0000201772-20-000004.txt : 20200504
0000201772-20-000004.hdr.sgml : 20200504
20200501183547
ACCESSION NUMBER: 0000201772-20-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200504
DATE AS OF CHANGE: 20200501
EFFECTIVENESS DATE: 20200504
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO LLC
CENTRAL INDEX KEY: 0000201772
IRS NUMBER: 004260191
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-00878
FILM NUMBER: 20842205
BUSINESS ADDRESS:
STREET 1: 125 HIGH STREET
STREET 2: SUITE 1803
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 6174824870
MAIL ADDRESS:
STREET 1: 125 HIGH STREET
STREET 2: SUITE 1803
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO INC
DATE OF NAME CHANGE: 19920929
13F-HR
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03-31-2020
ESSEX INVESTMENT MANAGEMENT CO LLC
125 HIGH STREET
SUITE 1803
BOSTON
MA
02110
13F HOLDINGS REPORT
028-00878
N
David A Rozenson
Attorney-in-Fact
617-733-1054
David A Rozenson
Newton
MA
05-01-2020
0
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54538
SH
SOLE
25748
0
28790
HCI GROUP INC COM
COM
40416E103
1817
45135
SH
SOLE
21365
0
23770
HEALTHSTREAM INC COM
COM
42222N103
1246
52042
SH
SOLE
24867
0
27175
HEXCEL CORP NEW COM
COM
428291108
4
99
SH
SOLE
99
0
0
HOME DEPOT INC COM
COM
437076102
5876
31472
SH
SOLE
30950
0
522
HONEYWELL INTL INC COM
COM
438516106
14
103
SH
SOLE
103
0
0
HUBBELL INC COM
COM
443510607
41
354
SH
SOLE
354
0
0
IAC INTERACTIVECORP COM
COM
44919P508
968
5401
SH
SOLE
5401
0
0
ICHOR HOLDINGS SHS
COM
G4740B105
1002
52320
SH
SOLE
30067
0
22253
IDENTIV INC COM NEW
COM
45170X205
1596
472104
SH
SOLE
186989
0
285115
IDEX CORP COM
COM
45167R104
36
260
SH
SOLE
260
0
0
IGM BIOSCIENCES INC COM
COM
449585108
237
4215
SH
SOLE
4005
0
210
ILLINOIS TOOL WKS INC COM
COM
452308109
364
2564
SH
SOLE
2564
0
0
ILLUMINA INC COM
COM
452327109
2853
10445
SH
SOLE
10445
0
0
IMPINJ INC COM
COM
453204109
1757
105174
SH
SOLE
42014
0
63160
INFORMATION SERVICES GROUP INC
COM
45675Y104
901
350583
SH
SOLE
140632
0
209951
INGERSOLL RAND INC COM
COM
45687V106
47
1899
SH
SOLE
551
0
1348
INNOVATIVE INDL PPTYS INC COM
COM
45781V101
2538
33430
SH
SOLE
32003
0
1427
INSULET CORP COM
COM
45784P101
3545
21395
SH
SOLE
16958
0
4437
INTERPACE BIOSCIENCES INC COM
COM
46062X303
339
65428
SH
SOLE
19167
0
46261
INTEST CORP COM
COM
461147100
367
137819
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0
97273
INTEVAC INC COM
COM
461148108
1340
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SH
SOLE
130949
0
196742
INTRICON CORP COM
COM
46121H109
428
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SH
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10701
0
25692
INTUIT COM
COM
461202103
5157
22423
SH
SOLE
21907
0
516
INVACARE CORP COM
COM
461203101
1501
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0
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INVESCO QQQ TR UNIT SER 1
COM
46090E103
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10601
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IPG PHOTONICS CORP COM
COM
44980X109
267
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2421
0
0
ISHARES TR RUS 2000 GRW ETF
COM
464287648
397
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SOLE
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0
0
ITAMAR MED LTD SPONSORED ADS
COM
465437101
699
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23827
0
35525
ITERIS INC COM
COM
46564T107
608
190055
SH
SOLE
173390
0
16665
ITRON INC COM
COM
465741106
2480
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SH
SOLE
41411
0
3018
JOHNSON OUTDOORS INC CL A
COM
479167108
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18372
SH
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7349
0
11023
JOUNCE THERAPEUTICS INC COM
COM
481116101
514
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SH
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0
0
JPMORGAN CHASE & CO COM
COM
46625H100
1166
12948
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SOLE
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0
349
KEURIG DR PEPPER INC COM
COM
49271V100
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KIMBALL ELECTRONICS INC COM
COM
49428J109
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SOLE
59992
0
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KINDER MORGAN INC DEL COM
COM
49456B101
10
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712
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0
KINROSS GOLD CORP COM NO PAR
COM
496902404
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528452
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11155
KIRKLAND LAKE GOLD LTD COM
COM
49741E100
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66373
0
509
KORNIT DIGITAL LTD SHS
COM
M6372Q113
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SOLE
29012
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2607
LANDS END INC NEW COM
COM
51509F105
777
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SOLE
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0
87034
LANTRONIX INC COM NEW
COM
516548203
963
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SOLE
188094
0
304271
LAZYDAYS HLDGS INC COM
COM
52110H100
157
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22441
0
53825
LGL GROUP INC COM
COM
50186A108
232
25984
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SOLE
7642
0
18342
LIGHTSCAPE TECHNOLOGIES INC CO
COM
53227B101
1
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SOLE
346009
0
0
LILLY ELI & CO COM
COM
532457108
41
292
SH
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292
0
0
LIMELIGHT NETWORKS INC COM
COM
53261M104
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SOLE
120000
0
0
LINCOLN EDL SVCS CORP COM
COM
533535100
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86821
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208403
LINDE PLC SHS
COM
G5494J103
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SOLE
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LINDSAY CORP COM
COM
535555106
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0
1025
LOCKHEED MARTIN CORP COM
COM
539830109
276
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SOLE
815
0
0
LSI INDS INC COM
COM
50216C108
1248
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SH
SOLE
132965
0
197296
LUMENTUM HLDGS INC COM
COM
55024U109
1384
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SH
SOLE
12140
0
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LUNA INNOVATIONS COM
COM
550351100
1902
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SOLE
123896
0
185402
LUXFER HOLDINGS PLC SHS
COM
G5698W116
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42289
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63641
LYONDELLBASELL INDUSTRIES N V
COM
N53745100
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0
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MANITEX INTL INC COM
COM
563420108
882
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85261
0
128208
MARCUS & MILLICHAP INC COM
COM
566324109
382
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SOLE
13499
0
593
MARRONE BIO INNOVATIONS INC CO
COM
57165B106
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SOLE
154448
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247496
MARSH & MCLENNAN COS INC COM
COM
571748102
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0
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MARVELL TECHNOLOGY GROUP LTD O
COM
G5876H105
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SOLE
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MASTECH DIGITAL INC COM
COM
57633B100
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SOLE
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0
41438
MATADOR RES CO COM
COM
576485205
327
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MATSON INC COM
COM
57686G105
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SOLE
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0
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MEDICAL PPTYS TRUST INC COM
COM
58463J304
21
1191
SH
SOLE
1191
0
0
MERCK & CO. INC COM
COM
58933Y105
96
1248
SH
SOLE
1132
0
116
MGM GROWTH PPTYS LLC CL A COM
COM
55303A105
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1000
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0
0
MICRON TECHNOLOGY INC COM
COM
595112103
1968
46789
SH
SOLE
44329
0
2460
MICROSOFT CORP COM
COM
594918104
12891
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SOLE
79932
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1806
MIMECAST LTD ORD SHS
COM
G14838109
54
1527
SH
SOLE
1527
0
0
MITEK SYS INC COM NEW
COM
606710200
3069
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SOLE
228730
0
160787
MODEL N INC COM
COM
607525102
2757
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SH
SOLE
71025
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MONDELEZ INTL INC CL A
COM
609207105
6
127
SH
SOLE
127
0
0
MUELLER WTR PRODS INC COM SER
COM
624758108
418
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SH
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41759
0
10438
NATERA INC COM
COM
632307104
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SOLE
43559
0
26864
NATIONAL VISION HLDGS INC COM
COM
63845R107
641
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SH
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33000
0
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NEPHROS INC COM
COM
640671400
251
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SH
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11710
0
28153
NESTLE S A SPONSORED ADR
COM
641069406
2
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SH
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20
0
0
NETFLIX INC COM
COM
64110L106
6444
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SH
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16345
0
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NEW GERMANY FD INC COM
COM
644465106
1
120
SH
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120
0
0
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COM
651639106
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0
474
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COM
65341B106
7
165
SH
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165
0
0
NIKE INC CL B
COM
654106103
953
11521
SH
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10341
0
1180
NINTENDO LTD ADR
COM
654445303
1754
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SH
SOLE
32467
0
3855
NORTHERN TECH INTL CORP COM
COM
665809109
458
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SH
SOLE
18209
0
43630
NORTHROP GRUMMAN CORP COM
COM
666807102
1659
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SOLE
5234
0
250
NOVANTA INC COM
COM
67000B104
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15585
0
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NOVARTIS A G SPONSORED ADR
COM
66987V109
458
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NOVOCURE LTD ORD SHS
COM
G6674U108
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SOLE
27441
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11927
NUANCE COMMUNICATIONS INC COM
COM
67020Y100
1669
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SH
SOLE
99436
0
0
NVIDIA CORP COM
COM
67066G104
1318
5000
SH
SOLE
5000
0
0
OCEAN BIO CHEM INC COM
COM
674631106
479
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SH
SOLE
28961
0
69741
ONE STOP SYS INC COM
COM
68247W109
266
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SOLE
54203
0
130535
ONTO INNOVATION INC COM
COM
683344105
1125
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SH
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21660
0
16247
ORION GROUP HOLDINGS INC COM
COM
68628V308
988
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152565
0
227581
OUTFRONT MEDIA INC COM
COM
69007J106
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117064
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OXFORD IMMUNOTEC GLOBAL PLC OR
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G6855A103
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51494
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PARSLEY ENERGY INC CL A
COM
701877102
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1500
SH
SOLE
1500
0
0
PATRICK INDS INC COM
COM
703343103
1547
54927
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0
15292
PAYCHEX INC COM
COM
704326107
2775
44099
SH
SOLE
43165
0
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PENN NATL GAMING INC COM
COM
707569109
877
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SH
SOLE
61149
0
8184
PEOPLES UTAH BANCORP COM
COM
712706209
41
2130
SH
SOLE
1971
0
159
PEPSICO INC COM
COM
713448108
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SH
SOLE
78867
0
1433
PERCEPTRON INC COM
COM
71361F100
218
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SOLE
22262
0
53400
PERION NETWORK LTD SHS NEW
COM
M78673114
782
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SH
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47077
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PERKINELMER INC COM
COM
714046109
262
3475
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SOLE
3475
0
0
PERMA-FIX ENVIRONMENTAL SVCS C
COM
714157203
819
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SOLE
46378
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110886
PERRIGO CO PLC SHS
COM
G97822103
179
3731
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3731
0
0
PFIZER INC COM
COM
717081103
41
1250
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SOLE
1250
0
0
PHILIP MORRIS INTL INC COM
COM
718172109
29
402
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402
0
0
PHOTRONICS INC COM
COM
719405102
854
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48136
0
35059
PLURALSIGHT INC COM CL A
COM
72941B106
232
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20383
0
705
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COM
693475105
12
123
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123
0
0
POWERFLEET INC COM
COM
73931J109
796
230000
SH
SOLE
90519
0
139481
PPL CORP COM
COM
69351T106
61
2459
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SOLE
2459
0
0
PROCTER & GAMBLE CO COM
COM
742718109
1865
16953
SH
SOLE
16953
0
0
PROFIRE ENERGY INC COM
COM
74316X101
304
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SOLE
133388
0
252246
PROOFPOINT INC COM
COM
743424103
1489
14518
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8447
0
6071
PVH CORPORATION COM
COM
693656100
1
16
SH
SOLE
16
0
0
Q2 HLDGS INC COM
COM
74736L109
330
5595
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SOLE
5595
0
0
QUALCOMM INC COM
COM
747525103
1400
20700
SH
SOLE
20700
0
0
QUANTA SVCS INC COM
COM
74762E102
606
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SOLE
18489
0
624
QUEST RESOURCE HLDG CORP COM N
COM
74836W203
294
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SOLE
74036
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QUMU CORP COM
COM
749063103
87
52523
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SOLE
49880
0
2643
RADA ELECTR INDS LTD COM PAR N
COM
M81863124
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SOLE
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320830
RADIANT LOGISTICS INC COM
COM
75025X100
1738
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SH
SOLE
179436
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269629
RADNET INC COM
COM
750491102
977
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SOLE
52820
0
40180
RANGE RES CORP COM
COM
75281A109
50
21713
SH
SOLE
21713
0
0
RAVEN INDS INC COM
COM
754212108
299
14107
SH
SOLE
14107
0
0
REALNETWORKS INC COM NEW
COM
75605L708
216
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SH
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86931
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REALTY INCOME CORP COM
COM
756109104
9
185
SH
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185
0
0
REATA PHARMACEUTICALS INC CL A
COM
75615P103
1443
10000
SH
SOLE
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0
0
RECRO PHARMA INC COM
COM
75629F109
1165
142608
SH
SOLE
57281
0
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REEDS INC COM
COM
758338107
406
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SH
SOLE
309435
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546169
REGENERON PHARMACEUTICALS COM
COM
75886F107
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14224
SH
SOLE
14042
0
182
REPLIGEN CORP COM
COM
759916109
69
712
SH
SOLE
712
0
0
REPRO MED SYS INC COM
COM
759910102
1331
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SOLE
71409
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106015
RESIDEO TECHNOLOGIES INC COM
COM
76118Y104
0
17
SH
SOLE
17
0
0
REVANCE THERAPEUTICS INC COM
COM
761330109
1480
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SH
SOLE
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0
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REXNORD CORP COM
COM
76169B102
43
1876
SH
SOLE
1876
0
0
ROBERT HALF INTL INC COM
COM
770323103
7
195
SH
SOLE
130
0
65
ROCKWELL AUTOMATION INC COM
COM
773903109
29
192
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192
0
0
ROYAL DUTCH SHELL PLC SPONS AD
COM
780259206
37
1054
SH
SOLE
1054
0
0
ROYAL GOLD INC COM
COM
780287108
117
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SH
SOLE
1319
0
18
SALESFORCE COM INC COM
COM
79466L302
1378
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SOLE
8514
0
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SANOFI SPONSORED ADR
COM
80105N105
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200
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200
0
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SAREPTA THERAPEUTICS INC COM
COM
803607100
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SCHNEIDER NATIONAL INC CL B
COM
80689H102
305
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SH
SOLE
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0
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SEABRIDGE GOLD INC COM
COM
811916105
217
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SH
SOLE
21812
0
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SEMPRA ENERGY COM
COM
816851109
22
195
SH
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195
0
0
SENSATA TECHNOLOGIES HLDNG PLC
COM
G8060N102
301
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0
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SHAKE SHACK INC CL A
COM
819047101
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SHERWIN WILLIAMS CO COM
COM
824348106
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SINA CORP ORD
COM
G81477104
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SKYLINE CHAMPION CORPORATION C
COM
830830105
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SKYWORKS SOLUTIONS INC COM
COM
83088M102
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SMTC CORP COM NEW
COM
832682207
652
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82409
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SNAP ON INC COM
COM
833034101
520
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SH
SOLE
4253
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530
SOUTHERN CO COM
COM
842587107
130
2400
SH
SOLE
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0
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SPDR GOLD TRUST GOLD SHS
COM
78463V107
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SPOTIFY TECHNOLOGY S A SHS
COM
L8681T102
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3330
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446
STARBUCKS CORP COM
COM
855244109
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49949
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STATE STR CORP COM
COM
857477103
396
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STEREOTAXIS INC COM NEW
COM
85916J409
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STERLING CONSTRUCTION CO INC C
COM
859241101
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211130
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STONECO LTD COM CL A
COM
G85158106
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23516
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SUNNOVA ENERGY INTL INC COM
COM
86745K104
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164094
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SUNOPTA INC COM
COM
8676EP108
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SUNPOWER CORP COM
COM
867652406
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106808
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SUNRUN INC COM
COM
86771W105
564
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53859
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TANDEM DIABETES CARE INC COM N
COM
875372203
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TARGA RES CORP COM
COM
87612G101
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COM
87876P201
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COM
87918A105
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TENET HEALTHCARE CORP COM NEW
COM
88033G407
113
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TERADYNE INC COM
COM
880770102
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15037
0
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TESLA INC COM
COM
88160R101
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TIMKEN CO COM
COM
887389104
211
6525
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SOLE
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0
0
TJX COS INC NEW COM
COM
872540109
622
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SH
SOLE
12656
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TOLL BROTHERS INC COM
COM
889478103
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5030
TORTOISE ENERGY INFRA CORP COM
COM
89147L100
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860
0
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TRANE TECHNOLOGIES PLC SHS
COM
G8994E103
178
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SH
SOLE
625
0
1530
TRANSCAT INC COM
COM
893529107
1233
46518
SH
SOLE
18659
0
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TRIMBLE INC COM
COM
896239100
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SH
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50905
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TRIPLEPOINT VENTURE GROWTH BDC
COM
89677Y100
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TRUIST FINL CORP COM
COM
89832Q109
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TSAKOS ENERGY NAVIGATION LTD S
COM
G9108L108
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4616
TWITTER INC COM
COM
90184L102
1457
59343
SH
SOLE
52706
0
6637
UBER TECHNOLOGIES INC COM
COM
90353T100
774
27724
SH
SOLE
27724
0
0
ULTRALIFE CORP COM
COM
903899102
896
172293
SH
SOLE
68902
0
103391
UNITED PARCEL SERVICE INC CL B
COM
911312106
58
622
SH
SOLE
622
0
0
US BANCORP DEL COM NEW
COM
902973304
5
150
SH
SOLE
150
0
0
USA TRUCK INC COM
COM
902925106
305
96334
SH
SOLE
34578
0
61756
VALENS GROWORKS CORP COM
COM
91913D106
313
180000
SH
SOLE
180000
0
0
VANECK VECTORS ETF TR GOLD MIN
COM
92189F106
2165
93955
SH
SOLE
93955
0
0
VANECK VECTORS ETF TR JR GOLD
COM
92189F791
2467
87787
SH
SOLE
85076
0
2711
VERACYTE INC COM
COM
92337F107
2798
115095
SH
SOLE
45504
0
69591
VERICEL CORP COM
COM
92346J108
1064
115979
SH
SOLE
46436
0
69543
VERISIGN INC COM
COM
92343E102
5922
32881
SH
SOLE
31879
0
1002
VERIZON COMMUNICATIONS INC COM
COM
92343V104
1699
31614
SH
SOLE
31614
0
0
VERTEX PHARMACEUTICALS INC COM
COM
92532F100
11505
48352
SH
SOLE
47115
0
1237
VIEWRAY INC COM
COM
92672L107
1278
511026
SH
SOLE
241434
0
269592
VIRTRA INC COM PAR
COM
92827K301
171
75910
SH
SOLE
22238
0
53672
VISA INC COM CL A
COM
92826C839
3738
23203
SH
SOLE
21962
0
1241
VISTEON CORP COM NEW
COM
92839U206
168
3508
SH
SOLE
3508
0
0
VIVINT SOLAR INC COM
COM
92854Q106
5392
1233771
SH
SOLE
1178876
0
54895
WABTEC COM
COM
929740108
239
4962
SH
SOLE
4961
0
1
WALMART INC COM
COM
931142103
511
4500
SH
SOLE
4500
0
0
WASTE MGMT INC DEL COM
COM
94106L109
77
827
SH
SOLE
827
0
0
WATTS WATER TECHNOLOGIES INC C
COM
942749102
468
5534
SH
SOLE
4608
0
926
WEC ENERGY GROUP INC COM
COM
92939U106
38
430
SH
SOLE
430
0
0
WESTROCK CO COM
COM
96145D105
1014
35868
SH
SOLE
35868
0
0
WEYERHAEUSER CO COM
COM
962166104
127
7500
SH
SOLE
7500
0
0
WHEATON PRECIOUS METALS CORP C
COM
962879102
2246
81595
SH
SOLE
80625
0
970
WHITE MTNS INS GROUP LTD COM
COM
G9618E107
64
70
SH
SOLE
70
0
0
WILLDAN GROUP INC COM
COM
96924N100
1135
53126
SH
SOLE
21277
0
31849
WILLIAMS COS INC DEL COM
COM
969457100
10
680
SH
SOLE
680
0
0
WORKIVA INC COM CL A
COM
98139A105
995
30776
SH
SOLE
18577
0
12199
ZILLOW GROUP INC CL A
COM
98954M101
392
11551
SH
SOLE
11226
0
325
ZIX CORP COM
COM
98974P100
1215
281981
SH
SOLE
142462
0
139519
ZOOM VIDEO COMMUNICATIONS INC
COM
98980L101
3819
26135
SH
SOLE
24899
0
1236