-----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, JgtovPNXwXuXg1c56aTPHX6kAnSHY+gSXjoFMwnUmvdjmqsEH38qIsg6dEfWiUlU GdMxsyA9nIjOibfdUtJZjQ== 0000950131-01-501229.txt : 20010509 0000950131-01-501229.hdr.sgml : 20010509 ACCESSION NUMBER: 0000950131-01-501229 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OBERWEIS ASSET MANAGEMENT INC/ CENTRAL INDEX KEY: 0000937886 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 364106772 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04688 FILM NUMBER: 1625221 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 OBERWEIS 13F 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, 2001 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, 2001 - ---------------- [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 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: 198 Data Records Form 13F Information Table Value Total: $ 147,469 (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 manager 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, 2001
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY -------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 1-800 Contacts, Inc. com 681977104 686 30000 SH SOLE 30000 A.C.L.N. Ltd. com M01764105 780 32500 SH SOLE 30000 2500 Abaxis com 002567105 306 60800 SH SOLE 40000 20800 Abbott Laboratories com 002824100 208 4400 SH SOLE 4400 Act Teleconferencing, Inc. com 000955104 172 25500 SH SOLE 20000 5500 Actrade Financial Technologies com 00507p102 1900 82850 SH SOLE 40000 42850 Actuate Corp. com 00508B102 535 56000 SH SOLE 50000 6000 Acxiom Corp. com 005125109 265 12700 SH SOLE 12700 AdvancePCS com 00790K109 10130 186670 SH SOLE 155000 31670 Albany Molecular Res com 012423109 262 7500 SH SOLE 5000 2500 American Technical Ceramics Co com 030137103 994 113650 SH SOLE 90000 23650 Andrx Group com 034553107 5114 104370 SH SOLE 85000 19370 Ansoft Corporation com 036384105 181 20000 SH SOLE 20000 Applied Films Corp. com 038197109 116 10000 SH SOLE 10000 Applied Innovation Inc. com 037916103 128 11100 SH SOLE 11100 Aremissoft Corporation com 040026106 1011 77760 SH SOLE 20000 57760 Ariba, Inc. com 04033V104 198 25000 SH SOLE 10000 15000 Astropower, Inc. com 04644A101 750 25000 SH SOLE 20000 5000 Atwood Oceanics, Inc. com 050095108 258 6300 SH SOLE 6300 Avant! Corporation com 053487104 207 12000 SH SOLE 12000 Avert, Inc. com 053596102 1168 71050 SH SOLE 40000 31050 Avocent Corp. com 053893103 654 30000 SH SOLE 30000 Aware, Inc. com 05453N100 433 45000 SH SOLE 40000 5000 Barr Labs com 068306109 383 6700 SH SOLE 6700 Bell Microproducts com 078137106 1445 127700 SH SOLE 110000 17700 Biovail Corp. Intl. com 09067K106 289 8000 SH SOLE 8000 Buca, Inc. com 117769109 633 34000 SH SOLE 20000 14000 Cabot Microelectronics Corp. com 12709p103 1151 26020 SH SOLE 6000 20020 Caminus Corp. com 133766105 797 39000 SH SOLE 32000 7000 Captaris com 002420107 52 18400 SH SOLE 18400 Carbo Ceramics, Inc. com 140781105 1215 36000 SH SOLE 30000 6000 Carreker Corporation com 144433109 1802 94850 SH SOLE 70000 24850 Carrizo Oil & Gas, Inc. com 144577103 162 25000 SH SOLE 25000 Casey's General Stores com 147528103 239 20000 SH SOLE 20000 Catalina Marketing Corp. com 148867104 489 15000 SH SOLE 15000 Catapult Communications com 149016107 1402 55000 SH SOLE 40000 15000 Central European com 153435102 32 11100 SH SOLE 11100 Ceradyne Inc. com 156710105 311 38000 SH SOLE 30000 8000
Oberweis Asset Management, Inc. FORM 13F March 31, 2001
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY -------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Chico's Fas Inc. com 168615102 4755 144910 SH SOLE 104600 40310 Christopher & Banks Corp. com 171046105 2032 67462 SH SOLE 45000 22462 Cima Labs com 171796105 304 4900 SH SOLE 4900 Clarent Corp. com 180461105 528 44000 SH SOLE 40000 4000 Computer Access Technology com 204853105 77 16000 SH SOLE 16000 Comtech Telecommunications Cor com 205826209 365 28100 SH SOLE 24100 4000 Creo Products, Inc. com 225606102 403 22000 SH SOLE 18000 4000 Crown Group, Inc. com 228359105 75 20000 SH SOLE 20000 Cyberoptics Corp. com 232517102 215 20500 SH SOLE 20000 500 Cymer Inc. com 232572107 240 11100 SH SOLE 11100 Cytyc Corp. com 232946103 1917 116190 SH SOLE 31000 85190 DRS Technologies com 252456405 438 27800 SH SOLE 27800 Dataram Corp. com 238108203 913 97400 SH SOLE 80000 17400 Datum, Inc. com 238208102 278 20150 SH SOLE 15000 5150 Diamondcluster Int'l, Inc. com 25278P106 192 22100 SH SOLE 18000 4100 Digital Lightwave Inc. com 253855100 1148 64240 SH SOLE 50000 14240 Diodes, Inc. com 254543101 1093 130000 SH SOLE 120000 10000 Dynacq International, Inc. com 267919306 439 28800 SH SOLE 28800 E. W. Blanch Holdings, Inc. com 093210102 85 10700 SH SOLE 10700 EGL, Inc. com 270018104 274 11250 SH SOLE 11250 Ectel Ltd. com M29925100 870 87500 SH SOLE 60000 27500 Edge Petroleum com 279862106 264 32000 SH SOLE 30000 2000 Elantec Semiconductor com 284155108 329 12390 SH SOLE 8000 4390 Epiq Systems, Inc. com 26882D109 1106 54600 SH SOLE 21300 33300 Equity Oil Company com 294749106 94 30000 SH SOLE 30000 Evolving Systems, Inc. com 30049R100 108 35300 SH SOLE 35300 Exactech, Inc. com 30064E109 170 10000 SH SOLE 10000 Expeditors Intl Wash, Inc. com 302130109 656 13000 SH SOLE 13000 Express Scripts A com 302182100 490 5650 SH SOLE 5650 Extreme Networks, Inc. com 30226D106 321 21100 SH SOLE 6500 14600 FEI Co. com 30241L109 411 18640 SH SOLE 10000 8640 FTI Consulting Inc. com 302941109 487 37500 SH SOLE 25000 12500 Famous Dave's of America com 307068106 548 137000 SH SOLE 80000 57000 Fibercore, Inc. com 31563b109 2498 499650 SH SOLE 300000 199650 First Horizon Pharmaceuticals com 32051K106 313 15000 SH SOLE 15000 Frenchtex com 357814102 0 25000 SH SOLE 25000 Frequency Electronic, Inc. com 358010106 871 65000 SH SOLE 60000 5000 General Electric Co. com 369604103 318 7600 SH SOLE 7600
2 Oberweis Asset Management, Inc. FORM 13F March 31, 2001
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY -------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Genesis Microchip Inc. com 371933102 209 21000 SH SOLE 20000 1000 Gentex Corp. com 371901109 324 14000 SH SOLE 14000 Gentner Communications com 37245J105 1884 179450 SH SOLE 100000 79450 Golden Eagle Minerals, Inc. com 380961102 1 10000 SH SOLE 10000 Hain Celestial Group Inc com 405217100 402 13845 SH SOLE 13845 Hanover Compressor Company com 410768105 269 8500 SH SOLE 5000 3500 Headwaters, Inc. com 42210p102 1212 190100 SH SOLE 120000 70100 Healthcare.com Corp. com 42221Y100 148 143800 SH SOLE 140000 3800 Healthtronics, Inc. com 4222l1076 138 18000 SH SOLE 18000 Hot Topic Inc. com 441339108 2726 97350 SH SOLE 80000 17350 Icon PLC com 45103t107 415 18000 SH SOLE 15000 3000 Idexx Laboratories, Inc. com 45168d104 202 9200 SH SOLE 9200 Ikos Systems Inc. com 451716203 2074 202350 SH SOLE 155000 47350 Informix, Corp. com 456779107 86 16000 SH SOLE 16000 Innodata Corp. com 457642106 266 47800 SH SOLE 20000 27800 Innoveda, Inc. com 45769f102 173 50000 SH SOLE 50000 Integra Lifesciences com 457985208 341 25000 SH SOLE 25000 Interpore Intl. com 46062W107 42 10000 SH SOLE 10000 Intranet Solutions, Inc. com 460939309 2041 85260 SH SOLE 50000 35260 Ixys Corporation com 46600w106 630 40000 SH SOLE 40000 K.V. Pharmaceutical Co. com 482740206 394 20000 SH SOLE 20000 Kemet Corporation com 488360108 556 32800 SH SOLE 15000 17800 Kent Electronics com 490553104 220 12200 SH SOLE 12200 Key Production Company, Inc. com 493138101 1191 57400 SH SOLE 40000 17400 Keynote Systems,Inc. com 493308100 492 44000 SH SOLE 40000 4000 Kieth Cos, Inc. com 487539108 420 20000 SH SOLE 20000 King Pharmaceuticals Inc. com 495582108 3544 86975 SH SOLE 65000 21975 Knight Transportation com 499064103 402 16500 SH SOLE 16500 LCC Telecommunications com 501810105 125 25000 SH SOLE 25000 Lennar Corp. com 526057104 212 5315 SH SOLE 5315 M-Wave, Inc. com 554034108 1203 146950 SH SOLE 80000 66950 Magnum Hunter Resources, Inc. com 55972F203 235 20000 SH SOLE 20000 Marine Products com 568427108 87 33000 SH SOLE 30000 3000 Matec Corp. com 576668107 289 67950 SH SOLE 30000 37950 Mercury Interactive Corp. com 589405109 276 6600 SH SOLE 4000 2600 Meridian Medical Technologies, com 589658103 624 68400 SH SOLE 59900 8500 Meridian Resource Corp. com 58977q109 570 80000 SH SOLE 80000 Merix Corp. com 590049102 484 36000 SH SOLE 30000 6000
3 Oberweis Asset Management, Inc. FORM 13F March 31, 2001
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY -------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Metasolv, Inc. com 59139P104 706 50000 SH SOLE 45000 5000 Microchip Technology, Inc. com 595017104 246 9712 SH SOLE 9712 Mitchell Energy com 606592202 273 5200 SH SOLE 5000 200 Moldflow Corp. com 608507109 826 44000 SH SOLE 40000 4000 Monterey Pasta Co. com 612570101 2777 401200 SH SOLE 297000 104200 NCI Building Systems, Inc. com 628852105 270 16000 SH SOLE 16000 NU Horizons Electronics Corp. com 669908105 699 78800 SH SOLE 60000 18800 Neogen com 640491106 1084 91800 SH SOLE 40000 51800 Newfield Exploration com 651290108 279 8000 SH SOLE 8000 Newport Corp. com 651824104 305 10415 SH SOLE 5000 5415 Nova Corp/Georgia com 669784100 209 11325 SH SOLE 11325 Nur Macroprinters LTD. com M75165106 268 42500 SH SOLE 40000 2500 Occidental Petroleum Corp. com 674599105 718 29019 SH SOLE 29019 Odwalla Inc. com 676111107 258 26500 SH SOLE 26500 Optical Communication Producti com 68382T101 759 108500 SH SOLE 100000 8500 Optimal Robotics Corp. com 68388R208 1446 55480 SH SOLE 30000 25480 Overland Data, Inc. com 690213103 157 20000 SH SOLE 20000 P.F. Changs China Bistro com 69333y108 2213 63225 SH SOLE 40000 23225 PSI Technologies Holdings - A com 74438Q109 69 10000 SH SOLE 10000 Patterson Dental Co. com 703412106 430 14000 SH SOLE 14000 Pennichuck Corporation com 708254206 280 10000 SH SOLE 10000 Pericom Semiconductor com 713831105 554 43000 SH SOLE 40000 3000 Polycom Inc. com 73172K104 172 13900 SH SOLE 12000 1900 Polymedica Corp. com 731738100 2997 131715 SH SOLE 100000 31715 Power-One, Inc. com 739308104 218 15070 SH SOLE 6000 9070 Prima Energy Corp. com 741901201 2502 82545 SH SOLE 60000 22545 Pro Dex, Inc. com 74265M106 193 80000 SH SOLE 80000 Professional Detailing, Inc. com 74312N107 864 14000 SH SOLE 10000 4000 Qlogic Corp. com 747277101 816 36280 SH SOLE 30000 6280 RPC, Inc. com 749660106 675 55000 SH SOLE 50000 5000 Radvision Ltd. com M81869105 153 22000 SH SOLE 20000 2000 Radware, Ltd. com M81873107 429 37955 SH SOLE 20000 17955 Railamerica Inc. com 750753105 200 20000 SH SOLE 20000 Rare Hospitality Intl., Inc. com 753820109 448 18000 SH SOLE 18000 Raymond James Financial com 754730109 203 7300 SH SOLE 7300 Regeneration Tech, Inc. com 75886N100 161 15000 SH SOLE 15000 Remington Oil & Gas com 759594302 1851 134000 SH SOLE 100000 34000 Reptron Electronics, Inc. com 76026W109 295 41800 SH SOLE 40000 1800
4 Oberweis Asset Management, Inc. FORM 13F March 31, 2001
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY -------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Right Management Consultants com 766573109 589 24400 SH SOLE 24400 Rit Technologies Ltd. com m8215n109 298 66200 SH SOLE 35000 31200 Rofin-Sinar Technologies com 775043102 137 20000 SH SOLE 20000 Rudolph Tech., Inc. com 781270103 2104 60650 SH SOLE 40000 20650 SEI Corp. com 784117103 249 8000 SH SOLE 8000 Sani Tech Industry Inc. com 801017104 0 11000 SH SOLE 11000 ScanSource, Inc. com 806037107 2150 63225 SH SOLE 50000 13225 Sento Corp. com 816918106 100 50000 SH SOLE 50000 Sicor, Inc. com 825846108 2240 160700 SH SOLE 120000 40700 Silicon Storage Tech com 827057100 224 25800 SH SOLE 24000 1800 Skechers USA, Inc. com 830566105 2148 89500 SH SOLE 45000 44500 SonicWall, Inc. com 835470105 1220 100100 SH SOLE 55000 45100 Source Information Management com 836151209 505 113000 SH SOLE 100000 13000 Spartech Corp. com 847220209 182 11300 SH SOLE 11300 Stericycle, Inc. com 858912108 569 12750 SH SOLE 12750 Stratos Lightwave, Inc. com 863100103 1254 125400 SH SOLE 100000 25400 Sunrise Telecom, Inc. com 86769Y105 478 66000 SH SOLE 60000 6000 Suprema Specialties, Inc. com 86859f107 2902 343900 SH SOLE 220000 123900 TRC Companies, Inc. com 872625108 664 22500 SH SOLE 11900 10600 TTI Team Telecom com m88258104 421 33000 SH SOLE 30000 3000 Talx Corporation com 874915105 494 20000 SH SOLE 20000 Tegal Corp. com 879008100 150 50000 SH SOLE 50000 Teleflex, Inc. com 879369106 373 9100 SH SOLE 9100 Tetra Tech, Inc. com 88162g103 295 14553 SH SOLE 14553 The Bisys Group, Inc. com 055472104 448 8392 SH SOLE 8392 Tidel Technologies, Inc. com 886368109 28 12000 SH SOLE 12000 Tiffany & Co. com 886547108 289 10600 SH SOLE 10600 Triton Energy 'A' com G90751101 456 24300 SH SOLE 10000 14300 USA Networks, Inc. com 902984103 383 16000 SH SOLE 16000 United Natural Foods, Inc. com 911163103 342 24350 SH SOLE 24350 Universal American Financial com 913377107 840 151000 SH SOLE 126000 25000 Vans, Inc. com 921930103 338 15000 SH SOLE 15000 Verity Inc. com 92343C106 2711 119515 SH SOLE 65000 54515 Vintage Petroleum com 927460105 1483 72852 SH SOLE 54000 18852 Virage Logic Corp. com 92763R104 764 64000 SH SOLE 60000 4000 Walgreen Company com 931422109 326 8000 SH SOLE 8000 Waste Connections, Inc. com 941053100 634 22000 SH SOLE 20000 2000 WatchGuard Tech., Inc. com 941105108 107 13000 SH SOLE 10000 3000
5 Oberweis Asset Management, Inc. FORM 13F March 31, 2001
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY -------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Wendy's International Inc. com 950590109 239 10700 SH SOLE 10700 Western Multiplex Corp. com 95874P107 535 68000 SH SOLE 60000 8000 White Electronics Designs com 963801105 231 44000 SH SOLE 44000 Whole Foods Market, Inc. com 966837106 310 7350 SH SOLE 7350 Wind River Systems com 973149107 325 14000 SH SOLE 14000 Xetel Corporation com 983942103 210 60000 SH SOLE 60000 Zebra Technologies Corp.-Cl A com 989207105 529 13870 SH SOLE 13870 Zevex International, Inc. com 98950E400 1794 337700 SH SOLE 300000 37700 REPORT SUMMARY 198 DATA RECORDS 147469 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED Do not save this screen as a test file. This report automatically creates the text file inttables.txt, which meets all SEC filing requirements. For details on the location of this test file, see your 705 Report documentation.
6 -----END PRIVACY-ENHANCED MESSAGE-----