-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UaFQkUKZu7SRq+M6wR2ot+PTPWxCTGfsN6ov0g0Vk7TWNaqoHWlbwVbJcfNVhpxR Gp3XPUaBHcv+YI25NWR42g== 0000919574-08-001446.txt : 20080214 0000919574-08-001446.hdr.sgml : 20080214 20080213215529 ACCESSION NUMBER: 0000919574-08-001446 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080213 EFFECTIVENESS DATE: 20080214 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: 08607786 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123718300 13F-HR 1 d852459_13f-hr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F Cover Page Report for the Calendar Year or Quarter Ended December 31, 2007 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Needham Investment Management L.L.C. Address: 445 Park Avenue New York, NY 10022 13F File Number: 28-10095 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Glen W. Albanese Title: Chief Financial Officer Phone: (212) 371-8300 Signature, Place and Date of Signing: /s/ Glen W. Albanese New York, New York February 14, 2008 - ----------------------- -------------------------- ---------------------- [Signature] [City, State] [Date] Report Type: (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report). [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting managers(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 253 Form 13F Information Table Value Total: $494,322 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name - --- -------------------- ---- 1. 28-11515 Needham Emerging Growth Partners L.P. 2. 28-11514 Needham Growth Fund FORM 13F INFORMATION TABLE
VALUE SHRS OR SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRTN MNGRS SOLE SHARED NONE - -------------- -------------- ----- -------- ------- --- ---- ------- ----- ---- ------ ---- 3 COM CORP COM 885535104 2,147 475,000 SH DEFINED 2 SOLE 3 COM CORP COM 885535104 1,085 240,000 SH SOLE NONE SOLE 3 COM CORP COM 885535104 1,808 400,000 SH DEFINED 1 SOLE ACME PACKET INC COM 004764106 535 42,500 SH DEFINED 2 SOLE ACTEL CORP COM 004934105 2,049 150,000 SH DEFINED 1 SOLE ADAPTEC INC COM 00651F108 279 82,500 SH SOLE NONE SOLE ADAPTEC INC COM 00651F108 483 143,000 SH DEFINED 1 SOLE ADVANCED PHOTONIX INC CL A 00754E107 623 333,333 SH SOLE NONE SOLE ADVISORY BRD CO COM 00762W107 257 4,000 SH DEFINED 2 SOLE AIRVANA INC COM 00950V101 949 174,790 SH SOLE NONE SOLE AIRVANA INC COM 00950V101 1,790 329,610 SH DEFINED 1 SOLE AIRVANA INC COM 00950V101 2,281 420,000 SH DEFINED 2 SOLE ALCATEL-LUCENT SPONSORED ADR 013904305 192 26,180 SH DEFINED 1 SOLE ALLIANCE DATA SYSTEMS CORP COM 018581108 1,125 15,000 SH DEFINED 2 SOLE ALLIANCEBERSTEIN HOLDING LP UNIT LTD PARTN 01881G106 3,161 42,000 SH SOLE NONE SOLE ALLIANCEBERSTEIN HOLDING LP UNIT LTD PARTN 01881G106 4,891 65,000 SH DEFINED 1 SOLE AMERICAN INTL GROUP INC COM 026874107 3,498 60,000 SH DEFINED 2 SOLE ANAREN INC COM 032744104 1,427 86,516 SH SOLE NONE SOLE ANAREN INC COM 032744104 2,647 160,500 SH DEFINED 1 SOLE APPLE INC COM 037833100 594 3,000 SH DEFINED 2 SOLE ARGON ST INC COM 040149106 232 12,500 SH DEFINED 2 SOLE ASPEN TECHNOLOGY INC COM 045327103 860 52,999 SH SOLE NONE SOLE ASPEN TECHNOLOGY INC COM 045327103 2,871 177,000 SH DEFINED 1 SOLE ASPEN TECHNOLOGY INC COM 045327103 4,055 250,000 SH DEFINED 2 SOLE ATMEL CORP COM 049513104 1,512 350,000 SH SOLE NONE SOLE ATMEL CORP COM 049513104 1,728 400,000 SH DEFINED 1 SOLE ATMEL CORP COM 049513104 3,240 750,000 SH DEFINED 2 SOLE AUTODESK INC COM 052769106 498 10,000 SH DEFINED 2 SOLE AVIS BUDGET GROUP COM 053774105 1,820 140,000 SH SOLE NONE SOLE AVIS BUDGET GROUP COM 053774105 3,380 260,000 SH DEFINED 1 SOLE AVIS BUDGET GROUP COM 053774105 1,788 137,500 SH DEFINED 2 SOLE AVIZA TECHNOLOGY INC COM 05381A105 144 75,000 SH SOLE NONE SOLE AXT INC COM 00246W103 323 52,100 SH SOLE NONE SOLE AXT INC COM 00246W103 647 104,400 SH DEFINED 1 SOLE BELL MICROPRODUCTS INC COM 078137106 685 113,969 SH SOLE NONE SOLE BELL MICROPRODUCTS INC COM 078137106 1,593 265,000 SH DEFINED 1 SOLE BOSTON SCIENTIFIC CORP COM 101137107 582 50,000 SH SOLE NONE SOLE BOSTON SCIENTIFIC CORP COM 101137107 1,861 160,000 SH DEFINED 1 SOLE BOTTOMLINE TECH DEL INC COM 101388106 686 49,000 SH SOLE NONE SOLE BRIGHT HORIZONS FAMILY SOLUTI COM 109195107 604 17,500 SH DEFINED 2 SOLE BROOKS AUTOMATION INC COM 114340102 1,848 139,930 SH SOLE NONE SOLE BROOKS AUTOMATION INC COM 114340102 2,069 156,610 SH DEFINED 1 SOLE BROOKS AUTOMATION INC COM 114340102 7,489 566,911 SH DEFINED 2 SOLE CALLIDUS SOFTWARE INC COM 13123E500 78 15,000 SH DEFINED 2 SOLE CALLIDUS SOFTWARE INC COM 13123E500 1,060 205,000 SH SOLE NONE SOLE CALLIDUS SOFTWARE INC COM 13123E500 1,939 375,000 SH DEFINED 1 SOLE CARMAX INC COM 143130102 1,481 75,000 SH DEFINED 2 SOLE CARMAX INC COM 143130102 855 43,310 SH SOLE NONE SOLE CARMAX INC COM 143130102 1,589 80,440 SH DEFINED 1 SOLE CAVIUM NETWORKS INC COM 14965A101 345 15,000 SH DEFINED 2 SOLE CHESAPEAKE ENERGY CORP COM 165167107 7,448 190,000 SH DEFINED 2 SOLE CHOICEPOINT INC COM 170388102 874 24,000 SH SOLE NONE SOLE CHOICEPOINT INC COM 170388102 1,548 42,500 SH DEFINED 1 SOLE CHOICEPOINT INC COM 170388102 364 10,000 SH DEFINED 2 SOLE COMCAST CORP NEW CL A 20030N101 2,191 120,000 SH DEFINED 1 SOLE COMCAST CORP NEW CL A 20030N101 3,561 195,000 SH DEFINED 2 SOLE COMCAST CORP NEW CL A SPL 20030N200 544 30,000 SH DEFINED 2 SOLE COMMUNITY HEALTH SYS INC NEW COM 203668108 553 15,000 SH DEFINED 2 SOLE CONMED CORP COM 207410101 1,618 70,000 SH SOLE NONE SOLE CONMED CORP COM 207410101 2,889 125,000 SH DEFINED 2 SOLE CONSTANT CONTACT INC COM ADDED 210313102 215 10,000 SH DEFINED 2 SOLE COPART INC COM 217204106 426 10,000 SH DEFINED 2 SOLE CORVEL COR COM 221006109 1,729 75,100 SH DEFINED 2 SOLE COVIDIEN LTD COM G2552X108 1,938 43,750 SH DEFINED 2 SOLE COVIDIEN LTD COM G2552X108 554 12,500 SH SOLE NONE SOLE COVIDIEN LTD COM G2552X108 1,091 24,625 SH DEFINED 1 SOLE CRUCELL N V SPONSORED ADR 228769105 612 37,000 SH DEFINED 2 SOLE DATALINK CORP COM 237934104 125 34,000 SH SOLE NONE SOLE DATALINK CORP COM 237934104 251 68,000 SH DEFINED 1 SOLE DATALINK CORP COM 237934104 247 67,000 SH DEFINED 2 SOLE DDI CORP COM 0.0001 NEW 233162502 224 39,862 SH SOLE NONE SOLE DDI CORP COM 0.0001 NEW 233162502 255 45,310 SH DEFINED 1 SOLE DOLBY LABORATORIES INC COM 25659T107 5,444 109,500 SH DEFINED 2 SOLE DOLBY LABORATORIES INC COM 25659T107 2,710 54,500 SH SOLE NONE SOLE DOLBY LABORATORIES INC COM 25659T107 4,972 100,000 SH DEFINED 1 SOLE ECLIPSYS CORP COM 278856109 886 35,000 SH SOLE NONE SOLE ECLIPSYS CORP COM 278856109 1,645 65,000 SH DEFINED 1 SOLE ELECTRO SCIENTIFIC INDS COM 285229100 1,390 70,000 SH SOLE NONE SOLE ELECTRO SCIENTIFIC INDS COM 285229100 1,985 100,000 SH DEFINED 1 SOLE ELECTRO SCIENTIFIC INDS COM 285229100 3,672 185,000 SH DEFINED 2 SOLE EMS TECHNOLOGIES INC COM 26873N108 3,112 102,900 SH SOLE NONE SOLE EMS TECHNOLOGIES INC COM 26873N108 4,367 144,400 SH DEFINED 1 SOLE EMS TECHNOLOGIES INC COM 26873N108 3,862 127,700 SH DEFINED 2 SOLE ENTEGRIS INC COM 29362U104 1,268 146,925 SH SOLE NONE SOLE ENTEGRIS INC COM 29362U104 2,120 245,625 SH DEFINED 1 SOLE ENTEGRIS INC COM 29362U104 302 35,000 SH DEFINED 2 SOLE EURONET TECHNOLOGIES INC COM 298736109 600 20,000 SH DEFINED 2 SOLE EXAR CORP COM 300645108 695 87,224 SH SOLE NONE SOLE EXAR CORP COM 300645108 1,291 161,990 SH DEFINED 1 SOLE EXPRESS SCIPTS INC COM 302182100 3,833 52,500 SH SOLE NONE SOLE EXPRESS SCIPTS INC COM 302182100 7,118 97,500 SH DEFINED 1 SOLE EXPRESS SCIPTS INC COM 302182100 4,235 195,000 SH DEFINED 2 SOLE F5 NETWORKS INC COM 315616102 1,489 52,200 SH SOLE NONE SOLE F5 NETWORKS INC COM 315616102 2,678 93,900 SH DEFINED 1 SOLE F5 NETWORKS INC COM 315616102 3,993 140,000 SH DEFINED 2 SOLE FCSTONE GROUP INC COM 31308T100 690 15,000 SH DEFINED 2 SOLE FINISAR NOTE 5.250%10/1 31787AAC5 589 600,000 PRN SOLE NONE SOLE FINISAR NOTE 5.250%10/2 31787AAC5 981 1,000,000 PRN DEFINED 1 SOLE FOUNDRY NETWORKS INC COM 35063R100 965 55,100 SH SOLE NONE SOLE FOUNDRY NETWORKS INC COM 35063R100 1,794 102,400 SH DEFINED 1 SOLE FOUNDRY NETWORKS INC COM 35063R100 2,168 123,750 SH DEFINED 2 SOLE FREQUENCY ELECTRS INC COM 358010106 868 90,000 SH SOLE NONE SOLE FSI INTL INC COM 302633102 1,005 558,500 SH DEFINED 2 SOLE FSI INTL INC COM 302633102 444 246,700 SH DEFINED 1 SOLE FSI INTL INC COM 302633102 906 503,300 SH SOLE NONE SOLE FTI CONSULTING INC COM 302941109 493 8,000 SH DEFINED 2 SOLE GENENTECH INC COM NEW 368710406 587 8,750 SH SOLE NONE SOLE GENENTECH INC COM NEW 368710406 1,090 16,250 SH DEFINED 1 SOLE GENENTECH INC COM NEW 368710406 2,012 30,000 SH DEFINED 2 SOLE GENESEE & WYO INC CL A 371559105 483 20,000 SH DEFINED 2 SOLE GILEAD SCIENCES INC COM 375558103 690 15,000 SH DEFINED 2 SOLE GUESS INC COM 401617105 568 15,000 SH DEFINED 2 SOLE H & Q HEALTHCARE FD SH BEN INT 404052102 2,830 167,329 SH SOLE NONE SOLE H & Q HEALTHCARE FD SH BEN INT 404052102 3,079 182,103 SH DEFINED 1 SOLE H & Q HEALTHCARE FD SH BEN INT 404052102 3,096 187,268 SH DEFINED 2 SOLE H & Q LIFE SCIENCES INVS SH BEN INT 404053100 2,624 198,019 SH DEFINED 2 SOLE H & Q LIFE SCIENCES INVS SH BEN INT 404053100 1,726 127,267 SH SOLE NONE SOLE H & Q LIFE SCIENCES INVS SH BEN INT 404053100 3,417 251,975 SH DEFINED 1 SOLE HANSEN MEDICAL INC COM 411307101 299 10,000 SH DEFINED 2 SOLE HARTE-HANKS INC COM 416196103 1,705 98,550 SH DEFINED 1 SOLE HEALTHSOUTH CORP COM NEW 421924309 1,050 50,000 SH SOLE NONE SOLE HEALTHSOUTH CORP COM NEW 421924309 2,100 100,000 SH DEFINED 1 SOLE HEALTHSOUTH CORP COM NEW 421924309 3,150 150,000 SH DEFINED 2 SOLE HOLOGIC INC COM 436440101 3,281 47,800 SH DEFINED 2 SOLE HONEYWELL INTL INC COM 438516106 3,079 50,000 SH SOLE NONE SOLE HONEYWELL INTL INC COM 438516106 6,157 100,000 SH DEFINED 1 SOLE HOUSTON WIRE & CABLE CO COM 44244K109 3,005 212,500 SH DEFINED 2 SOLE INTERACTIVE BROKERS GROUP IN COM 45841N107 2,020 62,500 SH SOLE NONE SOLE INTERACTIVE BROKERS GROUP IN COM 45841N107 3,668 113,500 SH DEFINED 1 SOLE INTERACTIVE BROKERS GROUP IN COM 45841N107 7,320 226,500 SH DEFINED 2 SOLE INTUIT COM 461202103 4,220 133,500 SH DEFINED 2 SOLE INVENTIV HEALTH INC COM 46122E105 310 10,000 SH DEFINED 2 SOLE IROBOT CORP COM 462726100 240 13,300 SH SOLE NONE SOLE IROBOT CORP COM 462726100 447 24,700 SH DEFINED 1 SOLE IROBOT CORP COM 462726100 660 36,500 SH DEFINED 2 SOLE IRON MTN IN COM 462846106 8,144 220,000 SH DEFINED 2 SOLE I-TRAX INC COM NEW 45069D203 89 25,000 SH DEFINED 2 SOLE J CREW GROUP INC COM 46612H402 241 5,000 SH DEFINED 2 SOLE JOHNSON & JOHNSON COM 478160104 6,670 100,000 SH DEFINED 2 SOLE KEMET CORP COM 488360108 789 119,000 SH DEFINED 1 SOLE KVH INDS INC COM 482738101 403 50,000 SH SOLE NONE SOLE LABORATORY CORP AMER HLDGS COM NEW 50540R409 755 10,000 SH SOLE NONE SOLE LABORATORY CORP AMER HLDGS COM NEW 50540R409 3,777 50,000 SH DEFINED 1 SOLE LTX CORP COM 502392103 278 87,500 SH SOLE NONE SOLE LTX CORP COM 502392103 453 142,500 SH DEFINED 1 SOLE MATTSON TECHNOLOGY INC COM 577223100 1,049 122,500 SH SOLE NONE SOLE MATTSON TECHNOLOGY INC COM 577223100 1,712 200,000 SH DEFINED 1 SOLE MERCK & CO INC COM 589331107 2,906 50,000 SH DEFINED 2 SOLE MERIX CORP COM 590049102 279 60,000 SH DEFINED 2 SOLE MICROS SYS INC COM 594901100 281 4,000 SH DEFINED 2 SOLE MICROSEMI CORP COM 595137100 3,764 170,000 SH DEFINED 2 SOLE MICROSOFT CORP COM 594918104 3,560 100,000 SH DEFINED 2 SOLE MKS INSTRUMENT INC COM 55306N104 1,127 58,904 SH SOLE NONE SOLE MKS INSTRUMENT INC COM 55306N104 1,914 100,000 SH DEFINED 1 SOLE MKS INSTRUMENT INC COM 55306N104 2,201 115,000 SH DEFINED 2 SOLE MOBILE MINI INC COM 60740F105 278 15,000 SH DEFINED 2 SOLE MOTOROLA INC COM 620076109 1,153 71,655 SH SOLE NONE SOLE MOTOROLA INC COM 620076109 4,151 258,000 SH DEFINED 1 SOLE MOTOROLA INC COM 620076109 6,817 425,000 SH DEFINED 2 SOLE MUELLER WTR PRODS INC COM SER B 624758207 499 50,000 SH DEFINED 1 SOLE NATIONAL SEMICONDUCTOR CORP COM 637640103 4,075 180,000 SH DEFINED 2 SOLE NETEXXA CORP COM 64111N101 1,260 91,300 SH SOLE NONE SOLE NETEXXA CORP COM 64111N101 2,343 169,800 SH DEFINED 1 SOLE NETEXXA CORP COM 64111N101 54 3,900 SH DEFINED 2 SOLE NEWPORT CORP COM 651824104 1,183 92,500 SH SOLE NONE SOLE NEWPORT CORP COM 651824104 3,198 250,000 SH DEFINED 2 SOLE NEWPORT CORP COM 651824104 3,198 250,000 SH DEFINED 1 SOLE NOVA MEASURING INSTRUMENTS L COM M7516K103 389 150,000 SH SOLE NONE SOLE NUVASIVE INC COM 670704105 593 15,000 SH DEFINED 2 SOLE ORBOTECH LTD ORD M75253100 773 44,062 SH SOLE NONE SOLE ORBOTECH LTD ORD M75253100 1,755 100,000 SH DEFINED 1 SOLE ORBOTECH LTD ORD M75253100 2,608 148,600 SH DEFINED 2 SOLE PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 1,214 68,000 SH SOLE NONE SOLE PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 2,187 122,500 SH DEFINED 1 SOLE PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 3,713 208,000 SH DEFINED 2 SOLE PHARSIGHT CORP COM NEW ADDED 71721Q200 287 50,832 SH SOLE NONE SOLE PLANAR SYS INC COM 726900103 1,005 157,000 SH SOLE NONE SOLE PLX TECHNOLOGY INC COM 693417107 488 52,500 SH SOLE NONE SOLE PLX TECHNOLOGY INC COM 693417107 907 97,500 SH DEFINED 1 SOLE PORTFOLIO RECOVERY ASSOCS IN COM 73640Q105 397 10,000 SH DEFINED 2 SOLE PRECISION CASTPARTS CORP COM 740189105 8,322 60,000 SH SOLE NONE SOLE PRECISION CASTPARTS CORP COM 740189105 3,870 100,000 SH DEFINED 1 SOLE PRECISION CASTPARTS CORP COM 740189105 1,040 7,500 SH DEFINED 2 SOLE PROGESS SOFTWARE CORP COM 743312100 589 17,480 SH SOLE NONE SOLE PROGESS SOFTWARE CORP COM 743312100 1,094 32,470 SH DEFINED 1 SOLE PROGESS SOFTWARE CORP COM 743312100 1,012 30,050 SH DEFINED 2 SOLE RADISYS CORP COM 750459109 938 70,000 SH SOLE NONE SOLE RADISYS CORP COM 750459109 1,742 130,000 SH DEFINED 1 SOLE RADISYS CORP COM 750459109 3,015 225,000 SH DEFINED 2 SOLE ROCKFORD CORP COM 77316P101 529 274,000 SH SOLE NONE SOLE SAIC INC COM 78390X101 271 13,490 SH SOLE NONE SOLE SAIC INC COM 78390X101 504 25,055 SH DEFINED 1 SOLE SAIC INC COM 78390X101 2,012 100,000 SH DEFINED 2 SOLE SANMINA SCI CORP COM 800907107 319 175,000 SH SOLE NONE SOLE SANMINA SCI CORP COM 800907107 455 250,000 SH DEFINED 1 SOLE SCHERING PLOUGH CORP COM 806605101 1,918 72,000 SH SOLE NONE SOLE SCHERING PLOUGH CORP COM 806605101 2,850 107,000 SH DEFINED 1 SOLE SCHERING PLOUGH CORP COM 806605101 4,316 162,000 SH DEFINED 2 SOLE SCHLUMBERGER LTD COM 806857108 2,705 27,500 SH DEFINED 2 SOLE SEAGATE TECHNOLOGY SHS G7945J104 5,738 225,000 SH DEFINED 2 SOLE SEAGATE TECHNOLOGY SHS G7945J104 1,913 75,000 SH SOLE NONE SOLE SEAGATE TECHNOLOGY SHS G7945J104 5,100 200,000 SH DEFINED 1 SOLE SEMITOOL INC COM 816909105 685 78,860 SH SOLE NONE SOLE SEMITOOL INC COM 816909105 1,222 140,770 SH DEFINED 1 SOLE SEMITOOL INC COM 816909105 1,128 130,000 SH DEFINED 1 SOLE SOUTHWALL TECHNOLOGIES, INC. COM 844909101 240 300,000 SH SOLE NONE SOLE SOUTHWALL TECHNOLOGIES, INC. COM 844909101 320 400,000 SH DEFINED 1 SOLE SOUTHWALL TECHNOLOGIES, INC. COM 844909101 582 728,000 SH DEFINED 1 SOLE SOUTHWALL TECHNOLOGIES, INC. COM 844909101 4,059 6,342,315 SH OTHER SOLE SOUTHWALL TECHNOLOGIES, INC. Preferred A 844909101 3,073 4,801,990 SH OTHER SOLE STATE STR CORP COM 857477103 3,664 45,000 SH SOLE NONE SOLE STATE STR CORP COM 857477103 6,107 75,000 SH DEFINED 1 SOLE SUN MICROSYSTEMS INC COM NEW ADDED 866810203 516 28,437 SH SOLE NONE SOLE SUN MICROSYSTEMS INC COM NEW ADDED 866810203 957 52,812 SH DEFINED 1 SOLE SYNPLICITY INC COM 87160Y108 203 35,050 SH SOLE NONE SOLE SYNPLICITY INC COM 87160Y108 656 113,150 SH DEFINED 1 SOLE SYPRIS SOLUTIONS INC COM 871655106 1,606 261,950 SH SOLE NONE SOLE SYPRIS SOLUTIONS INC COM 871655106 2,419 394,650 SH DEFINED 1 SOLE SYPRIS SOLUTIONS INC COM 871655106 2,614 428,515 SH DEFINED 2 SOLE THERMO FISHER SCIENTIFIC INC COM 883556102 5,768 100,000 SH DEFINED 1 SOLE THERMO FISHER SCIENTIFIC INC COM 883556102 6,633 115,000 SH DEFINED 2 SOLE TIFFANY & CO NEW COM 886547108 1,686 36,500 SH SOLE NONE SOLE TIFFANY & CO NEW COM 886547108 2,563 55,500 SH DEFINED 1 SOLE TOMOTHERAPY INC COM 890088107 880 45,000 SH DEFINED 2 SOLE TRANSOCEAN INC NEW SHS ADDED G90073100 6,810 47,570 SH DEFINED 2 SOLE TYCO ELECTRONICS LTD COM NEW G9144P105 1,624 43,750 SH DEFINED 2 SOLE TYCO ELECTRONICS LTD COM NEW G9144P105 464 12,500 SH SOLE NONE SOLE TYCO ELECTRONICS LTD COM NEW G9144P105 914 24,625 SH DEFINED 1 SOLE TYCO INTL LTD BERMUDA SHS G9143X208 498 12,500 SH SOLE NONE SOLE TYCO INTL LTD BERMUDA SHS G9143X208 980 24,625 SH DEFINED 1 SOLE UNITEDHEALTH GROUP INC COM 91324P102 1,019 17,500 SH SOLE NONE SOLE UNITEDHEALTH GROUP INC COM 91324P102 1,892 32,500 SH DEFINED 1 SOLE VARIAN MED SYS INC COM 92220P105 2,282 43,750 SH SOLE NONE SOLE VARIAN MED SYS INC COM 92220P105 4,238 81,250 SH DEFINED 1 SOLE VARIAN MED SYS INC COM 92220P105 6,259 120,000 SH DEFINED 2 SOLE VERTEX PHARMACEUTICALS INC COM 92532F100 697 30,000 SH DEFINED 2 SOLE VIASAT INC COM 92552V100 1,722 50,000 SH SOLE NONE SOLE VIASAT INC COM 92552V100 3,443 100,000 SH DEFINED 1 SOLE VIASAT INC COM 92552V100 5,853 170,000 SH DEFINED 2 SOLE VISHAY INTERTECHNOLOGY INC COM 928298108 571 50,000 SH SOLE NONE SOLE VISHAY INTERTECHNOLOGY INC COM 928298108 1,426 125,000 SH DEFINED 1 SOLE VISHAY INTERTECHNOLOGY INC COM 928298108 1,712 150,000 SH DEFINED 2 SOLE DISNEY WALT CO COM DISNEY 254687106 704 21,563 SH SOLE NONE SOLE DISNEY WALT CO COM DISNEY 254687106 1,632 50,000 SH DEFINED 1 SOLE WALTER INDS INC COM 93317Q105 1,186 33,000 SH SOLE NONE SOLE WALTER INDS INC COM 93317Q105 2,084 58,000 SH DEFINED 1 SOLE WALTER INDS INC COM 93317Q105 3,593 100,000 SH DEFINED 2 SOLE WESTERN UN CO COM 959802109 425 17,500 SH SOLE NONE SOLE WESTERN UN CO COM 959802109 3,217 132,500 SH DEFINED 1 SOLE WESTERN UN CO COM 959802109 2,610 107,500 SH DEFINED 2 SOLE X-RITE INC COM 983857103 783 67,400 SH SOLE NONE SOLE X-RITE INC COM 983857103 1,386 119,300 SH DEFINED 1 SOLE X-RITE INC COM 983857103 3,137 270,000 SH DEFINED 2 SOLE
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