0000919574-11-006531.txt : 20111125 0000919574-11-006531.hdr.sgml : 20111124 20111125151218 ACCESSION NUMBER: 0000919574-11-006531 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111123 FILED AS OF DATE: 20111125 DATE AS OF CHANGE: 20111125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001167212 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35116 FILM NUMBER: 111226768 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123718300 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM GEORGE A CENTRAL INDEX KEY: 0001215611 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35116 FILM NUMBER: 111226762 MAIL ADDRESS: STREET 1: C/O NEEDHAM & COMPANY, LLC STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWALL TECHNOLOGIES INC /DE/ CENTRAL INDEX KEY: 0000813619 STANDARD INDUSTRIAL CLASSIFICATION: UNSUPPORTED PLASTICS FILM & SHEET [3081] IRS NUMBER: 942551470 STATE OF INCORPORATION: DE FISCAL YEAR END: 0314 BUSINESS ADDRESS: STREET 1: 1029 CORPORATION WAY CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 4159629111 MAIL ADDRESS: STREET 1: 1029 CORPORATION WAY CITY: PALO ALTO STATE: CA ZIP: 94303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM EMERGING GROWTH PARTNERS LP CENTRAL INDEX KEY: 0000890847 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35116 FILM NUMBER: 111226764 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM INVESTMENT MANAGEMENT LLC STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-371-8300 MAIL ADDRESS: STREET 1: C/O NEEDHAM INVESTMENT MANAGEMENT LLC STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CONTRARIAN FUND LP CENTRAL INDEX KEY: 0001165292 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35116 FILM NUMBER: 111226766 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM INVESTMENT MANAGEMENT LLC STREET 2: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-371-8300 MAIL ADDRESS: STREET 1: C/O NEEDHAM INVESTMENT MANAGEMENT LLC STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM GROWTH FUND CENTRAL INDEX KEY: 0001310572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35116 FILM NUMBER: 111226763 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 705-0300 MAIL ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Needham Contrarian QP Fund L P CENTRAL INDEX KEY: 0001332382 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35116 FILM NUMBER: 111226765 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM INVESTMENT MANAGEMENT LLC STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-371-8300 MAIL ADDRESS: STREET 1: C/O NEEDHAM INVESTMENT MANAGEMENT LLC STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM GROUP, INC. CENTRAL INDEX KEY: 0001396716 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35116 FILM NUMBER: 111226767 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-705-0311 MAIL ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 p1245822.xml NEEDHAM INVESTMENT/SOUTHWALLL TECHNOLOGIES X0304 4 2011-11-23 1 0000813619 SOUTHWALL TECHNOLOGIES INC /DE/ SWTX 0001167212 NEEDHAM INVESTMENT MANAGEMENT LLC 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001396716 NEEDHAM GROUP, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001165292 NEEDHAM CONTRARIAN FUND LP 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001332382 Needham Contrarian QP Fund L P 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0000890847 NEEDHAM EMERGING GROWTH PARTNERS LP 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001310572 NEEDHAM GROWTH FUND 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001215611 NEEDHAM GEORGE A C/O THE NEEDHAM GROUP, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 Common Stock, par value $0.001 per share 2011-11-23 4 U 0 401962 13.60 D 0 D Common Stock, par value $0.001 per share 2011-11-23 4 U 0 16875 13.60 D 0 D Common Stock, par value $0.001 per share 2011-11-23 4 U 0 0 0 D 0 I See Footnote Common Stock, par value $0.001 per share 2011-11-23 4 U 0 80000 13.60 D 0 D Common Stock, par value $0.001 per share 2011-11-23 4 U 0 0 0 D 0 I See Fotnote Common Stock, par value $0.001 per share 2011-11-23 4 U 0 43126 13.60 D 0 D Common Stock, par value $0.001 per share 2011-11-23 4 U 0 0 0 D 0 I See Footnote Common Stock, par value $0.001 per share 2011-11-23 4 U 0 145600 13.60 D 0 D Common Stock, par value $0.001 per share 2011-11-23 4 U 0 0 0 D 0 I See Footnote Common Stock, par value $0.001 per share 2011-11-23 4 U 0 7000 13.60 D 0 D The reported securities are directly owned by The Needham Group, Inc. (the "Needham Group"). The reported securities are directly owned by Needham Contrarian Fund, L.P., and may be deemed to be beneficially owned by Needham Investment Management L.L.C. ("NIM") by virtue of it serving as investment manager of Needham Contrarian Fund, L.P. Needham Asset Management, LLC ("NAM") may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. Lastly, George A. Needham ("Mr. Needham") may be deemed to beneficially own the reported securities by virtue of his position as Chairman and Chief Executive Officer of The Needham Group, the parent company of NAM. NIM, NAM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein. The reported securities are directly owned by Needham Emerging Growth Partners, L.P., and may be deemed to be beneficially owned by NIM by virtue of it serving as investment manager of Needham Emerging Growth Partners, L.P. NAM may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. Lastly, Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Chairman and Chief Executive Officer of The Needham Group, the parent company of NAM. NIM, NAM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein. The reported securities are directly owned by Needham Contrarian (QP) Fund, L.P., and may be deemed to be beneficially owned by NIM by virtue of it serving as investment manager of Needham Contrarian (QP) Fund, L.P. NAM may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. Lastly, Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Chairman and Chief Executive Officer of The Needham Group, the parent company of NAM. NIM, NAM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein. The reported securities are directly owned by Needham Growth Fund, and may be deemed to be beneficially owned by NIM by virtue of it serving as investment adviser of Needham Growth Fund. NAM may also be deemed to beneficially own the reported securities by virtue of it serving as the managing member of NIM. NIM and NAM each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein. The reported securities are directly owned by Mr. Needham. Needham Investment Management, L.L.C., By: /s/ George A. Needham, Member 2011-11-25 The Needham Group, Inc., By: /s/ George A. Needham, Chief Executive Officer 2011-11-25 Needham Contrarian Fund, L.P., By: Needham Investment Management L.L.C., its general partner, By: /s/ George A. Needham, Member 2011-11-25 Needham Contrarian (QP) Fund, L.P., By: Needham Investment Management L.L.C., its general partner, By: /s/ George Needham, Member 2011-11-25 Needham Emerging Growth Partners, L.P., By: Needham Investment Management L.L.C., its general partner, By: /s/ George Needham, Member 2011-11-25 Needham Growth Fund, By: /s/ James W. Giangrasso, Secretary and Treasurer 2011-11-25 /s/ George A. Needham 2011-11-25