-----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, KkzxpXxGTYyGQUUeRjwkP5BAhIKM8aQ/R26DtuYzsvoklhtZ+aYrabE3r5+YGuE1 UjI+luBg/JpnnWkr17MVFw== 0001144204-09-059371.txt : 20091116 0001144204-09-059371.hdr.sgml : 20091116 20091116101502 ACCESSION NUMBER: 0001144204-09-059371 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-04688 FILM NUMBER: 091184173 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 1 v165863_13fhr.txt FORM 13F HOLDINGS REPORT 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, 2009 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: 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: /s/ Patrick B. Joyce Lisle, IL November 13, 2009 - ------------------------ ------------------------ ------------------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of other Included Managers: ______________ Form 13F Information Table Entry Total: 173 Data Records Form 13F Information Table Value Total: $567,129 (thousands) 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 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3PAR, Inc. com 88580F109 864 78300 SH SOLE 64500 13800 3SBio Inc ADR com 88575Y105 3607 327900 SH SOLE 327900 APAC Customer Services, Inc. com 00185E106 1238 209200 SH SOLE 149200 60000 Abaxis, Inc. com 002567105 1792 67000 SH SOLE 55300 11700 Acacia Research-Acacia Tech com 003881307 7110 816350 SH SOLE 595270 221080 Access National Corp. com 004337101 363 57700 SH SOLE 41186 16514 Allion Healthcare, Inc. com 019615103 2628 449300 SH SOLE 343100 106200 Almost Family, Inc. com 020409108 4150 139500 SH SOLE 107700 31800 Alpha Pro Tech Ltd. com 020772109 4275 763320 SH SOLE 587600 175720 American CareSource Holdings, com 02505A103 3470 793980 SH SOLE 544630 249350 American Dairy Inc. com 025334103 2958 104400 SH SOLE 104400 American Public Education, Inc com 02913V103 960 27633 SH SOLE 23059 4574 American Science & Engr. Inc. com 029429107 1602 23540 SH SOLE 19340 4200 American Superconductor com 030111108 6355 189472 SH SOLE 151970 37502 Amtech Systems, Inc. com 032332504 1114 210200 SH SOLE 162300 47900 Arcsight, Inc. com 039666102 13834 574760 SH SOLE 431700 143060 Arena Resources, Inc. com 040049108 3101 87340 SH SOLE 65300 22040 Art Technology Group Inc. com 04289L107 5022 1301100 SH SOLE 1047000 254100 AsiaInfo com 04518A104 12302 616047 SH SOLE 546600 69447 Ata Inc. com 00211V106 2229 397600 SH SOLE 397600 Athena Health, Inc. com 04685W103 4569 119080 SH SOLE 89580 29500 Atwood Oceanics, Inc. com 050095108 1809 51300 SH SOLE 42700 8600 BHP Billiton Ltd. ADR com 088606108 236 3577 SH SOLE 3577 Baidu Inc. Spon ADR com 056752108 8049 20583 SH SOLE 17436 3147 Barrett Bill Corp. com 06846N104 1387 42300 SH SOLE 35200 7100 Blackboard com 091935502 1149 30400 SH SOLE 25000 5400 Bofi Holding, Inc. com 05566U108 777 92300 SH SOLE 69740 22560 Boots & Coots International com 099469504 1114 691900 SH SOLE 530500 161400 Bridgepoint Education, Inc. com 10807M105 1308 85700 SH SOLE 70700 15000 Buffalo Wild Wings, Inc. com 119848109 3516 84500 SH SOLE 68736 15764 CPI Aerostructures, Inc. com 125919308 760 104160 SH SOLE 75735 28425 CTRIP Com Int'l Ltd ADR com 22943F100 6485 110300 SH SOLE 110300 Carbo Ceramics, Inc. com 140781105 1036 20100 SH SOLE 16500 3600 Carrizo Oil & Gas, Inc. com 144577103 6320 258072 SH SOLE 180826 77246 Catalyst Health Solutions, Inc com 14888B103 4041 138623 SH SOLE 114223 24400 Central European Distribution com 153435102 4931 150511 SH SOLE 114640 35871 Changyou.com Ltd. ADR com 15911M107 2205 62080 SH SOLE 62080 China Distance Educ Hldgs Ltd com 16944W104 2267 314800 SH SOLE 314800 China Education Alliance, Inc. com 16938Y207 791 150000 SH SOLE 150000 China Fire & Security Group com 16938R103 1642 85500 SH SOLE 85500 China Green Agriculture, Inc. com 16943W105 4089 348900 SH SOLE 329500 19400 China Grentech Corp. Ltd. ADR com 16938P107 1488 313200 SH SOLE 313200 China Mass Media Int-SP ADR com 169418100 469 130000 SH SOLE 130000 China Natural Gas, Inc. com 168910206 3938 324900 SH SOLE 324900 China Transinfo Technology com 169453107 810 85600 SH SOLE 85600 China-Biotics, Inc. com 16937B109 3200 200000 SH SOLE 200000 Chinacast Education Corp. com 16946T109 4705 647200 SH SOLE 647200 Cisco Systems, Inc. com 17275R102 246 10467 SH SOLE 10467 Citi Trends, Inc. com 17306X102 1893 66500 SH SOLE 50900 15600 Clarient, Inc com 180489106 1130 268400 SH SOLE 207100 61300 Clicksoftware Technologies Ltd com M25082104 7131 1133720 SH SOLE 822800 310920 Cninsure, Inc com 18976M103 5432 236600 SH SOLE 236600 Compellent Technologies Inc. com 20452A108 1025 56800 SH SOLE 46400 10400 Conmed Healthcare Management com 20741M103 611 184093 SH SOLE 141093 43000 Craft Brewers Alliance, Inc. com 224122101 759 203600 SH SOLE 156900 46700 Cybersource Corp com 23251J106 1189 71300 SH SOLE 58700 12600 Cypress Biosciences Inc com 232674507 4898 599500 SH SOLE 472300 127200 DG Fastchannel, Inc. com 23326r109 10748 513270 SH SOLE 391520 121750 Deckers Outdoor Corp com 243537107 1424 16780 SH SOLE 13780 3000 Deer Consumer Products, Inc. com 24379J200 1375 73500 SH SOLE 73500 Demandtec, Inc. com 24802R506 1966 222700 SH SOLE 171800 50900 Diedrich Coffee, Inc. com 253675201 2222 92400 SH SOLE 71400 21000 Dolan Media Company com 25659P402 1456 121400 SH SOLE 99900 21500 Double Eagle Petroleum com 258570209 517 108200 SH SOLE 85300 22900 Duoyuan Global Water, Inc. ADR com 266043108 4254 128900 SH SOLE 128900 E-House China Holdings-ADS com 26852W103 11445 535804 SH SOLE 430500 105304 Ebix Inc. com 278715206 3366 60805 SH SOLE 42715 18090 Ecology and Environment, Inc. com 278878103 1310 81586 SH SOLE 60431 21155 Egain Communications Corp. com 28225C806 33 39500 SH SOLE 29400 10100 Emergent Biosolutions, Inc. com 29089Q105 2393 135500 SH SOLE 111500 24000 Emergent Group, Inc. com 29089V203 1902 266800 SH SOLE 201200 65600 Endologix, Inc. com 29266S106 6300 1017800 SH SOLE 790200 227600 Enernoc, Inc. com 292764107 2129 64200 SH SOLE 53000 11200 Female Health Company com 314462102 4263 844100 SH SOLE 655000 189100 Fuel Tech Inc. com 359523107 5734 512000 SH SOLE 396500 115500 Full House Resorts, Inc. com 359678109 65 23900 SH SOLE 23900 G III Apparel Group Ltd. com 36237H101 3482 246100 SH SOLE 189700 56400 GMX Resources Inc com 38011M108 4064 258676 SH SOLE 196288 62388 GSE Systems com 36227K106 6025 968720 SH SOLE 722810 245910 General Electric Co. com 369604103 216 13124 SH SOLE 13124 Genoptix Inc. com 37243V100 7688 221060 SH SOLE 177180 43880 Geoeye, Inc. com 37250W108 890 33200 SH SOLE 27300 5900 Geokinetics Inc. com 372910307 1957 92300 SH SOLE 71700 20600 Georesources Inc. com 372476101 1783 161400 SH SOLE 124600 36800 Gerber Scientific, Inc. com 373730100 77 12900 SH SOLE 12900 Goodrich Petroleum Corp. com 382410405 890 34500 SH SOLE 28300 6200 Grand Canyon Education, Inc. com 38526M106 2523 141496 SH SOLE 116396 25100 Green Mtn Coffee com 393122106 6336 85809 SH SOLE 65070 20739 HMS Holdings Corp. com 40425J101 2135 55850 SH SOLE 44600 11250 Health Grades Inc com 42218q102 2858 577400 SH SOLE 445300 132100 Herley Industries, Inc. com 427398102 2233 171100 SH SOLE 133800 37300 Hi-Tech Pharmacal com 42840B101 8877 395600 SH SOLE 302400 93200 Hill International, Inc. com 431466101 75 10600 SH SOLE 10600 Home Inns & Hotels Mgmt com 43713W107 13099 438830 SH SOLE 361400 77430 Human Genome Science com 444903108 8693 461907 SH SOLE 327907 134000 ICF International Inc. com 44925C103 1428 47100 SH SOLE 36300 10800 IPC The Hospitalist Co. com 44984A105 13143 417900 SH SOLE 333880 84020 Idera Pharmaceuticals, Inc. com 45168K306 1275 172100 SH SOLE 131600 40500 Illumina Inc com 452327109 2059 48446 SH SOLE 12664 35782 Imax Corp. com 45245E109 7351 781240 SH SOLE 633340 147900 Immunomedics, Inc. com 452907108 3557 644300 SH SOLE 486600 157700 Intelli-Check - Mobilisa Inc. com 45817G102 308 205100 SH SOLE 156500 48600 Intellon Corp. com 45816W504 2105 296900 SH SOLE 227600 69300 Interdigital, Inc. com 45867G101 1838 79350 SH SOLE 65300 14050 Ista Pharmaceuticals, Inc. com 45031X204 1222 273900 SH SOLE 209000 64900 Johnson & Johnson com 478160104 223 3667 SH SOLE 3667 Kongzhong Corp. ADR com 50047P104 4050 282800 SH SOLE 282800 Kulicke & Soffa Inds, Inc. com 501242101 1672 277300 SH SOLE 228900 48400 LHC Group, Inc. com 50187A107 1574 52600 SH SOLE 43700 8900 Lannett Company, Inc. com 516012101 1305 174500 SH SOLE 134600 39900 Lasercard Corp com 51807U101 2475 293200 SH SOLE 217600 75600 Lincoln EDL Svcs com 533535100 3392 148230 SH SOLE 109540 38690 Lions Gate Entertainment Corp. com 535919203 813 131900 SH SOLE 109000 22900 Liveperson, Inc. com 538146101 1216 241300 SH SOLE 183000 58300 Logmein, Inc. com 54142L109 438 23900 SH SOLE 19700 4200 Longtop Financial Techno ADR com 54318P108 10253 360277 SH SOLE 342125 18152 Majesco Entertainment com 560690208 314 229300 SH SOLE 169900 59400 Mastec Inc. com 576323109 1149 94600 SH SOLE 77500 17100 Maxwell Technologies, Inc. com 577767106 5560 301700 SH SOLE 231000 70700 Maxygen, Inc. com 577776107 1456 217600 SH SOLE 166100 51500 Mcdonald's com 580135101 223 3900 SH SOLE 3900 Medidata Solutions, Inc. com 58471A105 1668 110100 SH SOLE 90700 19400 Merrimac Industries, Inc. com 590262101 1445 187700 SH SOLE 143500 44200 Microsoft Corp. com 594918104 424 16370 SH SOLE 16370 Multiband Corp. com 62544X209 647 308300 SH SOLE 232927 75373 NCI Inc-Class A com 62886K104 1109 38700 SH SOLE 29800 8900 NPS Pharmaceuticals com 62936P103 1484 369100 SH SOLE 280800 88300 NVE Corp. com 629445206 3668 69000 SH SOLE 52600 16400 Neptune Tech & Bioressources com 64077P108 438 244500 SH SOLE 186200 58300 Netease.Com, Inc. com 64110W102 3773 82600 SH SOLE 82600 Netlogic Microsystems com 64118B100 3309 73540 SH SOLE 60200 13340 Neutral Tandem, Inc. com 64128B108 4926 216418 SH SOLE 164880 51538 New Oriental Education com 647581107 7112 88400 SH SOLE 86800 1600 Novatel Wireless, Inc. com 66987M604 8244 725690 SH SOLE 549890 175800 Panhandle Oil & Gas Inc. com 698477106 2004 93800 SH SOLE 72300 21500 Pegasystems Inc. com 705573103 10467 303122 SH SOLE 241190 61932 Perfect World ADR com 71372U104 8894 184900 SH SOLE 141800 43100 Permafix Environmental Service com 714157104 7191 3073210 SH SOLE 2245900 827310 Phase Forward com 71721R406 1772 126200 SH SOLE 104000 22200 Poniard Pharmaceuticals, Inc. com 732449301 80 10700 SH SOLE 10700 Privatebancorp, Inc. com 742962103 3564 145710 SH SOLE 109330 36380 Repligen Corp com 759916109 4082 814700 SH SOLE 624700 190000 Richmont Mines, Inc. com 76547T106 2063 699400 SH SOLE 541300 158100 Rino International Corp. com 766883102 4029 190600 SH SOLE 190600 Rosetta Stone, Inc. com 777780107 413 18000 SH SOLE 14900 3100 Rrsat Global Communications com M8183P102 2067 160200 SH SOLE 139100 21100 STEC Inc. com 784774101 4470 152076 SH SOLE 114360 37716 SXC Health Solutions Corp. com 78505P100 6677 142700 SH SOLE 126700 16000 Semitool, Inc. com 816909105 2613 309200 SH SOLE 238500 70700 Shanda Interactive Entmt, Ltd com 81941Q203 2120 41400 SH SOLE 41400 Sharps Compliance Corp. com 820017101 2231 226495 SH SOLE 174318 52177 Sinovac Biotech, Ltd. com P8696W104 2109 254400 SH SOLE 250400 4000 Sohu.Com, Inc. com 83408W103 3195 46450 SH SOLE 46450 Sonic Foundry Inc. com 83545R108 32 50600 SH SOLE 36200 14400 Sourcefire, Inc. com 83616T108 6530 304162 SH SOLE 238400 65762 Starent Networks Corp. com 85528P108 8820 346956 SH SOLE 279795 67161 Summer Infant, Inc. com 865646103 1904 383800 SH SOLE 281300 102500 Synovis Life Technologies, Inc com 87162G105 3251 235600 SH SOLE 180700 54900 T 3 Energy Services, Inc. com 87306E107 2356 119600 SH SOLE 92700 26900 Telecommunication Systems com 87929J103 5873 702500 SH SOLE 548300 154200 Thoratec Corp. com 885175307 3813 125950 SH SOLE 95710 30240 Titan Machinery, Inc. com 88830R101 911 72800 SH SOLE 56700 16100 Tongxin International Ltd. com G8918T103 1893 198598 SH SOLE 139098 59500 Transcend Services, Inc. com 893929208 1592 91100 SH SOLE 69700 21400 True Religion Apparel Inc. com 89784N104 10403 401210 SH SOLE 312060 89150 Vanceinfo Technologies com 921564100 5925 304775 SH SOLE 288675 16100 Visionchina Media Inc ADR com 92833U103 2278 286180 SH SOLE 263380 22800 Vistaprint NV com N93540107 2380 46900 SH SOLE 38700 8200 Vocus Inc. com 92858J108 3806 182200 SH SOLE 140700 41500 Walgreen Company com 931422109 326 8700 SH SOLE 8700 Wonder Auto Technology, Inc. com 978166106 5829 485714 SH SOLE 482714 3000 Xata Corp. com 983882309 673 231900 SH SOLE 172300 59600 Yongye International, Inc. com 98607B106 6665 798200 SH SOLE 718500 79700
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