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