-----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, UCNl2qlBQfSMvWLO8MXbkh6RuOzd220VrL8JFyxj13VL/qn0ymbF4LXd4GlLD8Q9 fKWid/x7PaDCmlvHzBbd2g== 0001193125-07-002727.txt : 20070108 0001193125-07-002727.hdr.sgml : 20070108 20070108123440 ACCESSION NUMBER: 0001193125-07-002727 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20070108 DATE AS OF CHANGE: 20070108 EFFECTIVENESS DATE: 20070108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OBERWEIS ASSET MANAGEMENT INC/ CENTRAL INDEX KEY: 0000937886 IRS NUMBER: 364106772 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04688 FILM NUMBER: 07516729 BUSINESS ADDRESS: STREET 1: 3333 WARRENVILLE ROAD STREET 2: SUITE 500 CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 6305772300 MAIL ADDRESS: STREET 1: 3333 WARRENVILLE ROAD STREET 2: SUITE 500 CITY: LISLE STATE: IL ZIP: 60532 13F-HR/A 1 d13fhra.txt OBERWEIS ASSET MANAGEMENT, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2006 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check only one.): [X] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Oberweis Asset Management, Inc. Address: 3333 Warrenville Road, Suite 500 Lisle, IL 60532 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 Lisle, IL January 5, 2007 -------------------------- [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: 225 Data Records Form 13F Information Table Value Total: $ 1,737,968 (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 30-Sep-06
Voting Authority --------------- Title of Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - -------------- ----- --------- -------- ------- --- ---- ------- -------- ------ ------ ------ A D A M Inc......... com 00088U108 1956 279852 SH Sole 194452 85400 AAR Corp............ com 000361105 288 12100 SH Sole 9300 2800 ACR Group Inc....... com 00087b101 957 175979 SH Sole 122279 53700 ASV Inc............. com 001963107 9413 631332 SH Sole 432551 198781 ATP Oil & Gas Corp.. com 00208j108 17590 476183 SH Sole 330127 146056 Abaxis, Inc......... com 002567105 9271 396380 SH Sole 273980 122400 Ace Comm. Corp...... com 004404109 2304 1225674 SH Sole 849774 375900 Adams Respiratory Therapeutics...... com 00635p107 28205 770828 SH Sole 429099 341729 Adeza Biomedical Corp.............. com 006864102 2531 154264 SH Sole 111984 42280 Advanced Environ Recycling Tec..... com 007947104 1672 739983 SH Sole 511983 228000 Aehr Test Systems... com 00760J108 2030 274307 SH Sole 189807 84500 Aetrium Inc......... com 00817R103 1493 299172 SH Sole 208272 90900 Akamai Technologies Com............... com 00971t101 3213 64277 SH Sole 44427 19850 Alliance Bankshares Corp.............. com 018535104 1362 81075 SH Sole 56230 24845 Allis Chalmers Energy............ com 019645506 15943 1089002 SH Sole 770002 319000 Allscripts Healthcare........ com 01988p108 22071 981807 SH Sole 507464 474343 American Ecology Corp.............. com 025533407 8558 433554 SH Sole 311854 121700 American Software... com 029683109 3353 489456 SH Sole 337756 151700 Answerthink, Inc.... com 036916104 538 200000 SH Sole 143200 56800 Arena Resources, Inc............... com 040049108 4519 140676 SH Sole 101976 38700 Arrhythmia Research Technology........ com 042698308 924 64795 SH Sole 44920 19875 Arthrocare Corp..... com 043136100 25091 535444 SH Sole 365598 169846 Aspect Medical Systems........... com 045235108 6567 384693 SH Sole 266983 117710 Aspreva Pharmaceutical ADR com 04538t109 40757 1570613 SH Sole 923677 646936 Astronics Corp...... com 046433108 2194 139294 SH Sole 96694 42600 Atheros Communications.... com 04743p108 7140 393800 SH Sole 273500 120300 Audio Codes ADR..... com m15342104 360 38311 SH Sole 24817 13494 Avici Systems, Inc.. com 05367l802 6128 708461 SH Sole 429711 278750 Aware, Inc.......... com 05453N100 1661 293417 SH Sole 203417 90000 BE Aerospace........ com 073302101 1841 87300 SH Sole 80900 6400 BTU International, Inc............... com 056032105 1664 138347 SH Sole 96147 42200 Baidu Inc. Spon ADR. com 056752108 23446 267829 SH Sole 166289 101540 Barrett Business Services.......... com 068463108 2399 111756 SH Sole 76249 35507 Bitstream, Inc...... com 091736108 4260 456615 SH Sole 316615 140000 Bronco Drilling Company Inc....... com 112211107 20583 1170818 SH Sole 603862 566956 Bucyrus Int'l Inc... com 118759109 11347 267501 SH Sole 181286 86215 CRA Int'l Inc....... com 12618t105 13850 290603 SH Sole 198124 92479 CTRIP Com Int'l Ltd ADR............... com 22943f100 11418 254024 SH Sole 180108 73916 Cambior............. com 13201L103 335 95000 SH Sole 95000 Camtek, Ltd......... com m20791105 1491 240487 SH Sole 168187 72300 Carrizo Oil & Company, Inc...... com 144577103 28745 1114578 SH Sole 770175 344403 Cellpoint, Inc...... com 15115e109 0 11875 SH Sole 11875 Centene Corp........ com 15135B101 3338 203046 SH Sole 144007 59039 Central European Distribution...... com 153435102 24638 1052456 SH Sole 720779 331677 Ceradyne, Inc....... com 156710105 40345 981875 SH Sole 675668 306207 Charles & Colvard Ltd............... com 159765106 6233 547712 SH Sole 372274 175438 Chipotle Mexican Grill............. com 169656105 338 6800 SH Sole 5200 1600 Citi Trends, Inc.... com 17306x102 13126 380354 SH Sole 258800 121554 Clicksoftware Technologies Ltd.. com M25082104 989 419172 SH Sole 291072 128100 Coldwater Creek..... com 193068103 682 23700 SH Sole 18200 5500 Comarco, Inc........ com 200080109 1108 124500 SH Sole 76100 48400 Comtech Group,...... Inc............... com 205821200 4734 315800 SH Sole 301600 14200 Concur.............. Technologies...... com 206708109 14308 983338 SH Sole 670725 312613 Criticare Sys....... Corp.............. com 226901106 1586 406632 SH Sole 281332 125300 Cybersource Corp.... com 23251J106 10819 914536 SH Sole 587947 326589 Cytyc Corp.......... com 232946103 306 12508 SH Sole 9547 2961 DIVX................ com 255413106 4576 192500 SH Sole 133500 59000 DXP Enterprises, Inc............... com 233377407 3085 131883 SH Sole 91683 40200 Daktronics Inc...... com 234264109 17415 841709 SH Sole 410800 430909 Datalink Corp....... com 237934104 3244 350656 SH Sole 243056 107600 Dawson Geophysical Co................ com 239359102 4107 138295 SH Sole 92249 46046 Dealertrack Holdings com 242309102 17269 781032 SH Sole 534922 246110 Deltathree, Inc..... com 24783n102 1438 845802 SH Sole 573602 272200 Desarrolladora Homex ADR......... com 25030w100 16729 443044 SH Sole 297850 145194 Dril Quip Inc....... com 262037104 20154 297777 SH Sole 211388 86389 Dynamic Materials Corp.............. com 267888105 17751 547541 SH Sole 391170 156371 Edge Petroleum...... com 279862106 1160 70448 SH Sole 48692 21756 Edgewater Tech...... com 280358102 3850 675394 SH Sole 493294 182100 Electronic Clearing House, Inc........ com 285562500 4229 234929 SH Sole 161529 73400 Enbridge Energy Management Llc.... com ckc50x106 0 30271 SH Sole 30271 Englobal Corp....... com 293306106 4003 646702 SH Sole 398649 248053 Enpath Med Inc...... com 29355y105 1632 152274 SH Sole 105374 46900 Essex Corp.......... com 296744105 13206 758973 SH Sole 528240 230733 Euronet Worldwide, Inc............... com 298736109 8813 358977 SH Sole 242376 116601 Falconstar Software. com 306137100 7181 933836 SH Sole 613451 320385 First Advantage Corp CL A......... com 31845f100 479 22959 SH Sole 13903 9056 Flotek Inds Inc..... com 343389102 3726 241773 SH Sole 133908 107865 Focus Media Hldg Ltd ADR........... com 34415V109 53811 929059 SH Sole 630008 299051 Foundry Networks, Inc............... com 35063r100 359 27300 SH Sole 21000 6300 Foxhollow Technology com 35166a103 10742 314173 SH Sole 213900 100273 Fuel Tech Inc....... com 359523107 11098 745312 SH Sole 518324 226988 G-Market Inc ADR.... com 38012G100 18962 1273450 SH Sole 923200 350250 GMX Resources Inc... com 38011M108 10298 328053 SH Sole 224865 103188 Gaiam, Inc.......... com 36268q103 2143 165961 SH Sole 114761 51200 General Electric Co. com 369604103 538 15251 SH Sole 15251 Golden Eagle Minerals, Inc..... com 380961102 0 10000 SH Sole 10000 Golf Galaxy, Inc.... com 381639103 2248 172946 SH Sole 120153 52793 Graham Corp......... com 384556106 2173 122401 SH Sole 84701 37700 Healthextras, Inc... com 422211102 27446 969481 SH Sole 567124 402357
Healthspring, Inc... com 42224n101 17977 933851 SH Sole 663122 270729 Healthways, Inc..... com 422245100 13111 293959 SH Sole 193682 100277 Helix Energy........ com 42330p107 701 21000 SH Sole 20100 900 Helmerich & Payne... com 423452101 1393 60500 SH Sole 42500 18000 Henry Brothers Electronics, In... com 426286100 679 200200 SH Sole 141100 59100 Hercules Offshore... com 427093109 21898 705252 SH Sole 362895 342357 Hittite Microwave Corp.............. com 43365y104 427 9600 SH Sole 7400 2200 Hologic Inc......... com 436440101 1736 39900 SH Sole 36400 3500 Hurco Companies, Inc............... com 447324104 1352 56318 SH Sole 38962 17356 Hydril.............. com 448774109 1745 31134 SH Sole 29260 1874 I.D. 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Class A com 64126x201 305 11000 SH Sole 8500 2500 Newmont Mining...... com 651639106 855 20000 SH Sole 20000 Nighthawk Radiology Holdings,......... com 65411n105 14488 757367 SH Sole 514404 242963 Nuance Communications, Inc............... com 67020y100 641 78400 SH Sole 60000 18400 Numerex Corp........ com 67053A102 1426 141347 SH Sole 98047 43300 Nutrisystem Inc..... com 67069d108 2741 44000 SH Sole 40100 3900 OPNET Technologies Inc............... com 683757108 1211 92392 SH Sole 63992 28400 Oceaneering Int'l Inc............... com 675232102 6252 203000 SH Sole 55500 147500 Omrix Pharmaceuticals... com 681989109 2990 158786 SH Sole 109686 49100 Online Resources Corp.............. com 68273G101 9880 806558 SH Sole 554908 251650 Open Solutions...... com 68371p102 6025 209135 SH Sole 145335 63800 Oplink Communications, Inc............... com 68375q403 18134 907598 SH Sole 610683 296915 Optimal Group (A)... com 68388R208 5251 446519 SH Sole 309519 137000 Optionsxpress Hdlgs. com 684010101 748 26821 SH Sole 20615 6206 Origin Agritech Ltd. com G67828106 2642 217300 SH Sole 209200 8100 Pacificnet Inc ADR.. com 69511v207 1691 336905 SH Sole 233595 103310 Palomar Medical Technologies p.... com 697529303 5490 130099 SH Sole 90445 39654 Panera Bread Company com 69840W108 7588 130266 SH Sole 26725 103541 Penn Natl Gaming Inc............... com 707569109 314 8600 SH Sole 6600 2000 PeopleSupport Inc... com 712714302 396 21417 SH Sole 15117 6300 Perficient Inc...... com 71375U101 13650 870539 SH Sole 534767 335772 Petrohawk Energy Corp.............. com 716495106 14412 1385790 SH Sole 939302 446488 Pfizer, Inc......... com 717081103 238 8405 SH Sole 8405 Pioneer Drilling Co. com 723655106 10358 806674 SH Sole 561257 245417 Powerwave Technology com 739363109 108 14200 SH Sole 14200 Psychiatric Solutions, Inc.... com 74439H108 385 11300 SH Sole 8700 2600 Quality Systems, Inc............... com 747582104 3154 81301 SH Sole 57085 24216 Rackable Sys Inc.... com 750077109 15812 577727 SH Sole 392700 185027 Radyne Corp......... com 750611402 2233 182446 SH Sole 126446 56000 Rainmaker Systems, Inc............... com 750875304 1761 307885 SH Sole 213385 94500 Redback Networks Inc com 757209507 19220 1384753 SH Sole 732621 652132 Relm Wireless Corp.. com 759525108 2012 257596 SH Sole 178596 79000 Resmed Inc.......... com 761152107 328 8143 SH Sole 5618 2525 Rightnow Tech Inc... com 76657r106 10624 680570 SH Sole 463963 216607 Rowan Company Inc... com 779382100 313 9900 SH Sole 7300 2600 SI Int'l............ com 78427V102 1511 47258 SH Sole 32754 14504 Saba Software Inc... com 784932600 6746 1280133 SH Sole 827132 453001 Salix Pharmaceuticals, Ltd............... com 795435106 14476 1067583 SH Sole 715409 352174 Sani Tech Industry Inc............... com 801017104 0 11000 SH Sole 11000 Sciele Pharmaceutical.... com 808627103 12115 643031 SH Sole 448516 194515 Services Acquisition Corp Intl.............. com 817628100 3124 351025 SH Sole 243325 107700 Shuffle Master, Inc. com 825549108 11104 411105 SH Sole 287613 123492 Sierra Wireless, Inc............... com 826516106 11597 1011948 SH Sole 688790 323158 Sigma Designs, Inc.. com 826565103 1422 95098 SH Sole 65898 29200 Silicom Ltd......... com m84116108 586 85542 SH Sole 59242 26300 Silicon Motion Techn ADR......... com 82706C108 382 23000 SH Sole 21900 1100 Silver State Bancorp com 828251108 3143 126057 SH Sole 87357 38700 Sirenza Microdevices com 82966T106 4677 591989 SH Sole 356375 235614 Sohu.Com, Inc....... com 83408W103 1740 79000 SH Sole 75200 3800 Somanetics Corp..... com 834445405 4107 205744 SH Sole 151541 54203 Spectranetics Corp.. com 84760c107 7087 605700 SH Sole 427200 178500 Stamps Com Inc...... com 852857200 7916 415319 SH Sole 288189 127130 Standard & Poor's Depository R...... com 78462f103 200 1500 SH Sole 1500 Steven Madden Ltd... com 556269108 11428 291236 SH Sole 197318 93918
Streamline Health Solutions......... com 86323X106 1692 333051 SH Sole 230351 102700 Sumtotal Sys Inc.... com 866615107 4152 557319 SH Sole 383819 173500 Sunopta, Inc........ com 8676EP108 2330 220400 SH Sole 144500 75900 Suntech Power Holding Adr....... com 86800c104 4838 187300 SH Sole 174000 13300 Supertex, Inc....... com 868532102 16040 412670 SH Sole 289835 122835 Syneron Medical ADR............... com M87245102 17320 749778 SH Sole 506857 242921 T 3 Energy Services, Inc..... com 87306E107 1286 64057 SH Sole 44457 19600 TGC Industries, Inc. com 872417308 2479 302327 SH Sole 209122 93205 Techwell, Inc....... com 87874D101 3368 224849 SH Sole 155849 69000 Tessera Technologies, Inc............... com 88164L100 27307 785126 SH Sole 424504 360622 Tetra Technologies, Inc............... com 88162f105 532 22000 SH Sole 22000 Thestreet.com, Inc.. com 88368Q103 3123 293543 SH Sole 201043 92500 Thomas Group, Inc... com 884402108 2516 244968 SH Sole 169168 75800 Tradestation Group, Inc............... com 89267p105 13444 892126 SH Sole 617494 274632 Traffix............. com 892721101 583 111238 SH Sole 77238 34000 Transact Tech Inc... com 892918103 1914 215064 SH Sole 149064 66000 Travelzoo, Inc...... com 89421Q106 2689 93300 SH Sole 60400 32900 Trident Microsystems com 895919108 42116 1810661 SH Sole 1090969 719692 Trio Technology International..... com 896712205 825 69000 SH Sole 51400 17600 Turbochef Technologies, Inc............... com 900006206 22529 1620809 SH Sole 733157 887652 UFP Tech Inc........ com 902673102 529 100000 SH Sole 100000 US Home Systems, Inc............... com 90335C100 2368 250340 SH Sole 171540 78800 Ultra Petroleum Corp com 903914109 495 10283 SH Sole 7971 2312 VA Software Corp.... com 91819b105 3646 907050 SH Sole 628850 278200 Valueclick, Inc..... com 92046N102 20733 1118295 SH Sole 759376 358919 Vasco Data Sec...... com 92230Y104 26310 2539619 SH Sole 1688701 850918 Veritas DGC Inc..... com 92343P107 27078 411399 SH Sole 276463 134936 Visicu, Inc......... com 92831L204 1127 125598 SH Sole 86298 39300 Vital Images, Inc... com 92846N104 17268 546809 SH Sole 383014 163795 Vocus,Inc........... com 92858J108 4935 312734 SH Sole 216334 96400 Volcom Inc.......... com 92864n101 11310 501775 SH Sole 342554 159221 Walgreen Company.... com 931422109 386 8700 SH Sole 8700 Website Pros Inc.... com 94769V105 2999 276121 SH Sole 192121 84000 Wellcare Health Plans............. com 94946t106 12017 212200 SH Sole 52600 159600 Zoltek Companies Inc............... com 98975W104 16955 663600 SH Sole 466617 196983 Zumiez Inc.......... com 989817101 13801 511148 SH Sole 348400 162748 aQuantive, Inc...... com 03839G105 39286 1663258 SH Sole 952181 711077
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