0001144204-11-064171.txt : 20111114 0001144204-11-064171.hdr.sgml : 20111111 20111114150307 ACCESSION NUMBER: 0001144204-11-064171 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111201462 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 v240523_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, 2011 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 14, 2011 ------------------------ ------------------------ ------------------- [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: 176 Data Records Form 13F Information Table Value Total: $331,412 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 21Vianet Group, Inc. - ADR com 90138A103 3107 306100 SH Sole 276100 30000 3D Systems Corp. com 88554D205 533 38100 SH Sole 28100 10000 3SBio Inc ADR com 88575Y105 129 10800 SH Sole 10800 51Job Inc. ADR com 316827104 3573 89380 SH Sole 72300 17080 ADA-ES, Inc. com 005208103 2191 143500 SH Sole 143500 Acacia Research-Acacia Tech com 003881307 14985 416365 SH Sole 328950 87415 Acme Packet, Inc. com 004764106 1844 43305 SH Sole 21700 21605 Active Power, Inc. com 00504W100 2616 2028020 SH Sole 1803100 224920 AdCare Health Systems, Inc. com 00650W300 1410 333388 SH Sole 333388 Align Technology, Inc. com 016255101 504 33200 SH Sole 24000 9200 Alliance Fiber Optic Products com 018680306 735 103000 SH Sole 103000 Allied Motion Technologies com 019330109 62 12500 SH Sole 12500 Ameresco, Inc. com 02361E108 291 28600 SH Sole 20700 7900 Amerigon, Inc. com 03070L300 10793 847850 SH Sole 707100 140750 Amgen, Inc. com 031162100 209 3796 SH Sole 3796 Aruba Networks Inc. com 043176106 3597 172000 SH Sole 89500 82500 Autonavi Holdings Ltd. ADR com 05330F106 1634 120000 SH Sole 120000 BHP Billiton Ltd. ADR com 088606108 288 4328 SH Sole 4328 Baidu Inc. Spon ADR com 056752108 321 3000 SH Sole 3000 Barnwell Industries, Inc. com 068221100 236 67650 SH Sole 67650 Basic Energy Services, Inc. com 06985P100 925 65300 SH Sole 47400 17900 Body Central Corp. com 09689U102 5112 281500 SH Sole 281500 Bofi Holding, Inc. com 05566U108 4258 316317 SH Sole 301627 14690 Broadsoft, Inc. com 11133B409 6578 216750 SH Sole 156500 60250 Bryn Mawr Bank Corp. com 117665109 1876 113200 SH Sole 113200 Bsquare Corp. com 11776U300 1357 304880 SH Sole 304880 CPI Aerostructures, Inc. com 125919308 1330 140035 SH Sole 140035 CRA Int'l Inc. com 12618T105 1155 57700 SH Sole 57700 Cai International, Inc. com 12477X106 489 41700 SH Sole 41700 Cardinal Finl Corp. com 14149F109 1499 173900 SH Sole 172200 1700 Caribou Coffee Co., Inc. com 142042209 124 10500 SH Sole 10500 Carrizo Oil & Gas, Inc. com 144577103 3615 167748 SH Sole 116234 51514 Ceragon Networks ADR com M22013102 1193 124900 SH Sole 124900 Ceva Inc. com 157210105 1281 52700 SH Sole 39000 13700 Changyou.com Ltd. ADR com 15911M107 1771 70000 SH Sole 70000 Charm Communications, Inc. com 16112R101 491 58500 SH Sole 58500 Chase Corp. com 16150R104 610 56721 SH Sole 56721 China Kanghui Holding ADR com 16890V100 2944 150990 SH Sole 150000 990 ClearOne Communications, Inc. com 185060100 1397 284000 SH Sole 284000 Clearfield, Inc. com 18482P103 516 87500 SH Sole 87500 Coca-Cola com 191216100 243 3590 SH Sole 3590 Cognex Corp. com 192422103 1163 42922 SH Sole 23700 19222 Constant Contact, Inc. com 210313102 1356 78430 SH Sole 42200 36230 Crocs, Inc. com 227046109 268 11300 SH Sole 11300 Datalink Corp. com 237934104 1513 222500 SH Sole 222500 Dealertrack Holdings com 242309102 1578 100700 SH Sole 52900 47800 Dice Holdings, Inc. com 253017107 331 42300 SH Sole 28000 14300 Digimarc Corp. com 25381B101 3196 125930 SH Sole 110800 15130 Digital Generation, Inc. com 25400B108 1063 62700 SH Sole 45300 17400 Dusa Pharmaceuticals com 266898105 4021 1086755 SH Sole 921400 165355 Eagle Bancorp, Inc. com 268948106 353 30000 SH Sole 30000 Egain Communications Corp. com 28225C806 534 113000 SH Sole 113000 Electro Rent Corp. com 285218103 717 51900 SH Sole 51900 Electronics For Imaging Inc. com 286082102 795 59030 SH Sole 39900 19130 Endologix, Inc. com 29266S106 3091 307900 SH Sole 307900 Exlservice Holdings com 302081104 2389 108600 SH Sole 78900 29700 Faro Technologies, Inc. com 311642102 2510 79550 SH Sole 56200 23350 Financial Engines, Inc. com 317485100 558 30800 SH Sole 22700 8100 First Savings Financial Group, com 33621E109 594 38300 SH Sole 38300 Francescas Holdings Corp. com 351793104 6723 316980 SH Sole 229500 87480 G III Apparel Group Ltd. com 36237H101 5514 241200 SH Sole 218500 22700 GSE Systems com 36227K106 429 243600 SH Sole 243600 General Electric Co. com 369604103 226 14864 SH Sole 14864 Georesources, Inc. com 372476101 3980 223700 SH Sole 217700 6000 Gulfport Energy Corp. com 402635304 3974 164350 SH Sole 97000 67350 HMS Holdings Corp. com 40425J101 1899 77850 SH Sole 56100 21750 Hardinge, Inc. com 412324303 1410 172000 SH Sole 172000 Healthstream Inc. com 42222N103 2615 203800 SH Sole 203800 Hercules Offshore com 427093109 49 16700 SH Sole 16700 Hi-Tech Pharmacal com 42840B101 4435 132000 SH Sole 132000 Home Inns & Hotels Mgmt com 43713W107 1436 55720 SH Sole 50000 5720 Hurco Companies, Inc. com 447324104 1403 69500 SH Sole 69500 II-VI Inc. com 902104108 1377 78700 SH Sole 57100 21600 IPC The Hospitalist Co. com 44984A105 2755 77180 SH Sole 77180 IPG Photonics Corp com 44980X109 4739 109090 SH Sole 63700 45390 IROBOT Corp com 462726100 898 35710 SH Sole 24600 11110 Imax Corp. com 45245E109 6737 465275 SH Sole 333500 131775 Impax Laboratories, Inc. com 45256B101 2765 154410 SH Sole 89400 65010 Imris, Inc. com 45322N105 2306 591400 SH Sole 550500 40900 Intel Corporation com 458140100 244 11422 SH Sole 11422 Interactive Intelligence Group com 45841V109 4371 161420 SH Sole 110500 50920 Ista Pharmaceuticals, Inc. com 45031X204 858 248700 SH Sole 248700 Ixia com 45071R109 399 52000 SH Sole 43200 8800 Ixys Corporation com 46600W106 2296 211000 SH Sole 211000 Johnson & Johnson com 478160104 311 4890 SH Sole 4890 KSW, Inc. com 48268R106 273 85900 SH Sole 85900 Kadant Inc. com 48282T104 1673 94200 SH Sole 94200 Kemet Corporation com 488360207 2380 332810 SH Sole 326798 6012 Kenexa Corporation com 488879107 3007 192270 SH Sole 132500 59770 Keynote Systems,inc. com 493308100 3005 142200 SH Sole 127200 15000 Kopin Corporation com 500600101 436 127100 SH Sole 127100 Kraton Performance Polymers com 50077C106 422 26100 SH Sole 18600 7500 LGL Group, Inc. com 50186A108 1133 128700 SH Sole 128700 LML Payment Systems, Inc. com 50208P109 563 320100 SH Sole 320100 Lecroy Corp. com 52324W109 1688 213700 SH Sole 213700 Logmein, Inc. com 54142L109 2496 75170 SH Sole 40400 34770 Lydall, Inc. com 550819106 2587 290700 SH Sole 290700 MWI Vetrinary Supply com 55402X105 1060 15400 SH Sole 11100 4300 Magic Software Enterprises Ltd com 559166103 201 48900 SH Sole 48900 Manitex International, Inc. com 563420108 794 223000 SH Sole 223000 Mastech Holdings, Inc. com 57633B100 92 32200 SH Sole 32200 Materion Corp. com 576690101 632 27860 SH Sole 19400 8460 Matrix Service Co. com 576853105 104 12200 SH Sole 12200 Mcdonald's com 580135101 427 4861 SH Sole 4861 Measurement Specialties Inc. com 583421102 3117 120070 SH Sole 119400 670 Medidata Solutions, Inc. com 58471A105 5184 315300 SH Sole 283000 32300 Microsoft Corp. com 594918104 382 15363 SH Sole 15363 Mistras Group, Inc. com 60649T107 6254 356130 SH Sole 329800 26330 Mitcham Industries, Inc. com 606501104 1351 120600 SH Sole 120600 Mitek Systems, Inc. com 606710200 2424 262010 SH Sole 256300 5710 Momenta Pharmaceuticals Inc. com 60877T100 460 40000 SH Sole 29000 11000 Multi Color Corp. com 625383104 1227 54300 SH Sole 54300 NN, Inc. com 629337106 231 45800 SH Sole 45800 National American University H com 63245Q105 1118 156200 SH Sole 156200 Netease.Com, Inc. com 64110W102 3053 80000 SH Sole 80000 Netqin Mobile, Inc. - ADR com 64118U108 571 149100 SH Sole 145100 4000 New Oriental Education com 647581107 1838 80000 SH Sole 80000 Newport Corp. com 651824104 538 49800 SH Sole 36600 13200 Northern Oil & Gas, Inc. com 665531109 2255 116300 SH Sole 83600 32700 Oclaro, Inc. com 67555N206 51 14000 SH Sole 14000 On Assignment, Inc. com 682159108 1569 221900 SH Sole 221900 Opentable, Inc. com 68372A104 5671 123265 SH Sole 94100 29165 Oplink Communications, Inc. com 68375Q403 1263 83400 SH Sole 83400 Optical Cable Corp. com 683827208 338 103565 SH Sole 103565 Orbit\FR Inc. com 685929101 74 61900 SH Sole 61900 Panhandle Oil & Gas Inc. com 698477106 1782 62800 SH Sole 62800 Perceptron Inc. com 71361F100 222 41100 SH Sole 41100 Perry Ellis International, Inc com 288853104 226 12000 SH Sole 12000 Points International Ltd. com 730843208 2433 248000 SH Sole 248000 Procera Networks, Inc. com 74269U203 1618 168500 SH Sole 168500 Pros Holdings, Inc. com 74346Y103 153 11900 SH Sole 11900 QKL Stores, Inc. com 74732Y105 561 467700 SH Sole 362000 105700 RealD, Inc. com 75604L105 795 85000 SH Sole 62500 22500 Realpage, Inc. com 75606N109 885 43274 SH Sole 30734 12540 Richmont Mines, Inc. com 76547T106 1336 126380 SH Sole 125400 980 Rightnow Tech Inc. com 76657R106 6030 182450 SH Sole 125900 56550 Rogers Corp. com 775133101 2379 60790 SH Sole 35700 25090 Rue21, Inc. com 781295100 1613 71100 SH Sole 51600 19500 SXC Health Solutions Corp. com 78505P100 7629 136960 SH Sole 104300 32660 Sagent Technology, Inc. com 786692103 461 22775 SH Sole 15800 6975 Select Comfort Corp. com 81616X103 165 11800 SH Sole 11800 Senesco Technologies, Inc com 817208408 12 50000 SH Sole 50000 Silicom Ltd. com M84116108 1601 115400 SH Sole 115400 Silicon Graphics International com 82706L108 851 71400 SH Sole 71400 Silicon Image, Inc. com 82705T102 688 117200 SH Sole 85200 32000 Sina Corp Ord com G81477104 4093 57160 SH Sole 45400 11760 Sohu.Com, Inc. com 83408W103 2763 57330 SH Sole 52500 4830 Soufun Holdings Ltd ADR com 836034108 916 90000 SH Sole 90000 Spreadtrum Communications com 849415203 11226 625427 SH Sole 489300 136127 Stamps Com Inc com 852857200 1059 51800 SH Sole 51800 Summer Infant, Inc. com 865646103 1092 165400 SH Sole 165400 Sun Hydraulics com 866942105 1422 69750 SH Sole 51750 18000 Synergetics USA, Inc. com 87160G107 107 19900 SH Sole 19900 Syswin, Inc. com 872058102 663 317200 SH Sole 317200 TII Network Technologies, Inc. com 872479209 536 272100 SH Sole 272100 Taleo Corp. com 87424N104 2166 84220 SH Sole 51200 33020 Teavana Holdings, Inc. com 87819P102 305 15000 SH Sole 12100 2900 Tesco Corp. com 88157K101 462 39800 SH Sole 29300 10500 The Travelers Co., Inc. com 89417E109 200 4114 SH Sole 4114 Titan Machinery, Inc. com 88830R101 1040 58100 SH Sole 42200 15900 Travelzoo, Inc. com 89421Q106 1220 55500 SH Sole 40500 15000 Twin Disc, Inc. com 901476101 8978 336633 SH Sole 281461 55172 United Financial Bancorp, Inc. com 91030T109 1062 77600 SH Sole 77600 Vera Bradley, Inc. com 92335C106 4555 126350 SH Sole 77700 48650 Viropharma Inc. com 928241108 1664 92100 SH Sole 65800 26300 Virtusa Corp. com 92827P102 1180 89400 SH Sole 89400 Wal Mart Stores Inc. com 931142103 220 4232 SH Sole 4232 Walgreen Company com 931422109 286 8700 SH Sole 8700 Wayside Technology Group, Inc. com 946760105 618 61800 SH Sole 61800 Web.com Group, Inc. com 94733A104 4860 696280 SH Sole 557600 138680 Wi-Lan Inc. com 928972108 3686 638870 SH Sole 419200 219670 Xata Corp. com 983882309 129 77088 SH Sole 77088 Youku.com com 98742U100 703 43000 SH Sole 43000 Zix Corp. com 98974P100 2427 908900 SH Sole 878900 30000 eMagin Corporation com 29076N206 66 25100 SH Sole 25100 iSoftStone Holdings Ltd. com 46489B108 325 50000 SH Sole 50000