0000919574-20-003621.txt : 20200515
0000919574-20-003621.hdr.sgml : 20200515
20200515121908
ACCESSION NUMBER: 0000919574-20-003621
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200515
DATE AS OF CHANGE: 20200515
EFFECTIVENESS DATE: 20200515
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: 20882630
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
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03-31-2020
03-31-2020
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NEEDHAM INVESTMENT MANAGEMENT LLC
250 PARK AVENUE, 10TH FLOOR
NEW YORK
NY
10177
13F HOLDINGS REPORT
028-10095
N
James W. Giangrasso
Chief Financial Officer
212-705-0404
/s/ James W. Giangrasso
New York
NY
05-15-2020
3
233
353403
1
0000890847
028-11515
NEEDHAM EMERGING GROWTH PARTNERS LP
2
0001310572
028-11514
NEEDHAM GROWTH FUND
3
0001539485
028-14743
Needham Small Cap Growth Fund
INFORMATION TABLE
2
infotable.xml
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COM
282914100
1247
90000
SH
DFND
3
90000
0
0
ADVANCED ENERGY INDS
COM
007973100
1455
30000
SH
DFND
3
30000
0
0
AIR LEASE CORP
CL A
00912X302
1074
48500
SH
DFND
2
48500
0
0
AIR LEASE CORP
CL A
00912X302
609
27500
SH
DFND
3
27500
0
0
AIR LEASE CORP
CL A
00912X302
753
34000
SH
SOLE
34000
0
0
AIR LEASE CORP
CL A
00912X302
886
40000
SH
DFND
1
40000
0
0
AKAMAI TECHNOLOGIES INC
COM
00971T101
3065
33500
SH
DFND
2
33500
0
0
AKAMAI TECHNOLOGIES INC
COM
00971T101
1327
14500
SH
SOLE
14500
0
0
AKOUSTIS TECHNOLOGIES INC
COM
00973N102
3222
600000
SH
DFND
3
600000
0
0
ALPHA PRO TECH LTD
COM
020772109
906
75000
SH
SOLE
75000
0
0
ALPHA PRO TECH LTD
COM
020772109
91
7500
SH
DFND
2
7500
0
0
ALPHABET INC
CAP STK CL A
02079K305
290
250
SH
DFND
2
250
0
0
ALPHABET INC
CAP STK CL A
02079K305
290
250
SH
DFND
1
250
0
0
APPIAN CORP
CL A
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392
9750
SH
DFND
2
9750
0
0
APPIAN CORP
CL A
03782L101
1609
40000
SH
DFND
3
40000
0
0
APPIAN CORP
CL A
03782L101
91
2250
SH
SOLE
2250
0
0
APPLE INC
COM
037833100
4196
16500
SH
SOLE
16500
0
0
APPLE INC
COM
037833100
687
2700
SH
DFND
2
2700
0
0
APPLIED MATLS INC
COM
038222105
412
9000
SH
DFND
2
9000
0
0
ASPEN AEROGELS INC
COM
04523Y105
242
39450
SH
DFND
1
39450
0
0
ASPEN AEROGELS INC
COM
04523Y105
2543
414150
SH
DFND
2
414150
0
0
ASPEN AEROGELS INC
COM
04523Y105
3233
526550
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DFND
3
526550
0
0
ASPEN AEROGELS INC
COM
04523Y105
920
149850
SH
SOLE
149850
0
0
AVID TECHNOLOGY INC
COM
05367P100
224
33350
SH
DFND
2
33350
0
0
AVID TECHNOLOGY INC
COM
05367P100
171
25400
SH
SOLE
25400
0
0
AVID TECHNOLOGY INC
COM
05367P100
143
21300
SH
DFND
1
21300
0
0
AXT INC
COM
00246W103
2889
900000
SH
DFND
3
900000
0
0
AXT INC
COM
00246W103
80
25000
SH
SOLE
25000
0
0
AXT INC
COM
00246W103
482
150000
SH
DFND
2
150000
0
0
BECTON DICKINSON & CO
COM
075887109
4595
20000
SH
DFND
2
20000
0
0
BOEING CO
COM
097023105
746
5000
SH
SOLE
5000
0
0
BOEING CO
COM
097023105
2983
20000
SH
DFND
1
20000
0
0
BOTTOMLINE TECH DEL INC
COM
101388106
1100
30000
SH
DFND
3
30000
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
182
6173
SH
DFND
2
6173
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
264
8950
SH
SOLE
8950
0
0
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
646
21914
SH
DFND
1
21914
0
0
BROOKS AUTOMATION INC NEW
COM
114340102
305
10000
SH
DFND
3
10000
0
0
BRUKER CORP
COM
116794108
394
11000
SH
SOLE
11000
0
0
BRUKER CORP
COM
116794108
36
1000
SH
DFND
2
1000
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
714
127500
SH
DFND
2
127500
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
3472
620000
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DFND
3
620000
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
170
30275
SH
SOLE
30275
0
0
CAMBIUM NETWORKS CORP
SHS
G17766109
243
43325
SH
DFND
1
43325
0
0
CARMAX INC
COM
143130102
4441
82500
SH
DFND
2
82500
0
0
CARMAX INC
COM
143130102
1104
20500
SH
SOLE
20500
0
0
CHANNELADVISOR CORP
COM
159179100
2977
410000
SH
DFND
3
410000
0
0
CHANNELADVISOR CORP
COM
159179100
249
34250
SH
SOLE
34250
0
0
CHANNELADVISOR CORP
COM
159179100
454
62500
SH
DFND
2
62500
0
0
CHEVRON CORP NEW
COM
166764100
290
4000
SH
SOLE
4000
0
0
CLEAN HARBORS INC
COM
184496107
103
2000
SH
SOLE
2000
0
0
CLEAN HARBORS INC
COM
184496107
180
3500
SH
DFND
2
3500
0
0
COHERENT INC
COM
192479103
798
7500
SH
DFND
3
7500
0
0
COHU INC
COM
192576106
1238
100000
SH
DFND
3
100000
0
0
COMCAST CORP NEW
CL A
20030N101
3954
115000
SH
DFND
2
115000
0
0
COMCAST CORP NEW
CL A
20030N101
6876
200000
SH
DFND
1
200000
0
0
COMSCORE INC
COM
20564W105
41
14400
SH
SOLE
14400
0
0
COMSCORE INC
COM
20564W105
129
45600
SH
DFND
1
45600
0
0
CORNING INC
COM
219350105
709
34500
SH
DFND
2
34500
0
0
COUPA SOFTWARE INC
COM
22266L106
489
3500
SH
DFND
2
3500
0
0
CRA INTL INC
COM
12618T105
234
7000
SH
SOLE
7000
0
0
CRISPR THERAPEUTICS AG
NAMEN AKT
H17182108
233
5500
SH
DFND
3
5500
0
0
CRYOPORT INC
COM PAR $0.001
229050307
529
31000
SH
SOLE
31000
0
0
CRYOPORT INC
COM PAR $0.001
229050307
819
48000
SH
DFND
2
48000
0
0
DIRTT ENVIRONMENTAL SOLUTION
COM
25490H106
79
77000
SH
DFND
1
77000
0
0
DIRTT ENVIRONMENTAL SOLUTION
COM
25490H106
74
72500
SH
DFND
2
72500
0
0
DIRTT ENVIRONMENTAL SOLUTION
COM
25490H106
41
40000
SH
DFND
3
40000
0
0
DIRTT ENVIRONMENTAL SOLUTION
COM
25490H106
97
95500
SH
SOLE
95500
0
0
EMCORE CORP
COM NEW
290846203
1680
750000
SH
DFND
3
750000
0
0
ENCOMPASS HEALTH CORP
COM
29261A100
4482
70000
SH
DFND
1
70000
0
0
ENTEGRIS INC
COM
29362U104
5663
126500
SH
DFND
2
126500
0
0
ENTEGRIS INC
COM
29362U104
5484
122500
SH
SOLE
122500
0
0
ENTEGRIS INC
COM
29362U104
6111
136500
SH
DFND
1
136500
0
0
EQUINIX INC
COM
29444U700
1249
2000
SH
SOLE
2000
0
0
EVERBRIDGE INC
COM
29978A104
266
2500
SH
SOLE
2500
0
0
EVERBRIDGE INC
COM
29978A104
1223
11500
SH
DFND
2
11500
0
0
FARO TECHNOLOGIES INC
COM
311642102
445
10000
SH
DFND
2
10000
0
0
FASTLY INC
CL A
31188V100
759
40000
SH
DFND
3
40000
0
0
FIREEYE INC
COM
31816Q101
4126
390000
SH
DFND
3
390000
0
0
FLIR SYS INC
COM
302445101
255
8000
SH
DFND
2
8000
0
0
FLOOR & DECOR HLDGS INC
CL A
339750101
80
2500
SH
DFND
2
2500
0
0
FLOOR & DECOR HLDGS INC
CL A
339750101
642
20000
SH
DFND
3
20000
0
0
FORMFACTOR INC
COM
346375108
2913
145000
SH
DFND
2
145000
0
0
FORMFACTOR INC
COM
346375108
1888
94000
SH
SOLE
94000
0
0
FORMFACTOR INC
COM
346375108
7032
350000
SH
DFND
1
350000
0
0
FREIGHTCAR AMER INC
COM
357023100
60
65000
SH
SOLE
65000
0
0
FREQUENCY ELECTRS INC
COM
358010106
274
30000
SH
DFND
2
30000
0
0
FREQUENCY ELECTRS INC
COM
358010106
777
85000
SH
DFND
3
85000
0
0
FREQUENCY ELECTRS INC
COM
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960
105000
SH
SOLE
105000
0
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GENMARK DIAGNOSTICS INC
COM
372309104
525
127500
SH
DFND
2
127500
0
0
GENMARK DIAGNOSTICS INC
COM
372309104
4120
1000000
SH
DFND
3
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0
0
GENMARK DIAGNOSTICS INC
COM
372309104
338
82000
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SOLE
82000
0
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GENMARK DIAGNOSTICS INC
COM
372309104
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GILEAD SCIENCES INC
COM
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6355
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DFND
2
85000
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GILEAD SCIENCES INC
COM
375558103
972
13000
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SOLE
13000
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GILEAD SCIENCES INC
COM
375558103
3439
46000
SH
DFND
1
46000
0
0
GSE SYS INC
COM
36227K106
22
24029
SH
DFND
2
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0
GSE SYS INC
COM
36227K106
22
24029
SH
DFND
3
24029
0
0
GSE SYS INC
COM
36227K106
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SH
SOLE
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0
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HAWAIIAN HOLDINGS INC
COM
419879101
151
14500
SH
DFND
2
14500
0
0
HAWAIIAN HOLDINGS INC
COM
419879101
418
40000
SH
DFND
3
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0
0
HAWAIIAN HOLDINGS INC
COM
419879101
270
25900
SH
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25900
0
0
HAWAIIAN HOLDINGS INC
COM
419879101
905
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SH
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1
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0
HONEYWELL INTL INC
COM
438516106
3211
24000
SH
DFND
1
24000
0
0
HONEYWELL INTL INC
COM
438516106
334
2500
SH
DFND
2
2500
0
0
ICHOR HOLDINGS
SHS
G4740B105
766
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SH
DFND
3
40000
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II VI INC
COM
902104108
2423
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SH
DFND
2
85000
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II VI INC
COM
902104108
5415
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SH
DFND
3
190000
0
0
II VI INC
COM
902104108
1559
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SH
SOLE
54700
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II VI INC
COM
902104108
4016
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SH
DFND
1
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INOGEN INC
COM
45780L104
2686
52000
SH
DFND
3
52000
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INTEVAC INC
COM
461148108
450
110000
SH
DFND
2
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INTEVAC INC
COM
461148108
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SH
DFND
3
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COM
461148108
286
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SH
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COM
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COM
44980X109
689
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2
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UNIT
49435R102
146
25000
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SOLE
25000
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COM NEW
482480100
2695
18750
SH
DFND
1
18750
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KLA CORPORATION
COM NEW
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COM
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DFND
2
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0
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COM
482738101
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SH
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3
285000
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COM
482738101
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SOLE
443798
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KVH INDS INC
COM
482738101
389
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SH
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1
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COM NEW
50540R409
4141
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SH
DFND
1
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LABORATORY CORP AMER HLDGS
COM NEW
50540R409
253
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SH
DFND
2
2000
0
0
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COM NEW
50540R409
695
5500
SH
SOLE
5500
0
0
LAKELAND INDS INC
COM
511795106
62
4000
SH
SOLE
4000
0
0
LAKELAND INDS INC
COM
511795106
124
8000
SH
DFND
2
8000
0
0
LAM RESEARCH CORP
COM
512807108
600
2500
SH
DFND
2
2500
0
0
LEMAITRE VASCULAR INC
COM
525558201
561
22500
SH
SOLE
22500
0
0
LENDINGTREE INC NEW
COM
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3668
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SH
DFND
3
20000
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0
LIMELIGHT NETWORKS INC
COM
53261M104
2964
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SH
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3
520000
0
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MACOM TECH SOLUTIONS HLDGS I
COM
55405Y100
189
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SH
DFND
3
10000
0
0
MAXLINEAR INC
COM
57776J100
5543
475000
SH
DFND
3
475000
0
0
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SHS
G5960L103
1984
22000
SH
DFND
2
22000
0
0
MEDTRONIC PLC
SHS
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754
8365
SH
SOLE
8365
0
0
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SHS
G5960L103
2123
23541
SH
DFND
1
23541
0
0
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ORD SHS
G14838109
2559
72500
SH
DFND
3
72500
0
0
MKS INSTRS INC
COM
55306N104
2036
25000
SH
DFND
1
25000
0
0
MKS INSTRS INC
COM
55306N104
1996
24500
SH
DFND
2
24500
0
0
MKS INSTRS INC
COM
55306N104
815
10000
SH
DFND
3
10000
0
0
MKS INSTRS INC
COM
55306N104
3299
40500
SH
SOLE
40500
0
0
MODERNA INC
COM
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30000
SH
DFND
3
30000
0
0
NATIONAL INSTRS CORP
COM
636518102
662
20000
SH
DFND
3
20000
0
0
NATIONAL INSTRS CORP
COM
636518102
232
7000
SH
SOLE
7000
0
0
NATIONAL INSTRS CORP
COM
636518102
662
20000
SH
DFND
2
20000
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
640
143400
SH
DFND
1
143400
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
147
33000
SH
DFND
2
33000
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
803
180000
SH
DFND
3
180000
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
172
38600
SH
SOLE
38600
0
0
NLIGHT INC
COM
65487K100
2098
200000
SH
DFND
3
200000
0
0
NLIGHT INC
COM
65487K100
157
15000
SH
DFND
2
15000
0
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NOVA MEASURING INSTRUMENTS L
COM
M7516K103
1779
54500
SH
DFND
2
54500
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0
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COM
M7516K103
2873
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SH
SOLE
88000
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COM
M7516K103
3265
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SH
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1
100000
0
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OIL DRI CORP AMER
COM
677864100
518
15500
SH
DFND
2
15500
0
0
OIL DRI CORP AMER
COM
677864100
1354
40500
SH
SOLE
40500
0
0
PARSONS CORPORATION
COM
70202L102
449
14050
SH
DFND
2
14050
0
0
PARSONS CORPORATION
COM
70202L102
412
12900
SH
SOLE
12900
0
0
PARSONS CORPORATION
COM
70202L102
377
11800
SH
DFND
1
11800
0
0
PDF SOLUTIONS INC
COM
693282105
1699
145000
SH
DFND
1
145000
0
0
PDF SOLUTIONS INC
COM
693282105
5672
484000
SH
DFND
2
484000
0
0
PDF SOLUTIONS INC
COM
693282105
2719
232000
SH
DFND
3
232000
0
0
PDF SOLUTIONS INC
COM
693282105
4848
413615
SH
SOLE
413615
0
0
PHOTRONICS INC
COM
719405102
1031
100500
SH
DFND
2
100500
0
0
PHOTRONICS INC
COM
719405102
2252
219500
SH
DFND
3
219500
0
0
PHOTRONICS INC
COM
719405102
513
50000
SH
SOLE
50000
0
0
PHOTRONICS INC
COM
719405102
1216
118500
SH
DFND
1
118500
0
0
PLURALSIGHT INC
COM CL A
72941B106
11
1000
SH
SOLE
1000
0
0
PLURALSIGHT INC
COM CL A
72941B106
2745
250000
SH
DFND
3
250000
0
0
PURE STORAGE INC
CL A
74624M102
215
17500
SH
DFND
2
17500
0
0
PURE STORAGE INC
CL A
74624M102
2460
200000
SH
DFND
3
200000
0
0
Q2 HLDGS INC
COM
74736L109
472
8000
SH
SOLE
8000
0
0
Q2 HLDGS INC
COM
74736L109
1019
17250
SH
DFND
2
17250
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
141
1750
SH
SOLE
1750
0
0
QUEST DIAGNOSTICS INC
COM
74834L100
281
3500
SH
DFND
2
3500
0
0
RESIDEO TECHNOLOGIES INC
COM
76118Y104
68
14000
SH
DFND
1
14000
0
0
RESIDEO TECHNOLOGIES INC
COM
76118Y104
97
20000
SH
SOLE
20000
0
0
ROKU INC
COM CL A
77543R102
262
3000
SH
DFND
3
3000
0
0
SANMINA CORPORATION
COM
801056102
546
20000
SH
DFND
3
20000
0
0
SITIME CORP
COM
82982T106
327
15000
SH
DFND
2
15000
0
0
SITIME CORP
COM
82982T106
1089
50000
SH
DFND
3
50000
0
0
SITIME CORP
COM
82982T106
256
11773
SH
SOLE
11773
0
0
SITIME CORP
COM
82982T106
327
15000
SH
DFND
1
15000
0
0
SOUTHWEST AIRLS CO
COM
844741108
1545
43400
SH
DFND
1
43400
0
0
SOUTHWEST AIRLS CO
COM
844741108
591
16600
SH
SOLE
16600
0
0
SPS COMMERCE INC
COM
78463M107
2326
50000
SH
DFND
3
50000
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
2756
129500
SH
DFND
2
129500
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
1809
85000
SH
DFND
3
85000
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
3171
149000
SH
SOLE
149000
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
5160
242500
SH
DFND
1
242500
0
0
SUTTER ROCK CAP CORP
COM
86944Q100
1869
318997
SH
DFND
1
318997
0
0
SUTTER ROCK CAP CORP
COM
86944Q100
485
82762
SH
SOLE
82762
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
358
7500
SH
SOLE
7500
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
430
9000
SH
DFND
2
9000
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
1603
90000
SH
SOLE
90000
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
4655
261392
SH
DFND
1
261392
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
5767
385000
SH
DFND
1
385000
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
1648
110000
SH
SOLE
110000
0
0
THE TRADE DESK INC
COM CL A
88339J105
232
1200
SH
SOLE
1200
0
0
THE TRADE DESK INC
COM CL A
88339J105
965
5000
SH
DFND
2
5000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
8508
30000
SH
DFND
2
30000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
7090
25000
SH
DFND
1
25000
0
0
TRANSCAT INC
COM
893529107
263
9908
SH
SOLE
9908
0
0
TTM TECHNOLOGIES INC
COM
87305R109
233
22500
SH
DFND
1
22500
0
0
TTM TECHNOLOGIES INC
COM
87305R109
26
2500
SH
DFND
2
2500
0
0
TTM TECHNOLOGIES INC
COM
87305R109
931
90000
SH
DFND
3
90000
0
0
TTM TECHNOLOGIES INC
COM
87305R109
78
7500
SH
SOLE
7500
0
0
UGI CORP NEW
COM
902681105
267
10000
SH
SOLE
10000
0
0
VIASAT INC
COM
92552V100
700
19500
SH
DFND
2
19500
0
0
VIASAT INC
COM
92552V100
1616
45000
SH
DFND
3
45000
0
0
VIASAT INC
COM
92552V100
988
27500
SH
SOLE
27500
0
0
VIASAT INC
COM
92552V100
3398
94600
SH
DFND
1
94600
0
0
VICOR CORP
COM
925815102
2276
51100
SH
DFND
1
51100
0
0
VICOR CORP
COM
925815102
3465
77800
SH
DFND
2
77800
0
0
VICOR CORP
COM
925815102
2822
63350
SH
DFND
3
63350
0
0
VICOR CORP
COM
925815102
5011
112500
SH
SOLE
112500
0
0
VIEWRAY INC
COM
92672L107
2750
1100000
SH
DFND
3
1100000
0
0
VISHAY INTERTECHNOLOGY INC
COM
928298108
865
60000
SH
DFND
2
60000
0
0
VISHAY PRECISION GROUP INC
COM
92835K103
301
15000
SH
DFND
2
15000
0
0
VISHAY PRECISION GROUP INC
COM
92835K103
2410
120000
SH
DFND
3
120000
0
0
VISHAY PRECISION GROUP INC
COM
92835K103
301
15000
SH
SOLE
15000
0
0
VONAGE HLDGS CORP
COM
92886T201
362
50000
SH
DFND
3
50000
0
0
VOYAGER THERAPEUTICS INC
COM
92915B106
824
90000
SH
DFND
3
90000
0
0
WABTEC
COM
929740108
1083
22500
SH
DFND
2
22500
0
0
WABTEC
COM
929740108
289
6000
SH
DFND
3
6000
0
0
WABTEC
COM
929740108
1420
29500
SH
SOLE
29500
0
0
WABTEC
COM
929740108
1925
40000
SH
DFND
1
40000
0
0
WORLD WRESTLING ENTMT INC
CL A
98156Q108
322
9500
SH
DFND
2
9500
0
0
WORLD WRESTLING ENTMT INC
CL A
98156Q108
153
4500
SH
SOLE
4500
0
0
ZUORA INC
COM CL A
98983V106
282
35000
SH
DFND
2
35000
0
0
ZUORA INC
COM CL A
98983V106
2013
250000
SH
DFND
3
250000
0
0
ZUORA INC
COM CL A
98983V106
129
16007
SH
SOLE
16007
0
0
ZUORA INC
COM CL A
98983V106
463
57465
SH
DFND
1
57465
0
0