-----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, RY4qKbYqn0L5fSlYbE50s8UoWXHi/HuPMe2264gapCvkNg8wo6bae2wgbQu0EADy 8LPeYp1rGs9lIk2JQYYXkw== 0000940180-02-001073.txt : 20020508 0000940180-02-001073.hdr.sgml : 20020508 ACCESSION NUMBER: 0000940180-02-001073 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OBERWEIS ASSET MANAGEMENT INC/ CENTRAL INDEX KEY: 0000937886 IRS NUMBER: 364106772 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04688 FILM NUMBER: 02637659 BUSINESS ADDRESS: STREET 1: C/O OBERWEIS ASSET MANAGEMENT INC STREET 2: 951 ICE CREAM DR #200 CITY: NORTH AURORA STATE: IL ZIP: 60542 BUSINESS PHONE: 8003236166 MAIL ADDRESS: STREET 1: C/O OBERWEIS ASSET MANAGEMENT INC STREET 2: 951 ICE CREAM DR #200 CITY: N AURORA STATE: IL ZIP: 60542 13F-HR 1 d13fhr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2002 Check here if Amendment [_]; Amendment Number: _________________________ This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Oberweis Asset Management, Inc. Address: 951 Ice Cream Dr., Suite 200 North Aurora, IL 60542 Form 13F File Number: 28- 4688 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: Patrick B. Joyce Title: Executive Vice President Phone: (800) 323-6166 Signature, Place, and Date of Signing: Patrick B. Joyce North Aurora, IL May 7, 2002 - ------------------------- [City, State] [Date] [Signature] 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 manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manger are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers reporting for this Manager: [If there are no entries in this list, omit this section.] FORM 13F SUMMARY PAGE Report Summary: Number of other Included Managers: ___________________ Form 13F Information Table Entry Total: 153 Data Records Form 13F Information Table Value Total: $ 154,095 (thousandths) 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 manger filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE Oberweis Asset Management, Inc. FORM 13F March 31, 2002
Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of Class CUSIP (X$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AdvancePCS com 00790K109 6504 216150 SH SOLE 187000 29150 Advanced Magnetics, Inc. com 00753P103 260 64100 SH SOLE 60000 4100 Advanced Neuromodulation Syste com 00757T101 1137 33905 SH SOLE 15000 18905 Alloy Inc. com 019855105 1329 88400 SH SOLE 50000 38400 Almost Family, Inc. com 020409108 273 24200 SH SOLE 24200 Amarin Corp. com 023111107 1327 93575 SH SOLE 50000 43575 American Healthways, Inc. com 02649v104 632 23300 SH SOLE 20000 3300 American Safety Insurance Grou com g02995101 254 27000 SH SOLE 27000 Ansoft Corporation com 036384105 404 22000 SH SOLE 20000 2000 Astropower, Inc. com 04644A101 919 22000 SH SOLE 20000 2000 Axcan com 054923107 1194 94675 SH SOLE 80000 14675 Balchem Corp. com 057665200 281 13000 SH SOLE 13000 Bio-Vascular, Inc. com 090923103 331 40000 SH SOLE 40000 Bioanalytical Systems, Inc. com 09058M103 635 92000 SH SOLE 80000 12000 Biolase Technology, Inc. com 090911108 683 122000 SH SOLE 80000 42000 Biovail Corp. Intl. com 09067J109 300 6000 SH SOLE 6000 Bradley Pharmaceuticals, Inc. com 104576103 2579 242150 SH SOLE 180000 62150 Cabot Microelectronics Corp. com 12709p103 1380 20395 SH SOLE 4000 16395 Caminus Corp. com 133766105 1012 45000 SH SOLE 40000 5000 Carbo Ceramics, Inc. com 140781105 1710 41751 SH SOLE 30000 11751 Career Education Corp. com 141665109 218 5500 SH SOLE 5000 500 Caremark RX, Inc. com 141705103 945 48450 SH SOLE 10000 38450 Catapult Communications com 149016107 1111 44000 SH SOLE 40000 4000 Central European com 153435102 3288 274000 SH SOLE 140000 134000 Chad Therapeutics, Inc. com 157228107 201 60000 SH SOLE 60000 Check Technology Corp. com 162780100 295 42000 SH SOLE 42000 Chicago Pizza & Brewery com 167889104 1086 171100 SH SOLE 100000 71100 Chico's Fas Inc. com 168615102 8642 256425 SH SOLE 189000 67425 Christopher & Banks Corp. com 171046105 1777 54081 SH SOLE 37500 16581 Cima Labs com 171796105 450 16900 SH SOLE 15000 1900 Closure Medical Corp. com 189093107 1334 67800 SH SOLE 30000 37800 Craftmade International Inc. com 22413E104 244 15000 SH SOLE 15000 Cross Country com 22748P105 2424 89780 SH SOLE 30000 59780 Cytyc Corp. com 232946103 1920 71340 SH SOLE 10000 61340 D&K Healthcare com 232861104 1677 27940 SH SOLE 15000 12940 Dianon Systems com 252826102 571 8800 SH SOLE 8000 800 Digital Insight com 25385p106 1576 57200 SH SOLE 30000 27200 Digital River com 25388B104 2486 167870 SH SOLE 80000 87870
1 Oberweis Asset Management, Inc. FORM 13F March 31, 2002
Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of Class CUSIP (X$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Dr. Reddy's Lab ADR com 256135203 886 40051 SH SOLE 10000 30051 Drugmax, Inc. com 262240104 315 78000 SH SOLE 78000 E Loan com 26861p107 626 338500 SH SOLE 300000 38500 E.Funds Corp. com 28224R101 867 54000 SH SOLE 50000 4000 Echelon Corp. com 27874N105 792 44000 SH SOLE 40000 4000 Ectel Ltd. com M29925100 916 65000 SH SOLE 60000 5000 Elbit Medical Imaging com 010811169 241 43100 SH SOLE 43100 Environmental Elements Corp. com 293940102 459 94200 SH SOLE 80000 14200 Escalade, Inc. com 296056104 393 5700 SH SOLE 5000 700 Euniverse, Inc. com 298412107 746 143200 SH SOLE 49000 94200 Expedia com 302125109 251 3600 SH SOLE 2500 1100 Factual Data Corp. com 303094106 320 40000 SH SOLE 40000 Famous Dave's of America com 307068106 785 97300 SH SOLE 70000 27300 Frenchtex com 357814102 15 25000 SH SOLE 25000 Ftd.com com 30265F103 393 70100 SH SOLE 47100 23000 Gaiam, Inc. com 36268q103 553 30000 SH SOLE 30000 General Electric Co. com 369604103 286 7650 SH SOLE 7650 Global Payment Technology Inc. com 37936s109 360 60000 SH SOLE 60000 Golden Eagle Minerals, Inc. com 380961102 1 10000 SH SOLE 10000 HPL Technologies, Inc. com 40426C105 2528 153425 SH SOLE 50000 103425 Harvard Bioscience, Inc. com 416906105 388 44100 SH SOLE 44100 Headwaters, Inc. com 42210p102 370 24200 SH SOLE 24200 Healthtronics, Inc. com 4222l1076 298 30000 SH SOLE 30000 Hot Topic Inc. com 441339108 2079 99450 SH SOLE 90000 9450 Humana Inc. com 444859102 152 11200 SH SOLE 11200 Icon PLC com 45103t107 612 18000 SH SOLE 15000 3000 Infinity, Inc. com 45663L403 326 16300 SH SOLE 10000 6300 InfoNow Corp. com 456664309 413 140000 SH SOLE 140000 Integra Lifesciences com 457985208 295 10500 SH SOLE 10000 500 Interactive Systems Worldwide, com 45840f105 261 50000 SH SOLE 50000 Intercept, Inc. com 45845L107 797 22000 SH SOLE 20000 2000 Intrado com 46117A100 1697 77900 SH SOLE 30000 47900 J2 Global Communication com 46626E205 1184 131604 SH SOLE 100000 31604 JDA Software Group Inc. com 46612K108 1052 33000 SH SOLE 30000 3000 Kendle International, Inc. com 48880L107 929 50000 SH SOLE 30000 20000 Key Production Company, Inc. com 493138101 246 13000 SH SOLE 13000 King Pharmaceuticals Inc. com 495582108 1041 29732 SH SOLE 26666 3066 L3 Communications Holding com 502424104 308 2750 SH SOLE 2000 750
2 Oberweis Asset Management, Inc. FORM 13F March 31, 2002
Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of Class CUSIP (X$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- LMI Aerospace, Inc. com 502079106 56 12500 SH SOLE 12500 MASISA S.A. com 574799102 336 29000 SH SOLE 29000 MIM Corporation com 553044108 1668 101100 SH SOLE 50000 51100 MedAmicus, Inc. com 584027106 325 30000 SH SOLE 30000 Meridian Medical Technologies, com 589658103 488 13500 SH SOLE 10000 3500 Metro One Telecommunication com 59163F105 603 23800 SH SOLE 15000 8800 Micro General Corp. com 594838302 415 30000 SH SOLE 30000 National Medical Card Systems, com 636918302 482 50000 SH SOLE 50000 Neogen com 640491106 316 20000 SH SOLE 20000 Neoware Systems com 64065P102 2208 228350 SH SOLE 80000 148350 Net Bank, Inc. com 640933107 1783 105475 SH SOLE 60000 45475 New Century Financial Corp. com 64352d101 908 40000 SH SOLE 40000 Nyfix, Inc. com 670712108 791 52900 SH SOLE 30000 22900 Occidental Petroleum Corp. com 674599105 576 19755 SH SOLE 19755 Ocular Sciences, Inc. com 675744106 924 33000 SH SOLE 30000 3000 On-Site Sourcing, Inc. com 682195102 335 100000 SH SOLE 100000 Opnet Technologies com 683757108 451 47300 SH SOLE 41800 5500 Overture Services, Inc. com 69039R100 1674 59950 SH SOLE 8000 51950 P.F. Changs China Bistro com 69333y108 2232 33500 SH SOLE 30000 3500 PDF Solutions, Inc. com 693282105 449 26200 SH SOLE 25000 1200 PEC Solutions, Inc. com 705107100 2110 85800 SH SOLE 50000 35800 Panera Bread Co. com 69840W108 4844 76035 SH SOLE 50000 26035 Pediatrix Medical Group com 705324101 897 22000 SH SOLE 20000 2000 Peerless Mfg. Co. com 705514107 368 20000 SH SOLE 20000 Petroquest Energy, Inc. com 716748108 597 104175 SH SOLE 65300 38875 Pharmaceutical Product Develop com 717124101 240 6900 SH SOLE 4000 2900 Possis Medical, Inc. com 737407106 1920 97450 SH SOLE 27500 69950 Precise Software com M41450103 769 33000 SH SOLE 30000 3000 Pricesmart, Inc. com 741511109 1018 27930 SH SOLE 20000 7930 Prima Energy Corp. com 741901201 1727 69345 SH SOLE 60000 9345 Qlogic Corp. com 747277101 995 20100 SH SOLE 18600 1500 Quovadx com 74913K106 2031 244415 SH SOLE 100000 144415 RMH Teleservices, Inc. com 749938106 871 44000 SH SOLE 40000 4000 RPC, Inc. com 749660106 1010 67800 SH SOLE 60000 7800 Ramsay Youth Services, Inc. com 75158k206 75 19900 SH SOLE 19900 Remington Oil & Gas com 759594302 1169 58000 SH SOLE 50000 8000 Retalix Ltd. com m8215w109 259 20000 SH SOLE 20000 Right Management Consultants com 766573109 646 25500 SH SOLE 22500 3000
3 Oberweis Asset Management, Inc. FORM 13F March 31, 2002
Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of Class CUSIP (X$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Riverstone Networks, Inc. com 769320102 60 10000 SH SOLE 10000 SFBC International, Inc. com 784121105 2553 97830 SH SOLE 49900 47930 Sani Tech Industry Inc. com 801017104 0 11000 SH SOLE 11000 ScanSource, Inc. com 806037107 2585 43000 SH SOLE 40000 3000 Scansoft, Inc. com 80603p107 2630 446600 SH SOLE 200000 246600 Security Capital Corp. com 814131405 110 11000 SH SOLE 11000 Sherwood Brands, Inc. com 82437l104 174 30000 SH SOLE 30000 Sicor, Inc. com 825846108 1535 89900 SH SOLE 80000 9900 Skilsoft com 83066p101 1014 44000 SH SOLE 40000 4000 Software Spectrum, Inc. com 833960107 724 40000 SH SOLE 40000 SonicWall, Inc. com 835470105 789 60500 SH SOLE 55000 5500 Spherix Inc. com 84842r106 315 40000 SH SOLE 40000 Student Loan Corp. com 863902102 284 3100 SH SOLE 2000 1100 Sungard Data Systems com 867363103 313 9500 SH SOLE 5000 4500 Sunrise Assisted Living com 86768K106 2906 106590 SH SOLE 70000 36590 Suprema Specialties, Inc. com 86859f107 1 231800 SH SOLE 210000 21800 Symyx Technologies, Inc. com 87155S108 1410 68295 SH SOLE 40000 28295 TRC Companies, Inc. com 872625108 923 37612 SH SOLE 19500 18112 TTI Team Telecom com m88258104 1723 60045 SH SOLE 30000 30045 Talx Corporation com 874915105 240 15000 SH SOLE 15000 Taro Pharmaceuticals com M8737E108 811 28600 SH SOLE 20000 8600 Teknowledge Corp. com 878919208 29 10800 SH SOLE 10800 Tripos, Inc. com 896928108 1719 65670 SH SOLE 30000 35670 U.S. Energy Systems, Inc. com 902951102 163 45200 SH SOLE 45200 U.S. Laboratories com 90333T105 1347 100355 SH SOLE 50000 50355 Utek Corporation com 91759p106 128 18000 SH SOLE 18000 Vasomedical, Inc. com 922321104 475 165900 SH SOLE 150000 15900 Verisity LTD. com M97385112 2982 132930 SH SOLE 60000 72930 Vermont Pure Holdings com 924234107 520 100000 SH SOLE 100000 Vimpel Communications com 68370R109 1738 54010 SH SOLE 32500 21510 Virage Logic Corp. com 92763R104 1048 68800 SH SOLE 60000 8800 Vital Images com 92846n104 1497 168230 SH SOLE 80000 88230 Walgreen Company com 931422109 314 8000 SH SOLE 8000 Waste Connections, Inc. com 941053100 737 22000 SH SOLE 20000 2000 Wavecom S.A. ADR com 943531103 1020 38490 SH SOLE 25000 13490 Websense com 947684106 1725 68575 SH SOLE 25000 43575 Wilson Greatbatch Tech com 972232102 1088 42300 SH SOLE 37000 5300 Wireless Telecom Group, Inc. com 976524108 97 30000 SH SOLE 30000
4 Oberweis Asset Management, Inc. FORM 13F March 31, 2002
Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of Class CUSIP (X$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Zebra Technologies Corp.-Cl A com 989207105 227 4200 SH SOLE 4200 REPORT SUMMARY 153 DATA RECORDS 154095 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
5 -----END PRIVACY-ENHANCED MESSAGE-----