-----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, A39GWdf1mwfHufe541r64DNVv3Y/9MBGwwJZ+uXG+U54wKVnmJJq/qGoLo+kjv+l 8qzMtmITSi5Ty1itIkqYJg== 0001021408-01-504451.txt : 20021127 0001021408-01-504451.hdr.sgml : 20021127 20010803141212 ACCESSION NUMBER: 0001021408-01-504451 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010630 FILED AS OF DATE: 20010803 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: 01697106 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: June 30, 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 August 2, 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 manager 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: 206 Data Records ------------------- Form 13F Information Table Value Total: $ 177,306 ------------------- (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 June 30, 2001
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 - ------------------------------ -------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 1-800 Contacts, Inc. com 681977104 744 30000 SH Sole 30000 A.C.L.N. Ltd. com M01764105 1064 33500 SH Sole 30000 3500 Abbott Laboratories com 002824100 211 4400 SH Sole 4400 Act Teleconferencing, Inc. com 000955104 192 30700 SH Sole 20000 10700 Actrade Financial Technologies com 00507p102 1795 75950 SH Sole 40000 35950 Acxiom Corp. com 005125109 166 12700 SH Sole 12700 AdvancePCS com 00790K109 9563 149300 SH Sole 125000 24300 Albany Molecular Res com 012423109 258 6800 SH Sole 6000 800 Amtech Systems, Inc. com 032332504 191 20000 SH Sole 20000 Andrx Group com 034553107 7613 98870 SH Sole 85000 13870 Ansoft Corporation com 036384105 510 30000 SH Sole 30000 Aremissoft Corporation com 040026106 1018 62860 SH Sole 20000 42860 Arthrocare Corp. com 043136100 204 7800 SH Sole 7800 Ascential Software Co. com 04362p108 93 16000 SH Sole 16000 Astropower, Inc. com 04644A101 1147 22000 SH Sole 20000 2000 Atwood Oceanics, Inc. com 050095108 221 6300 SH Sole 6300 Avant! Corporation com 053487104 213 16000 SH Sole 16000 Avert, Inc. com 053596102 1473 68050 SH Sole 40000 28050 Avnet, Inc. com 053807103 238 10614 SH Sole 10614 Axcan com 054923107 315 27400 SH Sole 19400 8000 Barr Labs com 068306109 464 6700 SH Sole 6700 Bioanalytical Systems, Inc. com 09058M103 1195 133500 SH Sole 80000 53500 Biovail Corp. Intl. com 09067K106 348 8000 SH Sole 8000 Bradley Pharmaceuticals, Inc. com 104576103 502 97500 SH Sole 97500 Buca, Inc. com 117769109 739 34000 SH Sole 20000 14000 Cabot Microelectronics Corp. com 12709p103 1247 20120 SH Sole 6000 14120 Caminus Corp. com 133766105 1579 58550 SH Sole 40000 18550 Carbo Ceramics, Inc. com 140781105 1443 38950 SH Sole 30000 8950 Carreker Corporation com 144433109 1075 50000 SH Sole 40000 10000 Carrizo Oil & Gas, Inc. com 144577103 135 25000 SH Sole 25000 Casey's General Stores com 147528103 260 20000 SH Sole 20000 Catalina Marketing Corp. com 148867104 458 15000 SH Sole 15000 Catapult Communications com 149016107 1222 54300 SH Sole 40000 14300 Central European com 153435102 445 99200 SH Sole 60000 39200 Ceradyne Inc. com 156710105 243 30000 SH Sole 30000 Chicago Pizza & Brewery com 167889104 667 132000 SH Sole 100000 32000 Chico's Fas Inc. com 168615102 5937 199570 SH Sole 156900 42670 Christopher & Banks Corp. com 171046105 2006 61537 SH Sole 45000 16537
1 Oberweis Asset Management, Inc. FORM 13F June 30, 2001
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 - ------------------------------ -------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Clark/Bardes Holdings, Inc. com 180668105 452 20000 SH Sole 20000 Closure Medical Corp. com 189093107 758 33000 SH Sole 30000 3000 Collectors Universe com 19421R101 111 58200 SH Sole 58200 Comtech Telecommunications Cor com 205826209 393 28100 SH Sole 24100 4000 Creo Products, Inc. com 225606102 405 22000 SH Sole 18000 4000 Crown Group, Inc. com 228359105 75 20000 SH Sole 20000 Cymer Inc. com 232572107 243 9600 SH Sole 9600 Cytyc Corp. com 232946103 2191 95050 SH Sole 31000 64050 DRS Technologies com 252456405 639 27800 SH Sole 27800 De Rigo SPA ADR com 245334107 328 38000 SH Sole 30000 8000 Digital Lightwave Inc. com 253855100 1485 40175 SH Sole 36900 3275 Duramed Pharmaceuticals, Inc. com 266354109 1211 67700 SH Sole 50000 17700 Dynacq International, Inc. com 267919306 385 20000 SH Sole 20000 E.Funds Corp. com 28224R101 829 44575 SH Sole 12000 32575 EGL, Inc. com 270018104 196 11250 SH Sole 11250 Ectel Ltd. com M29925100 1232 85000 SH Sole 60000 25000 Edge Petroleum com 279862106 187 32000 SH Sole 30000 2000 Emmis Broadcasting Corp. - CL com 291525103 229 7442 SH Sole 7442 Epiq Systems, Inc. com 26882D109 885 34450 SH Sole 21300 13150 Equity Oil Company com 294749106 121 40000 SH Sole 40000 Evolving Systems, Inc. com 30049R100 198 35300 SH Sole 35300 Expeditors Intl Wash, Inc. com 302130109 720 12000 SH Sole 12000 Express Scripts A com 302182100 495 9000 SH Sole 9000 FEI Co. com 30241L109 658 16040 SH Sole 10000 6040 FTI Consulting Inc. com 302941109 708 32500 SH Sole 25000 7500 Famous Dave's of America com 307068106 1525 157700 SH Sole 80000 77700 Fibercore, Inc. com 31563b109 2867 440400 SH Sole 300000 140400 First Horizon Pharmaceuticals com 32051K106 1049 32680 SH Sole 15000 17680 Flour City International, Inc. com 343858205 143 46000 SH Sole 46000 Food Technology Service, Inc. com 344798103 50 23600 SH Sole 23600 Frenchtex com 357814102 0 25000 SH Sole 25000 Frequency Electronic, Inc. com 358010106 1221 66000 SH Sole 60000 6000 Frontline Ltd. ADR com 35921R102 580 33900 SH Sole 15000 18900 Ftd.com com 30265F103 738 104200 SH Sole 47100 57100 General Electric Co. com 369604103 370 7600 SH Sole 7600 Gentex Corp. com 371901109 390 14000 SH Sole 14000 Gentner Communications com 37245J105 1584 149450 SH Sole 100000 49450 Golden Eagle Minerals, Inc. com 380961102 1 10000 SH Sole 10000
2 Oberweis Asset Management, Inc. FORM 13F June 30, 2001
Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title 0f Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Hanover Compressor Company com 410768105 371 11200 SH Sole 7000 4200 Headwaters, Inc. com 42210p102 3021 188800 SH Sole 120000 68800 Healthcare.com Corp. com 42221Y100 383 83800 SH Sole 80000 3800 Healthtronics, Inc. com 4222l1076 300 30000 SH Sole 30000 Homestore.com com 437852106 332 9500 SH Sole 6000 3500 Hot Topic Inc. com 441339108 2933 94300 SH Sole 80000 14300 Hotel Reservations Network, In com 441451101 233 5000 SH Sole 5000 ICT Group com 44929Y101 517 32000 SH Sole 32000 Icon PLC com 45103t107 543 18000 SH Sole 15000 3000 Idexx Laboratories, Inc. com 45168d104 287 9200 SH Sole 9200 Innodata Corp. com 457642106 152 49200 SH Sole 34200 15000 Innoveda, Inc. com 45769f102 128 50000 SH Sole 50000 Integra Lifesciences com 457985208 541 25000 SH Sole 25000 Integrity, Inc. Class A com 45817Y103 227 40000 SH Sole 40000 Interactive Systems Worldwide, com 45840f105 140 50000 SH Sole 50000 Interlogix com 458763109 1423 39000 SH Sole 30000 9000 Interpore Intl. com 46062W107 99 20000 SH Sole 20000 Intranet Solutions, Inc. com 460939309 2955 77660 SH Sole 50000 27660 Invitrogen Corp. com 46185r100 215 3000 SH Sole 3000 Ixys Corporation com 46600w106 624 40000 SH Sole 40000 K.V. Pharmaceutical Co. com 482740206 555 20000 SH Sole 20000 Key Production Company, Inc. com 493138101 956 57400 SH Sole 40000 17400 Kieth Cos, Inc. com 487539108 348 20000 SH Sole 20000 King Pharmaceuticals Inc. com 495582108 1182 22000 SH Sole 20000 2000 Knight Transportation com 499064103 509 24750 SH Sole 24750 Lennar Corp. com 526057104 222 5315 SH Sole 5315 M-Wave, Inc. com 554034108 560 80000 SH Sole 80000 Macrovision Corp. com 555904101 288 4200 SH Sole 4000 200 Magnum Hunter Resources, Inc. com 55972F203 178 20000 SH Sole 20000 Matec Corp. com 576668107 127 30000 SH Sole 30000 Measurement Specialties Inc. com 583421102 379 22600 SH Sole 10000 12600 Mercury Interactive Corp. com 589405109 323 5400 SH Sole 4000 1400 Meridian Medical Technologies, com 589658103 794 59900 SH Sole 59900 Meridian Resource Corp. com 58977q109 560 80000 SH Sole 80000 Metasolv, Inc. com 59139P104 515 65000 SH Sole 60000 5000 Micro General Corp. com 594838302 653 39800 SH Sole 39800 Microchip Technology, Inc. com 595017104 325 9712 SH Sole 9712 Mitchell Energy com 606592202 289 6200 SH Sole 6000 200
3 Oberweis Asset Management, Inc. FORM 13F June 30, 2001
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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Moldflow Corp. com 608507109 678 44000 SH Sole 40000 4000 Monterey Pasta Co. com 612570101 3035 381700 SH Sole 297000 84700 Multex.com, Inc. com 625367107 1211 74550 SH Sole 50000 24550 NCI Building Systems, Inc. com 628852105 292 16000 SH Sole 16000 NU Horizons Electronics Corp. com 669908105 427 45000 SH Sole 45000 Neogen com 640491106 1009 77900 SH Sole 40000 37900 Neoware Systems com 64065P102 373 143300 SH Sole 100000 43300 Newfield Exploration com 651290108 256 8000 SH Sole 8000 Newport Corp. com 651824104 242 9115 SH Sole 5000 4115 Nova Corp/Georgia com 669784100 356 11325 SH Sole 11325 Novel Denim Holdings com G6674P109 283 18500 SH Sole 18500 Occidental Petroleum Corp. com 674599105 599 22524 SH Sole 22524 Odwalla Inc. com 676111107 273 26500 SH Sole 26500 Opnet Technologies com 683757108 411 23000 SH Sole 20000 3000 Optical Communication Producti com 68382T101 1107 104000 SH Sole 100000 4000 Optimal Robotics Corp. com 68388R208 2009 52880 SH Sole 40000 12880 P.F. Changs China Bistro com 69333y108 2256 59525 SH Sole 40000 19525 PEC Solutions, Inc. com 705107100 1231 55700 SH Sole 50000 5700 Panera Bread Co. com 69840W108 1067 33800 SH Sole 30000 3800 Patterson Dental Co. com 703412106 462 14000 SH Sole 14000 Pemstar, Inc. com 706552106 1048 71400 SH Sole 50000 21400 Pennichuck Corporation com 708254206 313 10000 SH Sole 10000 Pericom Semiconductor com 713831105 157 10000 SH Sole 10000 Petroquest Energy, Inc. com 716748108 784 112000 SH Sole 100000 12000 Pixelworks, Inc. com 72581M107 286 8000 SH Sole 8000 Polycom Inc. com 73172K104 321 13900 SH Sole 12000 1900 Polymedica Corp. com 731738100 4857 119915 SH Sole 98000 21915 Possis Medical, Inc. com 737407106 120 10000 SH Sole 10000 Pricesmart, Inc. com 741511109 1476 33930 SH Sole 20000 13930 Prima Energy Corp. com 741901201 1772 73545 SH Sole 60000 13545 Professional Detailing, Inc. com 74312N107 1214 13200 SH Sole 10000 3200 Qlogic Corp. com 747277101 2075 32200 SH Sole 30000 2200 RPC, Inc. com 749660106 923 65000 SH Sole 60000 5000 Radvision Ltd. com M81869105 124 20000 SH Sole 20000 Radware, Ltd. com M81873107 667 36955 SH Sole 20000 16955 Railamerica Inc. com 750753105 228 20000 SH Sole 20000 Rare Hospitality Intl., Inc. com 753820109 407 18000 SH Sole 18000 Raymond James Financial com 754730109 223 7300 SH Sole 7300
4 Oberweis Asset Management, Inc. FORM 13F June 30, 2001
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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Regeneration Tech, Inc. com 75886N100 132 15000 SH Sole 15000 Remington Oil & Gas com 759594302 2679 140975 SH Sole 100000 40975 Right Management Consultants com 766573109 626 24000 SH Sole 24000 Rit Technologies Ltd. com m8215n109 287 70050 SH Sole 35000 35050 Rofin-Sinar Technologies com 775043102 405 30000 SH Sole 30000 Rudolph Tech., Inc. com 781270103 1015 21600 SH Sole 19500 2100 SEI Corp. com 784117103 379 8000 SH Sole 8000 SFBC International, Inc. com 784121105 1502 51800 SH Sole 40000 11800 Sani Tech Industry Inc. com 801017104 0 11000 SH Sole 11000 ScanSource, Inc. com 806037107 2513 53000 SH Sole 50000 3000 Scottish Annunity com G7885T104 972 57200 SH Sole 50000 7200 Sento Corp. com 816918106 70 40700 SH Sole 40700 Serena Software Inc. com 817492101 796 21900 SH Sole 8000 13900 Sherwood Brands, Inc. com 82437l104 109 23200 SH Sole 23200 Sicor, Inc. com 825846108 1987 86000 SH Sole 80000 6000 Skechers USA, Inc. com 830566105 3052 104430 SH Sole 62000 42430 SonicWall, Inc. com 835470105 1588 63000 SH Sole 55000 8000 Spartech Corp. com 847220209 273 11300 SH Sole 11300 Stericycle, Inc. com 858912108 599 12750 SH Sole 12750 Stratos Lightwave, Inc. com 863100103 1423 109500 SH Sole 100000 9500 Sunrise Assisted Living com 86768K106 2305 87800 SH Sole 50000 37800 Suprema Specialties, Inc. com 86859f107 4542 307900 SH Sole 220000 87900 Synplicity, Inc. com 87160Y108 556 55500 SH Sole 50000 5500 TRC Companies, Inc. com 872625108 892 22200 SH Sole 11900 10300 TTI Team Telecom com m88258104 642 33000 SH Sole 30000 3000 Talx Corporation com 874915105 799 20000 SH Sole 20000 Teknowledge Corp. com 878919208 97 17700 SH Sole 17700 Teleflex, Inc. com 879369106 400 9100 SH Sole 9100 Telular Corp. com 87970t208 778 77200 SH Sole 40000 37200 Tetra Tech, Inc. com 88162g103 396 14553 SH Sole 14553 The Bisys Group, Inc. com 055472104 495 8392 SH Sole 8392 Tiffany & Co. com 886547108 384 10600 SH Sole 10600 Triton Energy 'A' com G90751101 665 20300 SH Sole 10000 10300 Tweeter Home Entertainment com 901167106 212 6000 SH Sole 6000 U.S. Energy Systems, Inc. com 902951102 186 29200 SH Sole 29200 U.S. Laboratories com 90333T105 383 39000 SH Sole 37000 2000 United Natural Foods, Inc. com 911163103 510 24350 SH Sole 24350 Universal American Financial com 913377107 217 35000 SH Sole 35000
5 Oberweis Asset Management, Inc. FORM 13F June 30, 2001
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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Vans, Inc. com 921930103 352 15000 SH Sole 15000 Verisity LTD. com M97385112 880 55000 SH Sole 50000 5000 Verity Inc. com 92343C106 1896 95055 SH Sole 65000 30055 ViaSat Inc. com 92552V100 1313 55000 SH Sole 50000 5000 Vintage Petroleum com 927460105 1228 65653 SH Sole 50000 15653 Virage Logic Corp. com 92763R104 991 64000 SH Sole 60000 4000 Walgreen Company com 931422109 276 8000 SH Sole 8000 Waste Connections, Inc. com 941053100 792 22000 SH Sole 20000 2000 Wendy's International Inc. com 950590109 209 8200 SH Sole 8200 White Electronics Designs com 963801105 191 44000 SH Sole 44000 Whole Foods Market, Inc. com 966837106 398 14700 SH Sole 14700 Wilson Greatbatch Tech com 972232102 493 17000 SH Sole 15000 2000 Wind River Systems com 973149107 314 18000 SH Sole 18000 Xetel Corporation com 983942103 160 60000 SH Sole 60000 Zebra Technologies Corp.-Cl A com 989207105 475 9670 SH Sole 9670 Zevex International, Inc. com 98950E400 864 239900 SH Sole 239900 REPORT SUMMARY 206 DATA RECORDS 177306 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
Do not save screen as a text file. This report automaticallu creates the text file infiable.txt, which meets all SEC filing requirements. For details on the location of this file, see your 705 Report documentation. 6 -----END PRIVACY-ENHANCED MESSAGE-----