2024-11-04T16:29:38-06:00 2023-12-31 873231666 PKF O'CONNOR DAVIES ADVISORY LLC 245 PARK AVENUE 12TH FLOOR NEW YORK NY 10167 990PF 2023-01-01 134196881 NEEDHAM SEPTEMBER 11TH SCHOLARSHIP FUND C/O NEEDHAM & COMPANY LLC NEED 2127050363 250 PARK AVENUE 10TH FL NEW YORK NY 10177 GEORGE A NEEDHAM CHAIRMAN 2127050363 2024-11-04 1 1 GARRETT M HIGGINS P00543209 2122862600 2024-11-04 2023 2024-10-15 13:58:12Z X 217591 X 50 X 887 887 18793 19347 -15624 90239 0 0 -8 4106 20226 0 0 0 6825 0 0 292 350 100 0 50 600 50 7225 992 50 81500 81500 88725 992 81550 -84619 19234 9932 10481 10481 143887 162950 162950 102416 44160 44160 256235 217591 217591 6500 13325 0 250 6500 13575 X 249735 204016 249735 204016 256235 217591 249735 -84619 38900 204016 0 204016 SALE OF PUBLICLY TRADED SECURITIES P 90239 105863 -15624 -15624 ENERGY TRANSFER LP K-1 P -392 -392 LESS: ENERGY TRANSFER LOSS ON BOOKS P 712 712 -15304 267 0 267 0 267 1866 0 0 0 1866 0 1599 1599 0 0 0 0 0 0 0 0 0 1 1 0 1 1 NY 1 0 0 0 0 1 N/A ROBERT FIORDALISO MANAGING DIRECTO 2127050363 C/O NEEDHAM COLLC 250 PARK AVE 10TH FL NEW YORK NY 10177 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 GEORGE A NEEDHAM C/O THE NEEDHAM GROUP INC 250 PARK AVENUE NEW YORK NY 10177 CHAIRMAN/DIRECTOR 1.00 0 0 0 JOHN J PRIOR JR C/O NEEDHAM CO LLC 250 PARK AVENUE NEW YORK NY 10177 PRESIDENT/DIRECTOR 1.00 0 0 0 KATHLEEN MUMMA C/O NEEDHAM ASSET MANAGEMENT LLC 250 PARK AVENUE NEW YORK NY 10177 SECY/TREAS/DIRECTOR 1.00 0 0 0 CHARLES S STRAUCH C/O GA SERVICE LLC 1681 KETTERING IRVINE GA 92614 OUTSIDE DIRECTOR 1.00 0 0 0 NONE 0 NONE 0 0 233585 19086 0 252671 0 0 252671 3790 248881 12444 12444 267 267 12177 0 12177 0 12177 81550 0 81550 12177 0 0 123089 134895 110877 96918 100895 566674 81550 0 0 0 12177 69373 0 0 636047 0 0 0 0 0 0 123089 512958 134895 110877 96918 100895 69373 KATHLEEN MUMMA C/O NEEDHAM ASSET MANAGEMENT LLC 250 PARK AVENUE NEW YORK NY 10177 2127050293 APPLICATIONS SHOULD INCLUDE ACCEPTANCE FROM AN ACCREDITED EDUCATIONAL INSTITUTION, STATEMENT OF RELATIONSHIP TO VICTIM, CURRENT GRADES AND CERTIFICATION OF INCOME (TAX RETURN). NO DEADLINE LIMITED TO SURVIVORS OF VICTIMS OF 9/11 AND WARS IN IRAQ AND AFGHANISTAN AS WELL AS CHILDREN OF RESCUE WORKERS DISABLED BY THE EVENTS OF 9/11. COLORADO STATE UNIVERSITY ITF OLIVI 1000 LIBBIE COY WAY FORT COLLINS CO 805231065 NONE I SCHOLARSHIP 4000 ELON UNIVERSITY ITF MADISON MEEHAN PO BOX 398 ELON NC 27244 NONE I SCHOLARSHIP 4000 FLAGLER COLLEGE ITF KENDALL SULMASY 74 KING STREET ST ST AUGUSTINE FL 32084 NONE I SCHOLARSHIP 3500 KENYON COLLEGE ITF OLIVIA HYNES 106 COLLEGE PARK DR GAMBIER OH 43022 NONE I SCHOLARSHIP 4000 LOYOLA UNIVERSITY MARYLAND ITF KACE 4501 NORTH CHARLES STREET BALTIMORE MD 21210 NONE I SCHOLARSHIP 4000 MARIST COLLEGE ITF JOHN SCHARDT JR 3399 NORTH ROAD POUGHKEEPSIE NY 12601 NONE I SCHOLARSHIP 3000 MISSOURI STATE UNIVERSITY ITF ERIKA 901 S NATIONAL AVENUE SPRINGFIELD MO 65897 NONE I SCHOLARSHIP 4000 NEW YORK INSTITUTE OF TECHNOLOGY IT 101 NORTHERN BLVD GLEN HEAD NY 11545 NONE I SCHOLARSHIP 4000 NEW YORK UNIVERSITY ITF NADIA AHMED 383 LAFAYETTE STREET - FIRST FLOOR NEW YORK NY 10003 NONE I SCHOLARSHIP 10000 RIDER UNIVERSITY ITF GIULIANA DEMAR 2083 LAWRENCEVILLE RD LAWRENCEVILLE NJ 08648 NONE I SCHOLARSHIP 4000 RUSSELL SAGE COLLEGE ITF SYDNEY FAL 65 1ST ST TROY NY 12180 NONE I SCHOLARSHIP 5000 SCIENCES PO ITF PAUL RUBACK 13 RUE DE LUNIVERSITE 1ER ESTAGE ESCALIER DROIT PARIS FR 75007 NONE I SCHOLARSHIP 3000 SETON HALL UNIVERSITY ITF RYAN SLIW 400 S ORANGE AVE SOUTH ORANGE NJ 07079 NONE I SCHOLARSHIP 5000 SUNY ADIRONDACK ITF BRIAN FALB JR 640 BAY RD QUEENSBURY NY 12804 NONE I SCHOLARSHIP 2000 TEXAS WOMAN'S UNIVERSITY ITF MYEJOI 304 ADMINISTRATION DRIVE DENTON TX 76204 NONE I SCHOLARSHIP 3000 THE CITADEL ITF PATRICK MCSWEENEY 171 MOULTRIE STREET CHARLESTON SC 29409 NONE I SCHOLARSHIP 5000 UNIVERSITY OF TEXAS AT SAN ANTONIO ONE UTSA CIRCLE SAN ANTONIO TX 78249 NONE I SCHOLARSHIP 3000 UNIVERSITY OF VERMONT ITF COLE ESBI 85 S PROSPECT AVE BURLINGTON VT 05405 NONE I SCHOLARSHIP 5000 VILLAGE SCHOOL OF NAPLES ITF SIENA 6000 GOODLETTE ROAD N NAPLES FL 34109 NONE I SCHOLARSHIP 2000 WIDENER UNIVERSITY ITF NICOLE RENDE ONE UNIVERSITY PLACE CHESTER PA 19013 NONE I SCHOLARSHIP 4000 81500 0 14 887 901101 102 14 18691 18 -15624 ORDINARY LOSS THROUGH K-1 901101 -2319 14 2319 -2217 6273 0 4056 0 0 0 0 0 0 0 0 0 0 TAX PREPARATION FEES 6825 0 0 ANNALY CAPITAL MANAGEMENT, INC. 1,000 SHRS 19370 19370 CHIMERA INVESTMENT CORP. 4,000 SHRS 19960 19960 ENTERPRISE PRODS PARTNERS LP 1,000 SHRS 26350 26350 KIMBELL RTY PARTNERS LP 2,000 SHRS 30100 30100 READY CAP CORP COM 2,000 SHRS 20500 20500 REDWOOD TR INC 1,000 SHRS 7410 7410 TC ENERGY CORPORATION 1,000 SHRS 39260 39260 ENERGY TRANSFER PARTNERS LP 3,200 SHRS FMV 44160 44160 FILING FEE - NYS DEPT OF LAW 50 0 50 OTHER EXPENSE THROUGH K-1 0 600 0 ORDINARY LOSS THROUGH K-1 -8 UNREALIZED GAIN ON INVESTMENTS 38900 STATE UBI TAX PAYABLE 0 250 STATE UBIT 250 0 0 FOREIGN TAXES WITHHELD 100 100 0