101 424 41200 SH DFND 1 41200 0 0 KVH INDS INC COM 482738101 5010 486850 SH DFND 2 486850 0 0 KVH INDS INC COM 482738101 4953 481389 SH SOLE 481389 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 4140 32763 SH DFND 1 32763 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 253 2000 SH DFND 2 2000 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 859 6800 SH SOLE 6800 0 0 LAM RESEARCH CORP COM 512807108 340 2500 SH DFND 2 2500 0 0 LEMAITRE VASCULAR INC COM 525558201 591 25000 SH SOLE 25000 0 0 MEDTRONIC PLC SHS G5960L103 2141 23541 SH DFND 1 23541 0 0 MEDTRONIC PLC SHS G5960L103 2001 22000 SH DFND 2 22000 0 0 MEDTRONIC PLC SHS G5960L103 761 8365 SH SOLE 8365 0 0 MKS INSTRUMENT INC COM 55306N104 1615 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UNIT CL A 674001201 1411 35500 SH DFND 1 35500 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 795 20000 SH DFND 2 20000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 576 14500 SH SOLE 14500 0 0 OIL DRI CORP AMER COM 677864100 490 18500 SH DFND 2 18500 0 0 OIL DRI CORP AMER COM 677864100 1325 50000 SH SOLE 50000 0 0 OMNICELL INC COM 68213N109 551 9000 SH SOLE 9000 0 0 ORBOTECH LTD ORD M75253100 4840 85600 SH DFND 1 85600 0 0 ORBOTECH LTD ORD M75253100 2228 39400 SH SOLE 39400 0 0 PDF SOLUTIONS INC COM 693282105 1499 177785 SH DFND 1 177785 0 0 PDF SOLUTIONS INC COM 693282105 4176 495400 SH DFND 2 495400 0 0 PDF SOLUTIONS INC COM 693282105 5285 626915 SH SOLE 626915 0 0 PHOTRONICS INC COM 719405102 741 76500 SH DFND 1 76500 0 0 PHOTRONICS INC COM 719405102 1525 157500 SH DFND 2 157500 0 0 PHOTRONICS INC COM 719405102 3458 357250 SH SOLE 357250 0 0 PLURALSIGHT INC COM CL A 72941B106 176 7475 SH DFND 1 7475 0 0 PLURALSIGHT INC COM CL A 72941B106 141 6000 SH DFND 2 6000 0 0 PLURALSIGHT INC COM CL A 72941B106 146 6194 SH SOLE 6194 0 0 Q2 HLDGS INC COM 74736L109 991 20000 SH DFND 2 20000 0 0 Q2 HLDGS INC COM 74736L109 595 12000 SH SOLE 12000 0 0 QUANTENNA COMMUNICATIONS INC COM 74766D100 179 12500 SH SOLE 12500 0 0 QUEST DIAGNOSTICS INC COM 74834L100 250 3000 SH DFND 2 3000 0 0 QUEST DIAGNOSTICS INC COM 74834L100 125 1500 SH SOLE 1500 0 0 ROKU INC COM CL A 77543R102 306 10000 SH SOLE 10000 0 0 RUDOLPH TECHNOLOGIES INC COM 781270103 317 15500 SH SOLE 15500 0 0 SCHLUMBERGER LTD COM 806857108 361 10000 SH DFND 2 10000 0 0 SCHLUMBERGER LTD COM 806857108 180 5000 SH SOLE 5000 0 0 SOUTHWEST AIRLS CO COM 844741108 2017 43400 SH DFND 1 43400 0 0 SOUTHWEST AIRLS CO COM 844741108 772 16600 SH SOLE 16600 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 221 6000 SH DFND 2 6000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 166 4500 SH SOLE 4500 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 4692 261392 SH DFND 1 261392 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 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