-----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, EOPYjnh4pz1lJ32ZLNYllcBEjxeEMuKAPH+dWWOKtKi2d4zowDrJIucy5FRJv9Zo sR7sSMnyRVEx9a8PblA8rA== 0001144204-10-060308.txt : 20101115 0001144204-10-060308.hdr.sgml : 20101115 20101115110532 ACCESSION NUMBER: 0001144204-10-060308 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 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: 101189929 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 v202606_13fhr.txt 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, 2010 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 15, 2010 - ------------------------ ------------------------ ------------------- [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: 207 Data Records Form 13F Information Table Value Total: $554,947 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3SBio Inc ADR com 88575Y105 3934 303109 SH Sole 303109 51Job Inc. ADR com 316827104 7914 211200 SH Sole 201200 10000 ADDvantage Technologies Group, com 006743306 80 27100 SH Sole 22300 4800 APAC Customer Services, Inc. com 00185E106 434 76600 SH Sole 55500 21100 Acacia Research-Acacia Tech com 003881307 12055 684920 SH Sole 489860 195060 Acme Packet Inc. com 004764106 8144 214650 SH Sole 185490 29160 AdCare Health Systems, Inc. com 00650W300 1358 393750 SH Sole 306495 87255 Adept Technology, Inc. com 006854202 1234 212400 SH Sole 165300 47100 Advanced Energy Industry, Inc. com 007973100 1754 134300 SH Sole 112300 22000 Align Technology, Inc. com 016255101 2923 149300 SH Sole 125500 23800 Almost Family, Inc. com 020409108 1793 60500 SH Sole 46200 14300 Alpha & Omega Semiconductor com G6331P104 1456 128200 SH Sole 107500 20700 Ambow Education Holding ADR com 02322P101 2693 270400 SH Sole 270400 American Science & Engr. Inc. com 029429107 1996 27100 SH Sole 22700 4400 American Superconductor com 030111108 9001 289412 SH Sole 243850 45562 Amerigon, Inc. com 03070L300 6930 672855 SH Sole 474700 198155 Amtech Systems, Inc. com 032332504 3833 213420 SH Sole 143500 69920 Ancestry.com, Inc. com 032803108 1206 53000 SH Sole 44700 8300 Arcsight, Inc. com 039666102 6344 145677 SH Sole 112900 32777 Aruba Networks Inc. com 043176106 6152 288290 SH Sole 212400 75890 AsiaInfo-Linkage, Inc. com 04518A104 5045 255700 SH Sole 242600 13100 Autonavi Holdings Ltd. ADR com 05330F106 2475 141400 SH Sole 141400 Axcelis Technologies com 054540109 198 102400 SH Sole 102400 BHP Billiton Ltd. ADR com 088606108 315 4129 SH Sole 4129 Baidu Inc. Spon ADR com 056752108 349 3400 SH Sole 3400 Barrett Bill Corp. com 06846N104 1386 38500 SH Sole 32500 6000 Bel Fuse, Inc. com 077347300 2553 122600 SH Sole 95300 27300 Blackboard com 091935502 1366 37900 SH Sole 31500 6400 Bofi Holding, Inc. com 05566U108 4287 361203 SH Sole 251933 109270 Brooks Automation Inc. com 114340102 2290 341300 SH Sole 286900 54400 Brush Engineered Materials com 117421107 2210 77700 SH Sole 65600 12100 CPI Aerostructures, Inc. com 125919308 2217 221660 SH Sole 160735 60925 CTRIP Com Int'l Ltd ADR com 22943F100 2994 62700 SH Sole 60700 2000 Cardinal Finl Corp. com 14149F109 1423 148100 SH Sole 114000 34100 Carrizo Oil & Gas, Inc. com 144577103 4932 206031 SH Sole 138717 67314 Cavium Networks, Inc. com 14965A101 1953 67900 SH Sole 57400 10500 Changyou.com Ltd. ADR com 15911M107 1256 45675 SH Sole 45675 Charm Communications, Inc. com 16112R101 2876 367800 SH Sole 367800 Chase Corp. com 16150R104 666 45600 SH Sole 35800 9800 China Cord Blood Corp. com G21107100 1638 309000 SH Sole 309000 China Digital TV Holding ADR com 16938G107 1885 278400 SH Sole 278400 China Electric Motor, Inc. com 16890A205 653 145000 SH Sole 145000 China Jo-Jo Drugstores, Inc. com 16949A206 514 99900 SH Sole 99900 China Kanghui Holding ADR com 16890V100 2991 211100 SH Sole 211100 China Ming Yang Wind Pow ADS com 16951c108 1400 100000 SH Sole 100000 China New Borun Corp. ADR com 16890T105 4036 347900 SH Sole 347900 China Nuokang Bio-Ph-Sp ADR com 16949B113 842 168359 SH Sole 168359 China Real Estate Information com 16948Q103 2501 232613 SH Sole 232613 China Transinfo Technology com 169453107 1445 226900 SH Sole 226900 China Valves Technology, Inc. com 169476207 2522 325018 SH Sole 325018 China XD Plastics Co. Ltd com 16948F107 2890 433356 SH Sole 433356 Chinacast Education Corp. com 16946T109 2327 328700 SH Sole 328700 Cirrus Logic com 172755100 6143 344315 SH Sole 240600 103715 Cisco Systems, Inc. com 17275R102 230 10487 SH Sole 10487 Clicksoftware Technologies Ltd com M25082104 3365 512900 SH Sole 397300 115600 Cninsure, Inc com 18976M103 5248 225800 SH Sole 173300 52500 Coca-Cola com 191216100 207 3540 SH Sole 3540 Cognex Corp. com 192422103 4681 174550 SH Sole 127360 47190 Cohu, Inc. com 192576106 1015 80600 SH Sole 62700 17900 Concord Medical Spon ADR com 206277105 3294 470500 SH Sole 470500 Conmed Healthcare Management com 20741M103 967 327700 SH Sole 254200 73500 Constant Contact, Inc. com 210313102 1503 70150 SH Sole 58500 11650 Country Style Cooking Restaura com 22238M109 1510 52800 SH Sole 52800 Cyberoptics Corp. com 232517102 900 99000 SH Sole 77600 21400 DRI Corp. com 23330F109 142 91600 SH Sole 71200 20400 Danvers Bancorp, Inc. com 236442109 2172 141708 SH Sole 109608 32100 Digimarc Corp. com 25381B101 2728 116300 SH Sole 90100 26200 Duoyuan Global Water, Inc. ADR com 266043108 1450 111300 SH Sole 111300 Ecology and Environment, Inc. com 278878103 732 61500 SH Sole 46645 14855 Egain Communications Corp. com 28225C806 139 169600 SH Sole 125600 44000 Emergent Group, Inc. com 29089V203 949 162700 SH Sole 121100 41600 Endologix, Inc. com 29266S106 1608 352700 SH Sole 272800 79900 Enernoc, Inc. com 292764107 1898 60500 SH Sole 50600 9900 Entropic Communications, Inc. com 29384R105 4052 422100 SH Sole 327000 95100 Exar Corp. com 300645108 613 102400 SH Sole 79600 22800 Exlservice Holdings com 302081104 2083 107100 SH Sole 89700 17400 FSI Int'l, Inc. com 302633102 1767 664300 SH Sole 516700 147600 Faro Technologies, Inc. com 311642102 2046 93800 SH Sole 78600 15200 Female Health Company com 314462102 2471 479900 SH Sole 367600 112300 First Savings Financial Group, com 33621E109 209 16000 SH Sole 12700 3300 G III Apparel Group Ltd. com 36237H101 8975 286000 SH Sole 226700 59300 GLG Life Tech Corporation com 361793201 1088 130800 SH Sole 101400 29400 GSE Systems com 36227K106 2303 687400 SH Sole 533700 153700 General Electric Co. com 369604103 241 14835 SH Sole 14835 Geoeye, Inc. com 37250W108 3469 85700 SH Sole 71700 14000 Georesources Inc. com 372476101 4012 252300 SH Sole 195900 56400 Globecom Systems Inc com 37956X103 1743 208200 SH Sole 161800 46400 Grand Canyon Education, Inc. com 38526M106 6013 274176 SH Sole 210126 64050 Green Mtn Coffee com 393122106 4243 136030 SH Sole 102640 33390 Gulf Resources, Inc. com 40251W309 1693 220100 SH Sole 220100 HHGregg, Inc. com 42833L108 1726 69700 SH Sole 59400 10300 HMS Holdings Corp. com 40425J101 4135 70150 SH Sole 57800 12350 Hackett Group, Inc. com 404609109 2191 530400 SH Sole 412800 117600 Harbin Electric, Inc. com 41145W109 1125 62900 SH Sole 62900 Hawk Corporation com 420089104 2864 66200 SH Sole 51600 14600 Herley Industries, Inc. com 427398102 6772 410400 SH Sole 319100 91300 Hi-Tech Pharmacal com 42840B101 2878 142200 SH Sole 110600 31600 Home Inns & Hotels Mgmt com 43713W107 14772 298370 SH Sole 259680 38690 ICF International Inc. com 44925C103 2287 91200 SH Sole 70400 20800 II-VI Inc. com 902104108 1008 27000 SH Sole 22700 4300 IPC The Hospitalist Co. com 44984A105 2815 103100 SH Sole 79480 23620 IROBOT Corp com 462726100 3413 183800 SH Sole 134290 49510 Igate Corp. com 45169U105 2021 111400 SH Sole 93900 17500 Illumina Inc com 452327109 273 5540 SH Sole 5540 Imax Corp. com 45245E109 8525 505605 SH Sole 393190 112415 Impax Laboratories, Inc. com 45256B101 6679 337300 SH Sole 255570 81730 Industrial Svcs Of America com 456314103 1693 110050 SH Sole 85600 24450 Infospace Inc Com New com 45678T300 2355 271908 SH Sole 210108 61800 Insituform Technology com 457667103 3404 140620 SH Sole 116100 24520 Integrated Silicon Solution com 45812P107 2625 304850 SH Sole 193930 110920 Interclick, Inc. com 458483203 3686 910100 SH Sole 708400 201700 Ista Pharmaceuticals, Inc. com 45031X204 2993 730100 SH Sole 554800 175300 Ixia com 45071R109 1127 90900 SH Sole 76300 14600 Ixys Corporation com 46600W106 2931 306900 SH Sole 238500 68400 Jinkosolar Holding Co. ADR com 47759T100 1558 49280 SH Sole 49280 Joe's Jeans, Inc. com 47777N101 1543 731100 SH Sole 554900 176200 Johnson & Johnson com 478160104 263 4246 SH Sole 4246 KSW, Inc. com 48268R106 428 139900 SH Sole 110300 29600 Kemet Corporation com 488360207 3776 1130600 SH Sole 709960 420640 Key Tronic Corp. com 493144109 633 106400 SH Sole 82800 23600 Kit Digital, Inc. com 482470200 2557 213300 SH Sole 165000 48300 Kraton Performance Polymers com 50077C106 5363 197530 SH Sole 149840 47690 Kulicke & Soffa Inds, Inc. com 501242101 4700 759230 SH Sole 567400 191830 Kvh Industries, Inc. com 482738101 9696 645970 SH Sole 467100 178870 LGL Group, Inc. com 50186A108 1313 59800 SH Sole 46500 13300 Leapfrog Enterprises, Inc. com 52186N106 1374 250800 SH Sole 194500 56300 Lecroy Corp. com 52324W109 274 34700 SH Sole 26700 8000 Lihua International, Inc. com 532352101 2076 239700 SH Sole 239700 Lincoln EDL Svcs com 533535100 1190 82570 SH Sole 67100 15470 Liveperson, Inc. com 538146101 2285 272000 SH Sole 208900 63100 Logmein, Inc. com 54142L109 5370 149260 SH Sole 109330 39930 Longtop Financial Techno ADR com 54318P108 7941 201795 SH Sole 193225 8570 MKS Instruments, Inc. com 55306N104 1715 95400 SH Sole 79900 15500 MWI Vetrinary Supply com 55402X105 2078 36000 SH Sole 30300 5700 Manitex International, Inc. com 563420108 575 240400 SH Sole 186600 53800 Mcdonald's com 580135101 326 4380 SH Sole 4380 Measurement Specialties Inc. com 583421102 2572 139200 SH Sole 108100 31100 Mediamind Techologies, Inc. com 58449C100 2516 182300 SH Sole 143700 38600 Medidata Solutions, Inc. com 58471A105 7283 379300 SH Sole 301000 78300 Mellanox Technologies Ltd. com M51363113 1524 77600 SH Sole 65100 12500 Microsoft Corp. com 594918104 401 16355 SH Sole 16355 Mistras Group, Inc. com 60649T107 3836 331270 SH Sole 224570 106700 Momenta Pharmaceuticals Inc. com 60877T100 4210 279740 SH Sole 210900 68840 Monolithic Pwr Sys com 609839105 2830 173300 SH Sole 145400 27900 NN Inc com 629337106 2639 319900 SH Sole 233600 86300 Nanometrics, Inc. com 630077105 8800 584690 SH Sole 450300 134390 National American University H com 63245Q105 2599 386700 SH Sole 297300 89400 Natus Med Inc com 639050103 1475 101160 SH Sole 83300 17860 Netezza Corp. com 64111N101 2490 92400 SH Sole 77600 14800 Netgear, Inc. com 64111Q104 1596 59100 SH Sole 49600 9500 Netlogic Microsystems com 64118B100 1871 67840 SH Sole 57200 10640 Newport Corp. com 651824104 1046 92200 SH Sole 77600 14600 Nova Measuring Instruments com M7516K103 2552 432600 SH Sole 323100 109500 Nuvasive com 670704105 2423 68965 SH Sole 57900 11065 Omnivision Technologies, Inc. com 682128103 1322 57400 SH Sole 48100 9300 Opentable, Inc. com 68372A104 7199 105750 SH Sole 79780 25970 Orbit\FR Inc. com 685929101 101 32600 SH Sole 25400 7200 PLX Technology Inc. com 693417107 1319 364400 SH Sole 282400 82000 Panhandle Oil & Gas Inc. com 698477106 2269 91900 SH Sole 70400 21500 Permafix Environmental Service com 714157104 1682 1007070 SH Sole 767470 239600 Polypore International, Inc. com 73179V103 8147 270140 SH Sole 211460 58680 Power-One, Inc. com 73930R102 7482 823145 SH Sole 646100 177045 Prospect Medical Hldgs com 743494106 1016 119497 SH Sole 92797 26700 Providence Svc Corp. com 743815102 1124 68600 SH Sole 54500 14100 QKL Stores, Inc. com 74732Y105 5150 1068520 SH Sole 917400 151120 Raven Inds, Inc. com 754212108 2133 56300 SH Sole 47300 9000 Real Goods Solar Inc. - Class com 75601N104 1419 384600 SH Sole 297800 86800 Realpage, Inc. com 75606N109 4319 226360 SH Sole 161930 64430 Relm Wireless Corp. com 759525108 307 146800 SH Sole 111700 35100 Richmont Mines, Inc. com 76547T106 3151 620300 SH Sole 462200 158100 Rubicon Technology, Inc. com 78112T107 1805 79550 SH Sole 65200 14350 Rudolph Tech., Inc. com 781270103 2056 247400 SH Sole 191800 55600 Rue21, Inc. com 781295100 3131 121300 SH Sole 101800 19500 SL Inds Inc. com 784413106 626 44600 SH Sole 34700 9900 SXC Health Solutions Corp. com 78505P100 7243 198600 SH Sole 170400 28200 Scientific Learning Corp. com 808760102 1609 341700 SH Sole 265000 76700 Shengkai Innovations, Inc. com 82321P104 182 28500 SH Sole 28500 Sina Corp Ord com G81477104 2544 50300 SH Sole 50300 Sino Clean Energy, Inc. com 82936G200 505 86950 SH Sole 86950 Skypeople Fruit Juice, Inc. com 83086T208 813 173800 SH Sole 173800 Sourcefire, Inc. com 83616T108 7699 266950 SH Sole 195160 71790 Spectrum Ctl, Inc. com 847615101 880 59800 SH Sole 46500 13300 Spongetech Delivery Systems com 849109103 0 100000 SH Sole 100000 Spreadtrum Communications com 849415203 10147 841400 SH Sole 715800 125600 Srs Labs, Inc. com 78464M106 2739 293300 SH Sole 226600 66700 Summer Infant, Inc. com 865646103 2973 380200 SH Sole 277700 102500 T 3 Energy Services, Inc. com 87306E107 2999 114700 SH Sole 87800 26900 Tessco Technologies com 872386107 840 55712 SH Sole 42212 13500 Thoratec Corp. com 885175307 2248 60800 SH Sole 51900 8900 Transcend Services, Inc. com 893929208 153 10000 SH Sole 7600 2400 Tri-Tech Holding, Inc. com G9103F106 1286 121400 SH Sole 121400 UFP Tech Inc com 902673102 1287 110100 SH Sole 85700 24400 Ultra Clean Holdings com 90385V107 2602 301800 SH Sole 228400 73400 Unify Corp. com 904743200 476 144300 SH Sole 112800 31500 Utstarcom, Inc. com 918076100 43 20000 SH Sole 20000 Vanceinfo Technologies com 921564100 416 12875 SH Sole 12875 Vanda Pharmaceuticals, Inc. com 921659108 912 136600 SH Sole 106100 30500 Viasat Inc. com 92552V100 3260 79300 SH Sole 66600 12700 Viropharma Inc. com 928241108 1151 77200 SH Sole 64700 12500 Virtus Investment Partners com 92828Q109 1062 35100 SH Sole 27300 7800 Volterra Semiconductor com 928708106 2622 121845 SH Sole 99900 21945 Walgreen Company com 931422109 291 8700 SH Sole 8700 Wave Systems Corp. com 943526301 2032 907300 SH Sole 703100 204200 Xata Corp. com 983882309 874 349600 SH Sole 257500 92100 Yongye Int'l, Inc. com 98607B106 3911 554000 SH Sole 514400 39600 Zix Corp. com 98974P100 2521 887600 SH Sole 679500 208100 Zoo Entertainment, Inc. com 98978F207 1303 274393 SH Sole 210993 63400
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